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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
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| 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 FICC’s 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-FICC-2005-14 |
| 34-52853 |
Nov. 29, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve’s 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 Reserve’s 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 Member’s 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 Member’s 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 FICC’s 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 Participants’ 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:
|
| 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 FICC’s 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 FICC’s 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 Reserve’s National Settlement System
|
| 34-52631 |
Oct. 18, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve’s 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 FICC’s 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 Member’s 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 Member’s Business or Financial Condition
Comments due: May 31, 2005
|
http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2005.shtml
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