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 |
|---|---|---|---|---|
| 34-96571 | Dec 22, 2022 | SR-NSCC-2022-016 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Comments Due: January 19, 2023 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-NSCC-2022-016
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| 34-96555 | Dec 20, 2022 | SR-NSCC-2022-013, SR-FICC-2022-008, SR-DTC-2022-011 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes |
| 34-96511 | Dec 15, 2022 | SR-NSCC-2022-015 | National Securities Clearing Corporation | Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge Comments Due: January 11, 2023 View Received Comments See Also - Exhibit 3a, Exhibit 3b, Exhibit 5 |
| 34-96426 | Dec 1, 2022 | SR-NSCC-2022-005 | National Securities Clearing Corporation | Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order Comments Due: December 22, 2022 Rebuttal comments due: December 28, 2022 See Also - Exhibit 3, Exhibit 4, Exhibit 5 |
| 34-96345 | Nov 17, 2022 | SR-NSCC-2022-006, SR-FICC-2022-004, SR-DTC-2022-006 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework |
| 34-96327 | Nov 16, 2022 | SR-NSCC-2022-014 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Changes To Addendum A To Adopt Fees for the AIP Document Transfer Service as Part of AIP Attachments Comments Due: December 13, 2022 View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-96219 | Nov 3, 2022 | SR-NSCC-2022-013 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes Comments Due: November 30, 2022 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-NSCC-2022-013 |
| 34-96088 | Oct 14, 2022 | SR-NSCC-2022-009 | National Securities Clearing Corporation | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge Comments Due: Novemeber 10, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-95723 | Sep 9, 2022 | SR-NSCC-2022-012 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Clarifications and Enhancements to NSCC's Rules & Procedures Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 5 |
| 34-95725 | Sep 9, 2022 | SR-NSCC-2022-006 | National Securities Clearing Corporation | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Submit a Comment on SR-NSCC-2022-006 |