Fixed Income Clearing Corporation (FICC) Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-50671 | Nov 16, 2004 | SR-FICC-2004-08 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of Proposed Rule Change To Provide Interpretive Guidance to Members Regarding the Criteria Used To Place Members on Surveillance Status See Also - Rel. No. 34-51355 |
| 34-50659 | Nov 15, 2004 | SR-FICC-2004-11 | Fixed Income Clearing Corporation (FICC) | Order Granting Approval of a Proposed Rule Change To Amend the Rules of the Government Securities Division To Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members To Submit Requisite Financial Reports on a Timely Basis See Also - Rel. No. 34-50457 |
| 34-50665 | Nov 15, 2004 | SR-FICC-2004-05 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of a Proposed Rule Change To Amend Rules Relating to the Participants Fund Deposit Requirements of Its Mortgage-Backed Securities Division See Also - Rel. No. 34-50955 |
| 34-50642 | Nov 5, 2004 | SR-FICC-2004-06 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of Proposed Rule Change To Institute Fines for Late Payment of Cash Obligations and Margin and To Institute Informal Hearing Procedures for Fine Disputes See Also - Rel. No. 34-50965 |
| 34-50617 | Nov 1, 2004 | SR-FICC-2004-01 | Fixed Income Clearing Corporation (FICC) | Order Approving Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules See Also - Rel. No. 34-50402 |
| 34-50607 | Oct 29, 2004 | SR-FICC-2004-15 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of a Proposed Rule Change Relating to Trade Submission Requirements and Pre-Netting View Received Comments See Also - Rel. No. 34-51908, Rel. No. 34-51365 |
| 34-50594 | Oct 26, 2004 | SR-FICC-2004-16 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement With the Clearing Corporation See Also - Rel. No. 34-50790 |
| 34-50536 | Oct 13, 2004 | SR-FICC-2004-07 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of a Proposed Rule Change To Amend the Fixed Income Clearing Corporation's Rules To Eliminate the "Mortgage Banker" Category of Membership in its Mortgage-Backed Securities Division See Also - Rel. No. 34-50712 |
| 34-50457 | Sep 27, 2004 | SR-FICC-2004-11 | Fixed Income Clearing Corporation (FICC) | Notice of Filing of a Proposed Rule Change To Amend the Rules of the Government Securities Division To Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members To Submit Requisite Financial Reports on a Timely Basis See Also - Rel. No. 34-50659 |
| 34-50392 | Sep 16, 2004 | SR-FICC-2003-14 | Fixed Income Clearing Corporation (FICC) | Order Approving a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules and Adding Rules To Protect the Clearing Corporation and Its Members |