|
|
 |
FICC Rulemaking Archive: 2004
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 2004
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002 |
2001 |
2000 |
1999 |
1998
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-FICC-2004-19 |
| 34-50888 |
Dec. 20, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Changes to Eliminate or Amend Rules that are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction
Comments due: January 19, 2005
See also: Order: Rel. No. 34-51175
|
SR-FICC-2004-21 |
| 34-50806 |
Dec. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division of the Fixed Income Clearing Corporation
Comments due: January 3, 2005
|
SR-FICC-2004-16 |
| 34-50790 |
Dec. 3, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement with The Clearing Corporation
See also: Notice: Rel. No. 34-50594
|
SR-FICC-2004-20 |
| 34-50784 |
Dec. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation of a Fee for Financing Debits Associated with Certain Obligations of Repo Brokers
Comments due: December 29, 2004
|
SR-FICC-2004-09 |
| 34-50718 |
Nov. 22, 2004 |
Notice of a Proposed Rule Change by the Fixed Income Clearing Corporation Relating to Changes to Membership Requirements
Comments due: December 21, 2004
See also: Order: Rel. No. 34-51021
|
SR-FICC-2004-07 |
| 34-50712 |
Nov. 22, 2004 |
Order Granting Approval of a Proposed Rule Change to Amend its Rules to Eliminate the “Mortgage Banker” Category of Membership in its Mortgage-Backed Securities Division
See also: Notice: Rel. No. 34-50536
|
SR-FICC-2004-08 |
| 34-50671 |
Nov. 16, 2004 |
Notice of Filing of Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status
Comments due: December 14, 2004
See also: Order: Rel. No. 34-51355
|
SR-FICC-2004-05 |
| 34-50665 |
Nov. 15, 2004 |
Notice of Filing of a Proposed Rule Change to Amend Rules Relating to the Participants Fund Deposit Requirements of its Mortgage-Backed Securities Division
Comments due: December 13, 2004
See also: Order: Rel. No. 34-50955
|
SR-FICC-2004-11 |
| 34-50659 |
Nov. 15, 2004 |
Order Granting Approval of a Proposed Rule Change to Amend the Rules of the Government Securities Division to Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
See also: Notice: Rel. No. 34-50457
|
SR-FICC-2004-06 |
| 34-50642 |
Nov. 5, 2004 |
Notice of Filing of Proposed Rule Change to Institute Fines for Late Payment of Cash Obligations and Margin and to Institute Informal Hearing Procedures for Fine Disputes
Comments due: December 6, 2004
See also: Order: Rel. No. 34-50965
|
SR-FICC-2004-01 |
| 34-50617 |
Nov. 1, 2004 |
Order Approving Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules
See also: Notice: Rel. No. 34-50402
|
SR-FICC-2004-15 |
| 34-50607 |
Oct. 29, 2004 |
Notice of Filing of a Proposed Rule Change to Trade Submission Requirements and Pre-Netting
Comments due: November 26, 2004
See also: Order: Rel. No. 34-51908; Notice: Rel. No. 34-51365
Comments received are available for this notice.
|
SR-FICC-2004-16 |
| 34-50594 |
Oct. 26, 2004 |
Notice of Filing of Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement with The Clearing Corporation
Comments due: November 16, 2004
See also: Order: Rel. No. 34-50790
|
SR-FICC-2004-07 |
| 34-50536 |
Oct. 13, 2004 |
Notice of Filing of a Proposed Rule Change to Amend the Rules to Eliminate the "Mortgage Banker" Category of Membership in its Mortgage-Backed Securities Division
Comments due: November 10, 2004
See also: Order: Rel. No. 34-50712
|
| Third Quarter |
SR-FICC-2004-11 |
| 34-50457 |
Sep. 27, 2004 |
Notice of Filing of a Proposed Rule Change to Amend the Rules of the Government Securities Division to Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
Comments due: 21 days after publication in the Federal Register
See also: Order: Rel. No. 34-50659
|
SR-FICC-2004-01 |
| 34-50402 |
Sep. 16, 2004 |
Notice of Filing of Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules
Comments due: October 14, 2004
See also: Order: Rel. No. 34-50617
|
SR-FICC-2003-06 |
| 34-50389 |
Sep. 15, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to the Assessment of Funds-Only Settlement Obligations |
SR-FICC-2003-05 |
| 34-50386 |
Sep. 15, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Additional Account Structures |
| Second Quarter |
SR-FICC-2004-12 |
| 34-49989 |
Jul. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Regarding Late Notifications of Repo Collateral Substitutions and to Designate an Additional High Volume Repo Substitution Day Trigger
Comments due: August 5, 2004 |
SR-FICC-2003-01 |
| 34-49947 |
Jun. 30, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to the Implementation of Fines |
600-23 |
| 34-49940 |
Jun. 29, 2004 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 27, 2004
See also: Order: Rel. No. 34-51911
|
| First Quarter |
SR-FICC-2004-04 |
| 34-49463 |
Mar. 24, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Corrections
Comments due: April 21, 2004 |
SR-FICC-2003-14 |
| 34-49421 |
Mar. 16, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules, Eliminating the Need for Routine Waivers of Various Rules Provisions, and Adding Rules to Protect the Clearing Corporation and its Members
Comments due: April 13, 2004
|
| FICC File Number List for 2004 |
| Release No. |
Date |
Details |
600-23 |
| 34-54056 |
Jun. 28, 2006 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 26, 2006
|
| 34-51911 |
Jun. 23, 2005 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 21, 2005
|
| 34-49940 |
Jun. 29, 2004 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 27, 2004
|
SR-FICC-2004-24 |
| 34-51093 |
Jan. 28, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division
Comments due: February 24, 2005
|
SR-FICC-2004-23 |
| 34-51440 |
Mar. 28, 2005 |
Order Granting Approval of a Proposed Rule Change to Change the Notice Period Required for the Closing of Participant Accounts or Withdrawing from Membership in its Mortgage-Backed Securities Division
|
| 34-51206 |
Feb. 15, 2005 |
Notice of Filing of Proposed Rule Change to Change the Notice Period Required for the Closing of Participant Accounts or Withdrawing from Membership in its Mortgage-Backed Securities Division
Comments due: March 15, 2005
|
SR-FICC-2004-22 |
| 34-51896 |
Jun. 21, 2005 |
Order Approving a Proposed Rule Change Establishing a Sponsored Membership Program
|
| 34-51659 |
May 5, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Establishing a Sponsored Membership Program
Comments due: June 2, 2005
|
SR-FICC-2004-21 |
| 34-50806 |
Dec. 7, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division of the Fixed Income Clearing Corporation
Comments due: January 3, 2005
|
SR-FICC-2004-20 |
| 34-50784 |
Dec. 2, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Implementation of a Fee for Financing Debits Associated with Certain Obligations of Repo Brokers
Comments due: December 29, 2004
|
SR-FICC-2004-19 |
| 34-51175 |
Feb. 9, 2005 |
Order Approving a Proposed Rule Change Relating to Changes to Eliminate or Amend Rules that Are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction
|
| 34-50888 |
Dec. 20, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Changes to Eliminate or Amend Rules that are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction
Comments due: January 19, 2005
|
SR-FICC-2004-18 |
| 34-51354 |
Mar. 10, 2005 |
Order Granting Approval of a Proposed Rule Change to Clarify Certain Sections of the Loss Allocation Rule of its Government Securities Division
|
| 34-51037 |
Jan. 13, 2005 |
Notice of Filing of Proposed Rule Change to Clarify Certain Sections of the Loss Allocation Rule of its Government Securities Division
Comments due: February 14, 2005
|
SR-FICC-2004-17 |
| 34-51623 |
Apr. 28, 2005 |
Order Granting Approval of a Proposed Rule Change to Modify the Assessment Process for Late Submissions of Collateral Made Through the GCF Repo Service and to Increase the Types of Securities Available to Satisfy Collateral Allocation Obligations
|
| 34-51413 |
Mar. 23, 2005 |
Notice of Filing of a Proposed Rule Change to Modify the Assessment Process for Late Submissions of Collateral Made Through the GCF Repo Service and to Increase the Types of Securities Available to Satisfy Collateral Allocation Obligations
Comments due: April 19, 2005
|
SR-FICC-2004-16 |
| 34-50790 |
Dec. 3, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement with The Clearing Corporation
|
| 34-50594 |
Oct. 26, 2004 |
Notice of Filing of Proposed Rule Change Relating to Establishment of a Cross-Margining Agreement with The Clearing Corporation
Comments due: November 16, 2004
|
SR-FICC-2004-15 |
| 34-51908 |
Jun. 22, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Trade Submission Requirements and Pre-Netting
|
| 34-51365 |
Mar. 14, 2005 |
Notice of Filing of an Amended Proposed Rule Change Relating to Trade Submission Requirements and Pre-Netting
Comments due: April 8, 2005
Comments received are available for this notice.
|
| 34-50607 |
Oct. 29, 2004 |
Notice of Filing of a Proposed Rule Change to Trade Submission Requirements and Pre-Netting
Comments due: November 26, 2004
Comments received are available for this notice.
|
SR-FICC-2004-14 |
| 34-51385 |
Mar. 16, 2005 |
Order Approving a Proposed Rule Change Relating to Membership Requirements
|
| 34-51018 |
Jan. 11, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Membership Requirements
Comments due: February 14, 2005
Comments received are available for this notice.
|
SR-FICC-2004-13 |
| 34-51412 |
Mar. 23, 2005 |
Order Approving Proposed Rule Change to Amend the Rules of the Mortgage-Backed Securities Division to Impose Fines on Members for Violations of Minimum Financial Standards and to Modify the Penalty Assessment Process for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
|
| 34-51146 |
Feb. 7, 2005 |
Notice of Filing of a Proposed Rule Change to Amend the Rules of the Mortgage-Backed Securities Division to Impose Fines on Members for Violations of Minimum Financial Standards and to Modify the Penalty Assessment Process for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
Comments due: March 9, 2005
|
SR-FICC-2004-12 |
| 34-49989 |
Jul. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Regarding Late Notifications of Repo Collateral Substitutions and to Designate an Additional High Volume Repo Substitution Day Trigger
Comments due: August 5, 2004 |
SR-FICC-2004-11 |
| 34-50659 |
Nov. 15, 2004 |
Order Granting Approval of a Proposed Rule Change to Amend the Rules of the Government Securities Division to Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
|
| 34-50457 |
Sep. 27, 2004 |
Notice of Filing of a Proposed Rule Change to Amend the Rules of the Government Securities Division to Modify the Penalty Assessment Process for Violations of Minimum Financial Standards and for Failures of Members to Submit Requisite Financial Reports on a Timely Basis
Comments due: October 22, 2004
|
SR-FICC-2004-09 |
| 34-51021 |
Jan. 11, 2005 |
Order Approving a Proposed Rule Change Relating to Changes to Membership Requirements
|
| 34-50718 |
Nov. 22, 2004 |
Notice of a Proposed Rule Change by the Fixed Income Clearing Corporation Relating to Changes to Membership Requirements
Comments due: December 21, 2004
|
SR-FICC-2004-08 |
| 34-51355 |
Mar. 10, 2005 |
Order Approving Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status
|
| 34-50671 |
Nov. 16, 2004 |
Notice of Filing of Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status
Comments due: December 14, 2004
|
SR-FICC-2004-07 |
| 34-50712 |
Nov. 22, 2004 |
Order Granting Approval of a Proposed Rule Change to Amend its Rules to Eliminate the “Mortgage Banker” Category of Membership in its Mortgage-Backed Securities Division
|
| 34-50536 |
Oct. 13, 2004 |
Notice of Filing of a Proposed Rule Change to Amend the Rules to Eliminate the "Mortgage Banker" Category of Membership in its Mortgage-Backed Securities Division
Comments due: November 10, 2004
|
SR-FICC-2004-06 |
| 34-50965 |
Jan. 5, 2005 |
Order Approving Proposed Rule Change to Institute Fines for Late Payment of Cash Obligations and Margin and to Institute Informal Hearing Procedures for Fine Disputes
|
| 34-50642 |
Nov. 5, 2004 |
Notice of Filing of Proposed Rule Change to Institute Fines for Late Payment of Cash Obligations and Margin and to Institute Informal Hearing Procedures for Fine Disputes
Comments due: December 6, 2004
|
SR-FICC-2004-05 |
| 34-50955 |
Jan. 3, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Participants Fund Deposit Requirements of its Mortgage-Backed Securities Division
|
| 34-50665 |
Nov. 15, 2004 |
Notice of Filing of a Proposed Rule Change to Amend Rules Relating to the Participants Fund Deposit Requirements of its Mortgage-Backed Securities Division
Comments due: December 13, 2004
|
SR-FICC-2004-04 |
| 34-49463 |
Mar. 24, 2004 |
Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Corrections
Comments due: April 21, 2004 |
SR-FICC-2004-01 |
| 34-50617 |
Nov. 1, 2004 |
Order Approving Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules
|
| 34-50402 |
Sep. 16, 2004 |
Notice of Filing of Proposed Rule Change to Amend the Government Securities Division and the Mortgage-Backed Securities Division Membership Rules
Comments due: October 14, 2004
|
http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2004.shtml
|
