FICC Rulemaking

We encourage the public to submit comments on the following Fixed Income Clearing Corporation (FICC; formerly Government Securities Clearing Corp.) 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.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

FICC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Fourth Quarter
SR-FICC-2018-011
34-84435 Oct. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow CCIT Members to Elect to Pay Their Funds-Only Settlement Amount Debits Using a Different Process
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FICC-2018-009
34-84427 Oct. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: 21 days after publication in the Federal Register
Third Quarter
SR-FICC-2018-007
34-84278 Sep. 25, 2018 Order Approving Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
SR-FICC-2018-008
34-84255 Sep. 21, 2018 Order Approving Proposed Rule Change to Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
SR-FICC-2018-006
34-84236 Sep. 20, 2018 Order Granting Approval of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
SR-FICC-2018-005
34-84057 Sep. 7, 2018 Order Granting Approval of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Additional Materials: Exhibit 5
SR-FICC-2017-021
34-83973 Aug. 28, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules
SR-FICC-2017-022
34-83970 Aug. 28, 2018 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes
SR-FICC-2018-008
34-83850 Aug. 15, 2018 Notice of Filing of Proposed Rule Change to Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
Comments due: September 11, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-007
34-83808 Aug. 9, 2018 Notice of Filing of Proposed Rule Change to Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: September 5, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-006
34-83767 Aug. 2, 2018 Notice of Filing of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
Comments due: August 29, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-005
34-83682 Jul. 20, 2018 Notice of Filing of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: August 16, 2018
Additional Materials: Exhibit 5
SR-FICC-2017-022
34-83631 Jul. 13, 2018 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 3, 2018
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.
SR-FICC-2017-021
34-83630 Jul. 13, 2018 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 3, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
Second Quarter
SR-FICC-2017-022
34-83510 Jun. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-NSCC-2017-018
Comments received are available for this proposal.
SR-FICC-2017-021
34-83509 Jun. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-NSCC-2017-017
Comments received are available for this proposal.
SR-FICC-2018-004
34-83457 Jun. 18, 2018 Order Approving Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
SR-FICC-2018-003
34-83401 Jun. 8, 2018 Order Approving Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
SR-FICC-2018-001
34-83362 Jun. 1, 2018 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: June 22, 2018
SR-FICC-2018-004
34-83222 May 11, 2018 Notice of Filing of Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-003
34-83153 May 2, 2018 Notice of Filing of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
Comments due: May 29, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
First Quarter
SR-FICC-2018-002
34-82917 Mar. 20, 2018 Order Approving Proposed Rule Change to Amend the By-Laws
SR-FICC-2017-021
34-82913 Mar. 20, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: April 16, 2018
Rebuttal comments due: April 30, 2018
Comments received are available for this proposal.
SR-FICC-2017-022
34-82909 Mar. 20, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: April 16, 2018
Rebuttal comments due: April 30, 2018
Comments received are available for this proposal.
SR-FICC-2018-001
34-82876 Mar. 14, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: April 4, 2018
Rebuttal comments due: April 16, 2018
Comments received are available for this proposal.
SR-FICC-2018-002
34-82672 Feb. 8, 2018 Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018
Additional Materials: Exhibit 5a
SR-FICC-2017-022
34-82670 Feb. 8, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-NSCC-2017-018
Comments received are available for this proposal.
SR-FICC-2017-021
34-82669 Feb. 8, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-NSCC-2017-017
Comments received are available for this proposal.
SR-FICC-2018-001
34-82588 Jan. 26, 2018 Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: February 22, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FICC-2017-021
34-82431 Jan. 2, 2018 Notice of Filing of a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due:  January 29, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-FICC-2017-022
34-82427 Jan. 2, 2018 Notice of Filing of a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due:  January 29, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.


FICC File Number List for 2018

Release No. Date Details
SR-FICC-2018-011
34-84435 Oct. 16, 2018 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow CCIT Members to Elect to Pay Their Funds-Only Settlement Amount Debits Using a Different Process
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-FICC-2018-009
34-84427 Oct. 15, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: 21 days after publication in the Federal Register
SR-FICC-2018-008
34-84255 Sep. 21, 2018 Order Approving Proposed Rule Change to Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
34-83850 Aug. 15, 2018 Notice of Filing of Proposed Rule Change to Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
Comments due: September 11, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-007
34-84278 Sep. 25, 2018 Order Approving Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
34-83808 Aug. 9, 2018 Notice of Filing of Proposed Rule Change to Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: September 5, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-006
34-84236 Sep. 20, 2018 Order Granting Approval of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
34-83767 Aug. 2, 2018 Notice of Filing of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
Comments due: August 29, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-005
34-84057 Sep. 7, 2018 Order Granting Approval of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Additional Materials: Exhibit 5
34-83682 Jul. 20, 2018 Notice of Filing of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: August 16, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-004
34-83457 Jun. 18, 2018 Order Approving Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
34-83222 May 11, 2018 Notice of Filing of Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
Comments due: June 7, 2018
Additional Materials: Exhibit 5
SR-FICC-2018-003
34-83401 Jun. 8, 2018 Order Approving Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
34-83153 May 2, 2018 Notice of Filing of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
Comments due: May 29, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-FICC-2018-002
34-82917 Mar. 20, 2018 Order Approving Proposed Rule Change to Amend the By-Laws
34-82672 Feb. 8, 2018 Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018
Additional Materials: Exhibit 5a
SR-FICC-2018-001
34-83362 Jun. 1, 2018 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: June 22, 2018
34-82876 Mar. 14, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: April 4, 2018
Rebuttal comments due: April 16, 2018
Rebuttal comments due: 25 days after publication in the Federal Register
Comments received are available for this proposal.
34-82588 Jan. 26, 2018 Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: February 22, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.