Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member's Clearing Fund Requirement to Excess Regulatory Capital Ratio

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Date Received
Date Letter Type Commenter Name
Public Comment Peter J. Chepucavage, General Counsel, Plexus Consulting, on behalf of the International Association of Small Broker-Dealers
Public Comment Cheryl T. Lambert, Managing Director, Risk Management, Depository Trust & Clearing Corporation
Public Comment Gregg A. Teeter, Howrey LLP, Salt Lake City, Utah
Public Comment International Association of Small Broker-Dealers and Advisers
Public Comment Thomas Patterson, Chief Executive Officer, LaBranche Financial Services, Inc. and Kathleen M. Toner, Esq.,Chief Regulatory Officer, LaBranche & Co Inc.
Public Comment Richard Gill, Senior Vice President and Donald S. Galante, Senior Vice President, Man Securities Inc.
Public Comment Jim Nardone

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NSCC-2006-03
SR-FICC-2006-03
Release Number
34-52761
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