National Securities Clearing Corporation Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-81745 | Sep 28, 2017 | SR-NSCC-2017-013, SR-FICC-2017-017, SR-DTC-2017-014 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving Proposed Rule Changes To Adopt the Clearing Agency Operational Risk Management Framework See Also - Rel. No. 34-81338 |
| 34-81667 | Sep 21, 2017 | SR-NSCC-2017-016, SR-FICC-2017-020, SR-DTC-2017-016 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Securities Valuation Framework See Also - Rel. No. 34-82006 |
| 34-81635 | Sep 15, 2017 | SR-NSCC-2017-012, SR-FICC-2017-016, SR-DTC-2017-013 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving Proposed Rule Changes To Adopt the Clearing Agency Risk Management Framework See Also - Rel. No. 34-81248 |
| 34-81550 | Sep 7, 2017 | SR-NSCC-2017-010 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge See Also - Rel. No. 34-81203 |
| 34-81485 | Aug 25, 2017 | SR-NSCC-2017-008, SR-FICC-2017-014, SR-DTC-2017-008 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving Proposed Rule Changes To Adopt the Clearing Agency Model Risk Management Framework See Also - Rel. No. 34-81074 |
| 34-81439 | Aug 18, 2017 | SR-NSCC-2017-015 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Position See Also - Exhibit 5, Rel. No. 34-81774 |
| 34-81339 | Aug 8, 2017 | SR-NSCC-2017-011 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services See Also - Exhibit 5 |
| 34-81338 | Aug 8, 2017 | SR-NSCC-2017-013, SR-FICC-2017-017, SR-DTC-2017-014 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Operational Risk Management Framework See Also - Rel. No. 34-81745 |
| 34-81306 | Aug 3, 2017 | SR-NSCC-2017-014 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes See Also - Exhibit 5 |
| 34-81266 | Jul 31, 2017 | SR-OCC-2017-013, SR-NSCC-2017-007 | The Options Clearing Corporation, National Securities Clearing Corporation | Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation See Also - Rel. No. 34-80942 |