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 |
|---|---|---|---|---|
| 34-73358 | Oct 15, 2014 | SR-NSCC-2014-09 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) With Respect to the DTCC Payment aXis Service, and To Make Certain Technical Changes See Also - Exhibit 5 |
| 34-72657 | Jul 23, 2014 | SR-NSCC-2014-07 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service See Also - Rel. No. 34-72344 |
| 34-72488 | Jun 27, 2014 | SR-NSCC-2014-08 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Broaden the Scope of the Licensing and Appointments Service and To Amend NSCC's Fee Structure See Also - Exhibit 5 |
| 34-72344 | Jun 6, 2014 | SR-NSCC-2014-07 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Implement a New Scorecard Feature to the Mutual Fund Profile Service See Also - Exhibit 5, Rel. No. 34-72657 |
| 34-72307 | Jun 4, 2014 | SR-NSCC-2014-06 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule See Also - Exhibit 5 |
| 34-72223 | May 22, 2014 | SR-NSCC-2014-04 | National Securities Clearing Corporation | Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service See Also - Rel. No. 34-71887 |
| 34-72029 | Apr 25, 2014 | SR-NSCC-2014-03 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement System See Also - Rel. No. 34-71725 |
| 34-71887 | Apr 7, 2014 | SR-NSCC-2014-04 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service See Also - Exhibit 5, Rel. No. 34-72223 |
| 34-71725 | Mar 14, 2014 | SR-NSCC-2014-03 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Enhance the System That Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System See Also - Exhibit 5, Rel. No. 34-72029 |
| 34-71637 | Feb 28, 2014 | SR-NSCC-2013-12 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Provide Members With a Risk Management Tool That Will Enable Members To Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached View Received Comments See Also - Rel. No. 34-70946 |