FICC Rulemaking Archive: 2014

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 2014

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Chronological List

Release No.	Date	Details
Fourth Quarter
SR-FICC-2014-11
34-73805	Dec. 10, 2014	Notice of Filing of Proposed Rule Change to Amend the Government Securities Division Rulebook and the Mortgage Backed Securities Clearing Rules In Order to Move the Time of Novation with Respect to Certain Trades, Include Rules to Reflect Existing Processes, and Clarify Certain Rules to Reflect Current Practices Comments due: January 6, 2015 See also: Order: Rel. No. 34-74132
SR-FICC-2014-06
34-73787	Dec. 8, 2014	Notice of Filing of Proposed Rule Change to Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division on Insolvency and Ceasing to Act Comments due: January 2, 2015 See also: Order: Rel. No. 34-74046 Comments received are available for this proposal.
SR-FICC-2014-07
34-73735	Dec. 4, 2014	Order Approving Proposed Rule Change to Amend the Clearing Rules of the Mortgage-Backed Securities Division to Establish a Membership Category and Minimum Financial Requirements for Insured Credit Unions See also: Notice: Rel. No. 34-73391
SR-FICC-2014-09
34-73682	Nov. 25, 2014	Notice of Filing of Proposed Rule Change to Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Regarding the Default of Fixed Income Clearing Corporation Comments due: December 23, 2014 See also: Notice: Rel. No. 34-74411
SR-FICC-2014-08
34-73642	Nov. 19, 2014	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants" and Registered Investment Companies Shall Be Considered "Voluntary Purchaser Participants" Comments due: December 16, 2014 Additional Materials: Exhibit 5 Submit Comments on SR-FICC-2014-08
SR-FICC-2014-07
34-73391	Oct. 20, 2014	Notice of Filing of Proposed Rule Change to Amend the Clearing Rules of the Mortgage-Backed Securities Division to Establish a Membership Category and Minimum Financial Requirements for Insured Credit Unions Comments due: November 14, 2014 See also: Order: Rel. No. 34-73735
SR-FICC-2014-01
34-73389	Oct. 17, 2014	Order Approving Proposed Rule Change to Amend the Government Securities Division Rulebook in Order to Establish an Early Unwind Intraday Charge in Connection with the Inclusion of GCF RepoŽ Positions in GSD's Intraday Participant Clearing Fund Requirement, and GSD's Hourly Internal Surveillance Cycles See also: Notice: Rel. No. 34-72908
Third Quarter
SR-FICC-2014-01
34-72908	Aug. 25, 2014	Notice of Filing of Proposed Rule Change to Amend the Government Securities Division Rulebook in Order to Establish an Early Unwind Intraday Charge in Connection with the Inclusion of GCF RepoŽ Positions in GSD's Intraday Participant Clearing Fund Requirement, and GSD's Hourly Internal Surveillance Cycles Comments due: September 19, 2014 See also: Order: Rel. No. 34-73389
Second Quarter
SR-FICC-2014-02
34-72457	Jun. 24, 2014	Order Approving Proposal to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service See also: Notice: Rel. No. 34-72184
SR-FICC-2014-04
34-72396	Jun. 16, 2014	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References to New York Portfolio Clearing, LLC in the Rules of the Government Securities Division and in the Cross-margining Agreement with the Chicago Mercantile Exchange Comments due: July 11, 2014 Additional Materials: Exhibit 5
SR-FICC-2014-03
34-72305	Jun. 4, 2014	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Government Securities Division Fee Schedule, the Mortgage-Backed Securities Division Fee Schedule for dealers and the Mortgage-Backed Securities Division EPN Fee Schedule Comments due: July 1, 2014 Additional Materials: Exhibit 5
SR-FICC-2014-02
34-72184	May 19, 2014	Notice of Filing of Request to Extend the Pilot Program for Certain Government Securities Division Rules Relating to the GCF RepoŽ Service Comments due: June 13, 2014 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-72457
First Quarter
SR-FICC-2013-10
34-71265	Jan. 9, 2014	Order Approving 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 See also:  Notice: Rel. No. 34-70925

http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2014.shtml