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NSCC Rulemaking Archive: 2016
We encourage the public to submit comments on the following National Securities Clearing Corporation (NSCC) filings during the comment period. For detailed instructions, please read
How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter
NSCC File Number List for 2016
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSCC-2016-008 |
| 34-79655 |
Dec. 22, 2016 |
Notice of Filing of Proposed Rule Change to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes
Comments due: January 19, 2017
Additional Materials: Exhibit 5
|
SR-NSCC-2016-005 |
| 34-79598 |
Dec. 19, 2016 |
Order Granting Approval of Proposed Rule Change to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
See also: Notice: Rel. No. 34-79245
|
SR-NSCC-2016-003 |
| 34-79528 |
Dec. 12, 2016 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy
Comments due: January 3, 2017
See also: Notice: Rel. No. 34-79165, Notice: Rel. No. 34-78778
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005
|
SR-NSCC-2016-007 |
| 34-79356 |
Nov. 18, 2016 |
Notice of Filing of Proposed Rule Change to Accommodate Shorter Standard Settlement Cycle and Make Other Changes
Comments due: December 16, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-79734
|
| Third Quarter |
SR-NSCC-2016-005 |
| 34-79245 |
Nov. 4, 2016 |
Notice of Filing of Proposed Rule Change to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes
Comments due: December 1, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-79598
|
SR-NSCC-2016-004 |
| 34-79167 |
Oct. 26, 2016 |
Order Granting Approval of Proposed Rule Changes to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members
Additional File No.: SR-FICC-2016-006
See also: Notice: Rel. No. 34-78808
|
SR-NSCC-2016-003 |
| 34-79165 |
Oct. 26, 2016 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005
See also: Notice: Rel. No. 34-79528, Notice: Rel. No. 34-78778
|
SR-NSCC-2016-004 |
| 34-78808 |
Sep. 9, 2016 |
Notice of Filing of Proposed Rule Change to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members
Comments due: October 6, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-79167
|
SR-NSCC-2016-003 |
| 34-78778 |
Sep. 7, 2016 |
Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due: October 4, 2016
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005
See also: Notice: Rel. No. 34-79528, Notice: Rel. No. 34-79165
|
SR-NSCC-2016-002 |
| 34-78525 |
Aug. 9, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee
Comments due: September 6, 2016
Additional Materials: Exhibit 5
|
| Second Quarter |
SR-NSCC-2016-001 |
| 34-77990 |
Jun. 3, 2016 |
Order Approving Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
See also: Notice: Rel. No. 34-77709
|
SR-NSCC-2016-001 |
| 34-77709 |
Apr. 26, 2016 |
Notice of Filing of a Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
Comments due: May 23, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77990
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| NSCC File Number List for 2016 |
| Release No. |
Date |
Details |
SR-NSCC-2016-009 |
| 34-79739 |
Jan. 4, 2017 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees Related to Insurance and Retirement Processing Services
Comments due: January 31, 2017
Additional Materials: Exhibit 5
|
SR-NSCC-2016-008 |
| 34-79904 |
Jan. 31, 2017 |
Order Granting Approval of Proposed Rule Change to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes |
| 34-79655 |
Dec. 22, 2016 |
Notice of Filing of Proposed Rule Change to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes
Comments due: January 19, 2017
Additional Materials: Exhibit 5
|
SR-NSCC-2016-007 |
| 34-79734 |
Jan. 4, 2017 |
Order Granting Approval of Proposed Rule Change to Accommodate Shorter Standard Settlement Cycle and Make Other Changes
See also: Notice: Rel. No. 34-79356
|
| 34-79356 |
Nov. 18, 2016 |
Notice of Filing of Proposed Rule Change to Accommodate Shorter Standard Settlement Cycle and Make Other Changes
Comments due: December 16, 2016
Additional Materials: Exhibit 5
|
SR-NSCC-2016-005 |
| 34-79598 |
Dec. 19, 2016 |
Order Granting Approval of Proposed Rule Change to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
See also: Notice: Rel. No. 34-79245
|
| 34-79245 |
Nov. 4, 2016 |
Notice of Filing of Proposed Rule Change to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes
Comments due: December 1, 2016
Additional Materials: Exhibit 5
|
SR-NSCC-2016-004 |
| 34-79167 |
Oct. 26, 2016 |
Order Granting Approval of Proposed Rule Changes to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members
Additional File No.: SR-FICC-2016-006 |
| 34-78808 |
Sep. 9, 2016 |
Notice of Filing of Proposed Rule Change to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members
Comments due: October 6, 2016
Additional Materials: Exhibit 5
|
SR-NSCC-2016-003 |
| 34-79528 |
Dec. 12, 2016 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy
Comments due: January 3, 2017
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005
|
| 34-79165 |
Oct. 26, 2016 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005 |
| 34-78778 |
Sep. 7, 2016 |
Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due: October 4, 2016
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005
|
SR-NSCC-2016-002 |
| 34-78525 |
Aug. 9, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee
Comments due: September 6, 2016
Additional Materials: Exhibit 5
|
SR-NSCC-2016-001 |
| 34-77990 |
Jun. 3, 2016 |
Order Approving Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
|
| 34-77709 |
Apr. 26, 2016 |
Notice of Filing of a Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
Comments due: May 23, 2016
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/nscc/nsccarchive2016.shtml
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