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Comments on NSCC Rulemaking

Notice of Filing of Advance Notice to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures

(Release No. 34-68621; File No. SR-NSCC-2012-810)

Submitted Comments


Apr. 4, 2013 Julian Rainero, Bracewell & Giuliani LLP, on behalf of ConvergEx Execution Solutions LLC
Mar. 21, 2013 Murray C. Pozmanter, Managing Director, National Securities Clearing Corporation
Mar. 18, 2013 Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York
Feb. 25, 2013 Murray C. Pozmanter, Managing Director, National Securities Clearing Corporation
Jan. 25, 2013 Samuel F. Lek, Chief Executive Officer, Lek Securities Corporation, New York, New York

Meetings with SEC Officials


Mar. 22, 2013 Memorandum from the Division of Trading and Markets regarding a March 20, 2013, meeting with representatives of Lek Securities Corporation

 

http://www.sec.gov/comments/sr-nscc-2012-810/nscc2012810.shtml

Modified: 10/16/2014