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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


Chronological List
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Change Relating to Changes to Eliminate or Amend Rules that are Inconsistent With Current Practice, Have Expired, Are Outdated, Are Unnecessary, or Require Technical Correction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


Modified: 10/16/2014