FICC Rulemaking Archive: 2013

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 2013

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Chronological List

Release No.	Date	Details
Fourth Quarter
SR-FICC-2013-09
34-71091	Dec. 17, 2013	Order Approving Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division See also:  Notice: Rel. No. 34-70831
SR-FICC-2013-10
34-70925	Nov. 22, 2013	Notice of Filing of Proposed Rule Change to Establish the Minimum Financial Requirements for the Existing Membership Category of Registered Investment Company Netting Members in the Government Securities Division Comments due: December 20, 2013 Comments received are available for this proposal. See also:  Order: Rel. No. 34-71265
SR-FICC-2013-09
34-70831	Nov. 7, 2013	Notice of Filing of Proposed Rule Change to Make the U.S. Department of the Treasury's Floating Rate Notes Eligible for Netting Service and GCF RepoŽ at FICC's Government Securities Division Comments due: December 5, 2013 See also:  Order: Rel. No. 34-71091
Third Quarter
SR-FICC-2013-08
34-70484	Sep. 24, 2013	Order Approving Proposed Rule Change Concerning the Mortgage-Backed Securities Division's Notification of Settlement Process See also:  Notice: Rel. No. 34-70232
SR-FICC-2013-08
34-70232	Aug. 19, 2013	Notice of Filing of Proposed Rule Change in Connection with the Notification of Settlement Process Used by the Mortgage-Backed Securities Division ("MBSD") Comments due: September 13, 2013 Additional Materials:  Exhibit 5 See also:  Order: Rel. No. 34-70484
SR-FICC-2013-06
34-70068	Jul. 30, 2013	Order Approving Proposed Rule Change to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service See also:  Notice: Rel. No. 34-69774
SR-FICC-2013-05
34-69972	Jul. 11, 2013	Order Approving Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division See also:  Notice: Rel. No. 34-69653
Second Quarter
SR-FICC-2013-06
34-69774	Jun. 17, 2013	Notice of Filing of Request to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service Comments due: July 12, 2013 See also:  Order: Rel. No. 34-70068
SR-FICC-2013-02
34-69754	Jun. 13, 2013	Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC See also:  Notice: Rel. No. 34-69470
SR-FICC-2013-04
34-69740	Jun. 12, 2013	Order Approving Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA) See also:  Notice: Rel. No. 34-69495
SR-FICC-2013-03
34-69709	Jun. 6, 2013	Order Granting Approval of a Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service See also:  Notice: Rel. No. 34-69434
SR-FICC-2013-01
34-69708	Jun. 6, 2013	Order Granting Approval of a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rule to Reflect Recommendations of the Treasury Market Practice Group See also:  Notice: Rel. No. 34-69424
SR-FICC-2013-05
34-69653	May 29, 2013	Notice of Filing Proposed Rule Change to Include trueEX LLC as a Designated Locked-In Trade Source Pursuant to the Rulebook of the Government Securities Division Comments due: June 25, 2013 See also:  Order: Rel. No. 34-69972 Comments received are available for this proposal.
SR-FICC-2013-04
34-69495	May 2, 2013	Notice of Filing of Proposed Rule Change to the Government Securities Division Rules and the Mortgage-Backed Securities Division Clearing Rules in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA) Comments due: May 29, 2013 See also:  Order: Rel. No. 34-69740 Submit comments on SR-FICC-2013-04
SR-FICC-2013-02
34-69470	Apr. 29, 2013	Notice of Filing of Proposed Rule Change to Include Options On Interest Rate Futures Contracts With Maturities Not Longer Than Two Years In The One-Pot Cross-Margining Program Between the Government Securities Division and New York Portfolio Clearing, LLC Comments due: May 24, 2013 See also:  Notice: Rel. No. 34-69754
SR-FICC-2013-03
34-69434	Apr. 23, 2013	Notice of Filing of Proposed Rule Change to Amend Mortgage-Backed Securities Division Rules Relating to Allocation of an Indemnity Claim Made in Connection with the Use of the Federal Reserve's National Settlement Service Comments due: May 20, 2013 See also:  Order: Rel. No. 34-69709
SR-FICC-2013-01
34-69424	Apr. 22, 2013	Notice of Filing of Proposed Rule Change Amending the Mortgage-Backed Securities Division Fails Charge Rule to Reflect Recommendation of the Treasury Market Practice Group Comments due: May 20, 2013 See also:  Order: Rel. No. 34-69708
600-23
34-69362	Apr. 11, 2013	Notice of Filing of Amended Application for Registration as a Clearing Agency Comments due: June 3, 2013 Submit comments on 600-23 See also:  Correction of Notice Form CA-1 and Schedule A Exhibits A through D Exhibit E Exhibit F Exhibit G Exhibit G: Cross-Margining Agreement Exhibit G: Netting Contract and Limited Cross-Guaranty Exhibits H through I Exhibits J through R
First Quarter
SR-FICC-2012-07
34-68555	Jan. 2, 2013	Order Approving Proposed Rule Change Relating to Enhancements that the Mortgage-Backed Securities Division Intends to Implement to its Services and Certain Other Clarifications and Corrections to its Rules See also:  Notice: Rel. No. 34-68245

http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2013.shtml