National Securities Clearing Corporation Rulemaking
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| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-78778 | Sep 7, 2016 | SR-NSCC-2016-003, SR-FICC-2016-005, SR-DTC-2016-007 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy See Also - Rel. No. 34-79528, Rel. No. 34-79165 |
| 34-78525 | Aug 9, 2016 | SR-NSCC-2016-002 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Clearing Fund Maintenance Fee See Also - Exhibit 5 |
| 34-77990 | Jun 3, 2016 | SR-NSCC-2016-001 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Remove From the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules See Also - Rel. No. 34-77709 |
| 34-77709 | Apr 26, 2016 | SR-NSCC-2016-001 | National Securities Clearing Corporation | Notice of Filing of a Proposed Rule Change To Remove From the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules See Also - Exhibit 5, Rel. No. 34-77990 |
| 34-76787 | Dec 29, 2015 | SR-NSCC-2015-009 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees Related to Automated Customer Account Transfer Service, Obligation Warehouse, Fund/SERV, Insurance and Retirement Processing Services, and Alternative Investment Product Services See Also - Exhibit 5 |
| 34-76652 | Dec 15, 2015 | SR-NSCC-2015-007 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services See Also - Rel. No. 34-76348 |
| 34-76458 | Nov 17, 2015 | SR-NSCC-2015-005 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Permit Trades in Eligible Fixed Income Securities Scheduled To Settle on Day After Trade Date To Be Processed for Settlement at National Securities Clearing Corporation See Also - Rel. No. 34-76112 |
| 34-76462 | Nov 17, 2015 | SR-NSCC-2015-004 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Require Real-Time Trade Submission and To Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service See Also - Rel. No. 34-76099 |
| 34-76348 | Nov 4, 2015 | SR-NSCC-2015-007 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services See Also - Exhibit 3, Exhibit 5, Rel. No. 34-76652 |
| 34-76289 | Oct 28, 2015 | SR-NSCC-2015-008 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans See Also - Exhibit 5 |