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FICC Rulemaking Archive: 2005

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 2005

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-FICC-2005-18
34-53036 Dec. 29, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Enhance the Repo Collateral Substitution Process of FICCís Government Securities Division
Comments due: January 20, 2006
See also:  Order: Rel. No. 34-53534

SR-FICC-2005-19
34-52922 Dec. 7, 2005 Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments received are available for this notice.
Additional File Nos.: SR-DTC-2005-16, and SR-NSCC-2005-14
See also:
SR-DTC-2005-16: Notice: Rel. No. 34-52665 and comments
SR-NSCC-2005-14: Notice: Rel. No. 34-52664

SR-FICC-2005-14
34-52853 Nov. 29, 2005 Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserveís National Settlement System
See also:  Notice: Rel. No. 34-52631

SR-FICC-2005-19
34-52663 Oct. 25, 2005 Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
See also:  Order: Rel. No. 34-52922;
Comments received are available for this notice.

SR-FICC-2005-15
34-52655 Oct. 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due: November 18, 2005

SR-FICC-2005-16
34-52654 Oct. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Maturity Periods Set Forth in the Margin Factor Tables
Comments due: November 21, 2005

SR-FICC-2005-14
34-52631 Oct. 18, 2005 Notice of Filing of a Proposed Rule Change Relating to the Federal Reserveís National Settlement System
Comments due: November 16, 2005
See also:  Order: Rel. No. 34-52853
Third Quarter

SR-FICC-2005-10
34-52446 Sep. 15, 2005 Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.:  SR-DTC-2005-04, and SR-NSCC-2005-05
See also:  Notice: Rel. No. 34-52043

SR-FICC-2005-11
34-52157 Jul. 28, 2005 Order Approving Proposed Rule Change to Institute a Netting Process for Fail Deliver and Fail Receive Obligations for Netting Members in its Government Securities Division
See also:  Notice: Rel. No. 34-51865

SR-FICC-2005-09
34-52124 Jul. 26, 2005 Order Granting Approval of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
See also:  Notice: Rel. No. 34-51789

SR-FICC-2005-13
34-52085 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Procedure for Fine Waivers and to Make Other Technical and Administrative Amendments
Comments due: August 17, 2005

SR-FICC-2005-12
34-52065 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Interpretation of a Rule Change Submission and Making Certain Technical Changes
Comments due: August 17, 2005

SR-FICC-2005-10
34-52043 Jul. 15, 2005 Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due:  August 5, 2005
See also:  Order: Rel. No. 34-52446
Second Quarter

600-23
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
See also:  Order: Rel. No. 34-54056, Notice: Rel. No. 34-49940

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
See also:  Notices: Rel. Nos. 34-51365, 34-50607

SR-FICC-2004-22
34-51896 Jun. 21, 2005 Order Approving a Proposed Rule Change Establishing a Sponsored Membership Program
See also:  Notice: Rel. No. 34-51659

SR-FICC-2005-01
34-51875 Jun. 17, 2005 Order Approving a Proposed Rule Change Relating to Timely Notification of Significant Events that Effect a Change in Control of a Member or Could Have a Substantial Impact on a Memberís Business or Financial Condition
See also:  Notice: Rel. No. 34-51643

SR-FICC-2005-11
34-51865 Jun. 17, 2005 Notice of Filing of Proposed Rule Change to Institute a Netting Process for Fail Deliver and Fail Receive Obligations for Netting Members in its Government Securities Division
See also:  Order: Rel. No. 34-52157

SR-FICC-2005-09
34-51789 Jun. 6, 2005 Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
See also:  Order: Rel. No. 34-521249

SR-FICC-2005-07
34-51754 May 27, 2005 Order Approving Proposed Rule Change to Establish a Firm Deadline by which Members of the Government Securities Division must Stisfy Clearing Fund Deficiencies
See also:  Notice: Rel. No. 34-51550

SR-FICC-2005-06
34-51673 May 9, 2005 Order Approving Proposed Rule Change to Change the Minimum Margin Deficiency Call Amount for Participants in its Mortgage-Backed Securities Division
See also:  Notice: Rel. No. 34-51441

SR-FICC-2004-22
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
See also:  Order: Rel. No. 34-51896

SR-FICC-2005-01
34-51643 May 2, 2005 Notice of Filing of a Proposed Rule Change Relating to Timely Notification of Significant Events that Effect a Change in Control of a Member or Could Have a Substantial Impact on a Memberís Business or Financial Condition
Comments due: May 31, 2005
See also:  Order: Rel. No. 34-51875

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
See also:  Notice: Rel. No. 34-51413

SR-FICC-2005-08
34-51579 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Types of Securities Eligible for FICCís GCF Repo Service to Include Treasury-Inflation Protected Securities
Comments due: May 17, 2005

SR-FICC-2005-07
34-51550 Apr. 15, 2005 Notice of Filing of Proposed Rule Change to Establish a Firm Deadline by which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies
Comments due: May 12, 2005
See also:  Order: Rel. No. 34-51754
First Quarter

SR-FICC-2005-06
34-51441 Mar. 28, 2005 Notice of Filing of Proposed Rule Change to Change the Minimum Margin Deficiency Call Amount for Participants in its Mortgage-Backed Securities Division
Comments due: April 25, 2005
See also:  Order: Rel. No. 34-51673

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
See also:  Notice: Rel. No. 34-51206

SR-FICC-2004-17
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
See also:  Order: Rel. No. 34-51623

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
See also:  Notice: Rel. No. 34-51146

SR-FICC-2004-14
34-51385 Mar. 16, 2005 Order Approving a Proposed Rule Change Relating to Membership Requirements
See also:  Notice: Rel. No. 34-51018

SR-FICC-2004-15
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
See also:  Order: Rel. No. 34-51908; Notice: Rel. No. 34-50607
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-50671

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
See also:  Notice: Rel. No. 34-51037

SR-FICC-2005-02
34-51340 Mar. 9, 2005 Order Approving Proposed Rule Change to Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division
See also:  Notice: Rel. No. 34-51066

SR-FICC-2004-23
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
See also:  Order: Rel. No. 34-51440

SR-FICC-2005-03
34-51178 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Appendix A to its Cross-Margining Agreement with the Chicago Mercantile Exchange to Update the List of Other Cross-Margining Agreement to Which Each is a Party
Comments due: March 9, 2005

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
See also:  Notice: Rel. No. 34-50888

SR-FICC-2004-13
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
See also:  Order: Rel. No. 34-51412

SR-FICC-2005-04
34-51095 Jan. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Timing of Premium Assessment Pursuant to Rule 3 of the Government Securities Division for Violation of Minimum Financial Standards
Comments due: February 25, 2005

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-2005-02
34-51066 Jan. 21, 2005 Notice of Filing of Proposed Rule Change to Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: February 18, 2005
See also:  Order: Rel. No. 34-51340

SR-FICC-2004-18
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
See also:  Order: Rel. No. 34-51354

SR-FICC-2004-09
34-51021 Jan. 11, 2005 Order Approving a Proposed Rule Change Relating to Changes to Membership Requirements
See also:  Notice: Rel. No. 34-50718

SR-FICC-2004-14
34-51018 Jan. 11, 2005 Notice of Filing of a Proposed Rule Change Relating to Membership Requirements
Comments due: February 14, 2005
See also:  Order: Rel. No. 34-51385
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-50642

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
See also:  Notice: Rel. No. 34-50665


FICC File Number List for 2005

Release No. Date Details

SR-FICC-2005-22
34-53405 Mar. 3, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide for the Payment of Interest on Cash Clearing Fund Collateral Posted by Members of the Government Securities Division and to Provide for the Payment of Interest on the Basic Deposit Portion of the Participantsí Fund Posted by Members of the Mortgage-Backed Securities Division
Comments due: March 30, 2006

SR-FICC-2005-21
34-53106 Jan. 11, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Fee Structures of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: February 9, 2006

SR-FICC-2005-20
34-53061 Jan. 5, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Surcharge on Participants Submitting Trade Data by Batch Method
Comments due: February 2, 2006

SR-FICC-2005-19
34-52922 Dec. 7, 2005 Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.: SR-DTC-2005-16 and SR-NSCC-2005-14
See also:
SR-DTC-2005-16: Notice: Rel. No. 34-52665 and comments
SR-NSCC-2005-14: Notice: Rel. No. 34-52664
34-52663 Oct. 25, 2005 Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
Comments received are available for this notice.

SR-FICC-2005-18
34-53534 Mar. 21, 2006 Order Approving the Proposed Rule Change to Enhance the Repo Collateral Substitution Process of FICCís Government Securities Division
34-53036 Dec. 29, 2005 Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Enhance the Repo Collateral Substitution Process of FICCís Government Securities Division
Comments due: January 20, 2006

SR-FICC-2005-17
34-54487 Sep. 22, 2006 Order Approving Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
34-53396 Mar. 2, 2006 Notice of Filing of Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
Comments due: March 29, 2006

SR-FICC-2005-16
34-52654 Oct. 21, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Maturity Periods Set Forth in the Margin Factor Tables
Comments due: November 21, 2005

SR-FICC-2005-15
34-52655 Oct. 24, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due: November 18, 2005

SR-FICC-2005-14
34-52853 Nov. 29, 2005 Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserveís National Settlement System
34-52631 Oct. 18, 2005 Notice of Filing of a Proposed Rule Change Relating to the Federal Reserveís National Settlement System
Comments due: November 16, 2005

SR-FICC-2005-13
34-52085 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Procedure for Fine Waivers and to Make Other Technical and Administrative Amendments
Comments due: August 17, 2005

SR-FICC-2005-12
34-52065 Jul. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to an Interpretation of a Rule Change Submission and Making Certain Technical Changes
Comments due: August 17, 2005

SR-FICC-2005-11
34-52157 Jul. 28, 2005 Order Approving Proposed Rule Change to Institute a Netting Process for Fail Deliver and Fail Receive Obligations for Netting Members in its Government Securities Division
34-51865 Jun. 17, 2005 Notice of Filing of Proposed Rule Change to Institute a Netting Process for Fail Deliver and Fail Receive Obligations for Netting Members in its Government Securities Division
Comments due: July 15, 2005

SR-FICC-2005-10
34-52446 Sep. 15, 2005 Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.:  SR-DTC-2005-04, and SR-NSCC-2005-05
34-52043 Jul. 15, 2005 Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due:  August 5, 2005

SR-FICC-2005-09
34-52124 Jul. 26, 2005 Order Granting Approval of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
34-51789 Jun. 6, 2005 Notice of Filing of a Proposed Rule Change Relating to the Collection of Fees for Services Provided by Other Entities
Comments due: July 5, 2005

SR-FICC-2005-08
34-51579 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Types of Securities Eligible for FICCís GCF Repo Service to Include Treasury-Inflation Protected Securities
Comments due: May 17, 2005

SR-FICC-2005-07
34-51754 May 27, 2005 Order Approving Proposed Rule Change to Establish a Firm Deadline by which Members of the Government Securities Division must Stisfy Clearing Fund Deficiencies
34-51550 Apr. 15, 2005 Notice of Filing of Proposed Rule Change to Establish a Firm Deadline by which Members of the Government Securities Division Must Satisfy Clearing Fund Deficiencies
Comments due: May 12, 2005

SR-FICC-2005-06
34-51673 May 9, 2005 Order Approving Proposed Rule Change to Change the Minimum Margin Deficiency Call Amount for Participants in its Mortgage-Backed Securities Division
34-51441 Mar. 28, 2005 Notice of Filing of Proposed Rule Change to Change the Minimum Margin Deficiency Call Amount for Participants in its Mortgage-Backed Securities Division
Comments due: April 25, 2005

SR-FICC-2005-04
34-51095 Jan. 28, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Timing of Premium Assessment Pursuant to Rule 3 of the Government Securities Division for Violation of Minimum Financial Standards
Comments due: February 25, 2005

SR-FICC-2005-03
34-51178 Feb. 9, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Appendix A to its Cross-Margining Agreement with the Chicago Mercantile Exchange to Update the List of Other Cross-Margining Agreement to Which Each is a Party
Comments due: March 9, 2005

SR-FICC-2005-02
34-51340 Mar. 9, 2005 Order Approving Proposed Rule Change to Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division
34-51066 Jan. 21, 2005 Notice of Filing of Proposed Rule Change to Amend the Application and Continuing Membership Standards of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: February 18, 2005

SR-FICC-2005-01
34-51875 Jun. 17, 2005 Order Approving a Proposed Rule Change Relating to Timely Notification of Significant Events that Effect a Change in Control of a Member or Could Have a Substantial Impact on a Memberís Business or Financial Condition
See also:
34-51643 May 2, 2005 Notice of Filing of a Proposed Rule Change Relating to Timely Notification of Significant Events that Effect a Change in Control of a Member or Could Have a Substantial Impact on a Memberís Business or Financial Condition
Comments due: May 31, 2005

 

http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2005.shtml


Modified: 06/12/2008