NSCC Rulemaking: 2021
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 |
First Quarter
NSCC File Number List for 2021
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
Chronological List for 2021
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NSCC-2021-017 | ||
| 34-93873 | Dec. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's Alternative Investment Product Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules
Comments due: January 26, 2022 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-016 | ||
| 34-93856 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-015 | ||
| 34-93722 | Dec. 6, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Mutual Fund Deposit Requirements and Remove Certain Other Provisions Relating to Clearing Fund Requirements for Limited Members from the NSCC Rules
Comments due: January 3, 2022 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-013 | ||
| 34-93709 | Dec. 2, 2021 | Notice of Filing of Proposed Rule Change to Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes and Make Technical, Clarifying and Conforming Changes to the NSCC Rules & Procedures.
Comments due: December 29, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-014 | ||
| 34-93678 | Nov. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Transparency of the Calculation of the Backtesting Charge
Comments due: December 27, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-012 | ||
| 34-93671 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-010 | ||
| 34-93532 | Nov. 5, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Comments due: December 3, 2021 Rebuttal comments due: December 17, 2021 |
| SR-NSCC-2021-007 | ||
| 34-93278 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| Third Quarter | ||
| SR-NSCC-2021-011 | ||
| 34-93070 | Sep. 20, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 to Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules
Comments due: October 15, 2021 |
| SR-NSCC-2021-010 | ||
| 34-92860 | Sep. 2, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes |
| SR-NSCC-2021-007 | ||
| 34-92750 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| SR-NSCC-2021-009 | ||
| 34-92682 | Aug. 17, 2021 | Order Approving a Proposed Rule Change to Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 |
| SR-NSCC-2021-005 | ||
| 34-92640 | Aug. 11, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit
Comments due: September 7, 2021 |
| SR-NSCC-2021-010 | ||
| 34-92570 | Aug. 5, 2021 | Notice of Filing of Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Comments due: September 2, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-011 | ||
| 34-92566 | Aug. 5, 2021 | Notice of Filing of a Proposed Rule Change to Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules
Comments due: September 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-009 | ||
| 34-92437 | Jul. 19, 2021 | Notice of Filing of a Proposed Rule Change to Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986
Comments due: August 13, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-008 | ||
| 34-92381 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-007 | ||
| 34-92334 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-NSCC-2021-005 | ||
| 34-92250 | Jun. 24, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit |
| SR-NSCC-2021-002 | ||
| 34-92213 | Jun. 21, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Supplemental Liquidity Deposit Requirements
Comments due: July 15, 2021 |
| SR-NSCC-2021-006 | ||
| 34-91881 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications, Corrections and Certain Other Changes to the NSCC Rules & Procedures
Comments due: June 8, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-005 | ||
| 34-91809 | May 10, 2021 | Notice of Filing of Proposed Rule Change to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit
Comments due: June 4, 2021 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-002 | ||
| 34-91788 | May 7, 2021 | Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change to Amend the Supplemental Liquidity Deposit Requirements
Comments due: June 2, 2021 |
| SR-NSCC-2021-003 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2021-002, SR-FICC-2021-001 |
| First Quarter | ||
| SR-NSCC-2021-004 | ||
| 34-91428 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-002 | ||
| 34-91350 | Mar. 18, 2021 | Notice of Filing of Proposed Rule Change to Amend the Supplemental Liquidity Deposit Requirements
Comments due: April 14, 2021 Additional Materials: Exhibit 3, Exhibit 5 See also: NSCC-2021-801 Comments received are available for this proposal. |
| SR-NSCC-2021-003 | ||
| 34-91293 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-001 | ||
| 34-91261 | Mar. 5, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the InsurExpress and Replacements Services from Rule 57 of the NSCC Rules.
Comments due: April 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-NSCC-2021-017 | ||
| 34-93873 | Dec. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's Alternative Investment Product Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules
Comments due: January 26, 2022 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-016 | ||
| 34-95618 | Aug. 26, 2022 | Order Approving of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-95146 | Jun. 23, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-94494 | Mar. 23, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: April 20, 2022 Rebuttal comments due: May 4, 2022 |
| 34-94068 | Jan. 26, 2022 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-93856 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-015 | ||
| 34-93722 | Dec. 6, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Mutual Fund Deposit Requirements and Remove Certain Other Provisions Relating to Clearing Fund Requirements for Limited Members from the NSCC Rules
Comments due: January 3, 2022 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-014 | ||
| 34-93678 | Nov. 30, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Transparency of the Calculation of the Backtesting Charge
Comments due: December 27, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-013 | ||
| 34-93953 | Jan. 11, 2022 | Order Approving Proposed Rule Change to Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes, and Make Technical and Conforming Changes to the NSCC Rules & Procedures |
| 34-93709 | Dec. 2, 2021 | Notice of Filing of Proposed Rule Change to Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes and Make Technical, Clarifying and Conforming Changes to the NSCC Rules & Procedures.
Comments due: December 29, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-012 | ||
| 34-93671 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-011 | ||
| 34-93070 | Sep. 20, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 to Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules
Comments due: October 15, 2021 |
| 34-92566 | Aug. 5, 2021 | Notice of Filing of a Proposed Rule Change to Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules
Comments due: September 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-010 | ||
| 34-94537 | Mar. 29, 2022 | Notice of Withdrawal of a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes |
| 34-94168 | Feb. 7, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes |
| 34-93532 | Nov. 5, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Comments due: December 3, 2021 Rebuttal comments due: December 17, 2021 |
| 34-92860 | Sep. 2, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes |
| 34-92570 | Aug. 5, 2021 | Notice of Filing of Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Comments due: September 2, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-009 | ||
| 34-92682 | Aug. 17, 2021 | Order Approving a Proposed Rule Change to Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 |
| 34-92437 | Jul. 19, 2021 | Notice of Filing of a Proposed Rule Change to Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986
Comments due: August 13, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-008 | ||
| 34-92381 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-007 | ||
| 34-93278 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| 34-92750 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| 34-92334 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2021-006 | ||
| 34-91881 | May 12, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications, Corrections and Certain Other Changes to the NSCC Rules & Procedures
Comments due: June 8, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-005 | ||
| 34-92640 | Aug. 11, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit
Comments due: September 7, 2021 |
| 34-92250 | Jun. 24, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit |
| 34-91809 | May 10, 2021 | Notice of Filing of Proposed Rule Change to Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit
Comments due: June 4, 2021 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-004 | ||
| 34-91428 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-003 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2021-002, SR-FICC-2021-001 |
| 34-91293 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2021-002 | ||
| 34-92213 | Jun. 21, 2021 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend the Supplemental Liquidity Deposit Requirements
Comments due: July 15, 2021 |
| 34-91788 | May 7, 2021 | Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change to Amend the Supplemental Liquidity Deposit Requirements
Comments due: June 2, 2021 |
| 34-91350 | Mar. 18, 2021 | Notice of Filing of Proposed Rule Change to Amend the Supplemental Liquidity Deposit Requirements
Comments due: April 14, 2021 Additional Materials: Exhibit 3, Exhibit 5 See also: NSCC-2021-801 Comments received are available for this proposal. |
| SR-NSCC-2021-001 | ||
| 34-91261 | Mar. 5, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the InsurExpress and Replacements Services from Rule 57 of the NSCC Rules.
Comments due: April 1, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. |