Comments on NSCC Rulemaking

Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV

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Date Received
Date Letter Type Commenter Name
Public Comment Wilson-Davis & Co., Inc.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a November 12, 2020, conference call with representatives of OTC Markets Group Inc.
Public Comment Timothy J. Cuddihy, Managing Director, DTCC Financial Risk Management
Public Comment James C. Snow, Chief Compliance Officer, Wilson-Davis & Co., Inc.
Public Comment Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
Public Comment Kim Unger, CEO & Executive Director, The Security Traders Association of New York, Inc.
Public Comment Daniel Zinn, General Counsel, OTC Markets Group Inc. and Cass Sanford, Associate General Counsel, OTC Markets Group Inc.
Public Comment James C. Snow, President/CCO, Wilson-Davis & Co., Inc.
Public Comment Charles Lek, Lek Securities Corporation
Public Comment John Busacca, Founder, The Securities Industry Professional Association
Public Comment Alpine Securities Corporation

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-NSCC-2020-003
Release Number
34-88474
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