FICC Rulemaking Archive: 2017
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 2017
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Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-FICC-2017-008 | ||
| 34-82377 | Dec. 21, 2017 | Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as modified by Amendment Nos. 1, 3 and 6, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: January 18, 2018 Rebuttal comments due: February 1, 2018 See also: Notice: Rel. No. 34-81885; Notice: Rel. No. 34-81194; Notice: Rel. No. 34-80877; Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-023 | ||
| 34-82386 | Dec. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Development Fees from the Mortgage-Backed Securities Division Clearing Rules
Comments due: January 18, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2017-009 | ||
| 34-82368 | Dec. 19, 2017 | Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: January 16, 2018 Notice: Rel. No. 34-81883, Notice: Rel. No. 34-81192, Notice: Rel. No. 34-80876, Notice: Rel. No. 34-80485 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| SR-FICC-2017-002 | ||
| 34-82090 | Nov. 15, 2017 | Order Approving a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
See also: Notice: Rel. No. 34-81638, Notice: Rel. No. 34-80812, Notice: Rel. No. 34-80524, Notice: Rel. No. 34-80234 |
| SR-FICC-2017-020 | ||
| 34-82006 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
See also: Notice: Rel. No. 34-81667 Additional File Nos.: SR-DTC-2017-016, SR-NSCC-2017-016 |
| SR-FICC-2017-008 | ||
| 34-81885 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-009 | ||
| 34-81883 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also: Notice: Rel No. 34-82368, Notice: Rel No. 34-81192, Notice: Rel No. 34-80876, Notice: Rel No. 34-80485 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| Third Quarter | ||
| SR-FICC-2017-017 | ||
| 34-81745 | Sep. 28, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
See also: Notice: Rel. No. 34-81338 Additional File Nos.: SR-DTC-2017-014, SR-NSCC-2017-013 |
| SR-FICC-2017-020 | ||
| 34-81667 | Sep. 21, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017 See also: Order: Rel. No. 34-82006 Additional File Nos.: SR-DTC-2017-016, SR-NSCC-2017-016 |
| SR-FICC-2017-002 | ||
| 34-81638 | Sep. 15, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: October 6, 2017 Rebuttal comments due: October 12, 2017 See also: Notice: Rel. No. 34-80812, Notice: Rel. No. 34-80524, Notice: Rel. No. 34-80234, Order: Rel. No. 34-82090 Comments received are available for this proposal. |
| SR-FICC-2017-016 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
See also: Order: Rel. No. 34-81248 Additional File Nos.: SR-DTC-2017-013, SR-NSCC-2017-012 |
| SR-FICC-2017-019 | ||
| 34-81511 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Interpretive Guidance with Respect to Watch List Consequences
Comments due: September 28, 2017 |
| SR-FICC-2017-014 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
See also: Additional File Nos.: SR-DTC-2017-008, SR-NSCC-2017-008 |
| SR-FICC-2017-017 | ||
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 See also: Order: Rel. No. 34-81745 Additional File Nos.: SR-DTC-2017-014, SR-NSCC-2017-013 |
| SR-FICC-2017-018 | ||
| 34-81255 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules
Comments due: August 24, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-016 | ||
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 See also: Order: Rel. No. 34-81635 Additional File Nos.: SR-DTC-2017-013, SR-NSCC-2017-012 |
| SR-FICC-2017-010 | ||
| 34-81211 | Jul. 26, 2017 | Notice of Withdrawal of a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes
See also: Notice: Rel. No. 34-80879, Notice: Rel. No. 34-80517 |
| SR-FICC-2017-008 | ||
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Notice: Rel. No. 34-82377 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-009 | ||
| 34-81192 | Jul. 24, 2017 | Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017 Rebuttal comments due: August 18, 2017 See also: Notice: Rel No. 34-82368, Notice: Rel. No. 34-81883, Notice: Rel. No. 34-80876, Notice: Rel. No. 34-80485 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| SR-FICC-2017-007 | ||
| 34-81105 | Jul. 7, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan See also: Notice: Rel. No. 34-80878, Notice: Rel. No. 34-80491 Additional File No.: SR-DTC-2017-003; SR-NSCC-2017-004 |
| Second Quarter | ||
| SR-FICC-2017-014 | ||
| 34-81074 | Jul. 5, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017 See also: Order: Rel. No. 34-81485 Additional File Nos.: SR-DTC-2017-008, SR-NSCC-2017-008 |
| SR-FICC-2017-012 | ||
| 34-81051 | Jun. 29, 2017 | Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members
See also: Notice: Rel. No. 34-80716 |
| SR-FICC-2017-015 | ||
| 34-81002 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgage-Backed Securities Division EPN Rules.
Comments due: July 19, 2017 |
| SR-FICC-2017-010 | ||
| 34-80879 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes
See also: Notice: Rel. No. 34-81211, Notice: Rel. No. 34-80517 |
| SR-FICC-2017-007 | ||
| 34-80878 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Additional File Nos.: SR-DTC-2017-003, SR-NSCC-2017-004, SR-NSCC-2017-004 See also: Notice: Rel. No. 34-80491 |
| SR-FICC-2017-008 | ||
| 34-80877 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-009 | ||
| 34-80876 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
* See also: Notice: Rel No. 34-82368, Notice: Rel. No.34-81192, Notice: Rel. No. 34-80485, Notice: Rel. No. 34-81883 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| SR-FICC-2017-002 | ||
| 34-80812 | May 30, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: June 19, 2017 Rebuttal comments due: June 23, 2017 See also: Notice: Rel. No. 34-80524, Notice: Rel. No. 34-80234, Notice: Rel. No. 34-81638, Order: Rel. No. 34-82090 Comments received are available for this proposal. |
| SR-FICC-2017-006 | ||
| 34-80734 | May 19, 2017 | Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes Additional File Nos.: SR-DTC-2017-002, SR-NSCC-2017-002 See also: Notice: Rel. No. 34-80383 |
| SR-FICC-2017-013 | ||
| 34-80717 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Government Securities Division CCIT Members, and Netting Members That Engage in CCIT Transactions
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-012 | ||
| 34-80716 | May 18, 2017 | Notice of Filing of Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-005 | ||
| 34-80574 | May 2, 2017 | Order Granting Approval of Proposed Rule Change to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes
See also: Notice: Rel. No. 34-80303 |
| SR-FICC-2017-003 | ||
| 34-80563 | May 1, 2017 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes
See also: Notice: Rel. No. 34-80236 |
| SR-FICC-2017-002 | ||
| 34-80524 | Apr. 25, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
See also: Notice: Rel. No. 34-80234, Notice: Rel. No. 34-80812, Notice: Rel. No. 34-81638, Order: Rel. No. 34-82090 |
| SR-FICC-2017-010 | ||
| 34-80517 | Apr. 24, 2017 | Notice of Filing of Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes
Comments due: May 19, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81211, Notice: Rel. No. 34-80879 |
| SR-FICC-2017-007 | ||
| 34-80491 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-003, SR-NSCC-2017-004 |
| SR-FICC-2017-008 | ||
| 34-80489 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017 See also: Notice: Rel. No. 34-82377, Notice: Rel. No. 34-81194,, Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-011 | ||
| 34-80484 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Effective Date of Government Securities Division Margin Proxy Rule Changes
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-009 | ||
| 34-80485 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017 See also: Notice: Rel No. 34-82368, Notice: Rel. No. 34-81883, Notice: Rel. No.34-81192, Notice: Rel. No. 34-80876 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| SR-FICC-2017-006 | ||
| 34-80383 | Apr. 5, 2017 | Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-80734 |
| First Quarter | ||
| SR-FICC-2017-001 | ||
| 34-80349 | Mar. 30, 2017 | Order Approving a Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections
See also: Notice: Rel. No. 34-80235, Notice: Rel. No. 34-79958 |
| SR-FICC-2017-005 | ||
| 34-80303 | Mar. 24, 2017 | Notice of Filing of Proposed Rule Change to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes
Comments due: April 20, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80574 Comments received are available for this proposal. |
| SR-FICC-2017-004 | ||
| 34-80253 | Mar. 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe the Intraday Mark-to-Market Charge
Comments due: April 11, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-003 | ||
| 34-80236 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes
Comments due: April 7, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80563 Comments received are available for this proposal. |
| SR-FICC-2017-001 | ||
| 34-80235 | Mar. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections
See also: Notice: Rel. No. 34-79958, Notice: Rel. No. 34-80349 |
| SR-FICC-2017-002 | ||
| 34-80234 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: April 10, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80524, Order: Rel. No. 34-80812, Notice: Rel. No. 34-81638, Order: Rel. No. 34-82090 Comments received are available for this proposal. |
| SR-FICC-2017-001 | ||
| 34-79958 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections
Comments due: February 24, 2017 Additional Materials: Exhibit 2, Exhibit 5 See also: Notice: Rel. No. 34-80235, Notice: Rel. No. 34-80349 Comments received are available for this proposal. |
| SR-FICC-2016-007 | ||
| 34-79868 | Jan. 24, 2017 | Order Approving a Proposed Rule Change to Implement a Change to the Methodology Used in the MBSD VaR Model
See also: Notice: Rel. No. 34-79491 |
FICC File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-FICC-2017-023 | ||
| 34-82386 | Dec. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate the Development Fees from the Mortgage-Backed Securities Division Clearing Rules
Comments due: January 18, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2017-022 | ||
| 34-83970 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes |
| 34-83631 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 3, 2018 Additional Materials: Exhibit 4, Exhibit 5 Comments received are available for this proposal. |
| 34-83510 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-NSCC-2017-018 Comments received are available for this proposal. |
| 34-82909 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| 34-82670 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-NSCC-2017-018 Comments received are available for this proposal. |
| 34-82427 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: January 29, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2017-021 | ||
| 34-83973 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules |
| 34-83630 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 3, 2018 Additional Materials: Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| 34-83509 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-NSCC-2017-017 Comments received are available for this proposal. |
| 34-82913 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| 34-82669 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-NSCC-2017-017 Comments received are available for this proposal. |
| 34-82431 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: January 29, 2018 Additional Materials: Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| SR-FICC-2017-020 | ||
| 34-82006 | Nov. 2, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Additional File Nos.: SR-DTC-2017-016, SR-NSCC-2017-016 |
| 34-81667 | Sep. 21, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Securities Valuation Framework
Comments due: October 18, 2017 Additional File Nos.: SR-DTC-2017-016, SR-NSCC-2017-016 |
| SR-FICC-2017-019 | ||
| 34-81511 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Interpretive Guidance with Respect to Watch List Consequences
Comments due: September 28, 2017 |
| SR-FICC-2017-018 | ||
| 34-81255 | Jul. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules
Comments due: August 24, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-017 | ||
| 34-81745 | Sep. 28, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Additional File Nos.: SR-DTC-2017-014, SR-NSCC-2017-013 |
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 Additional File Nos.: SR-DTC-2017-014, SR-NSCC-2017-013 |
| SR-FICC-2017-016 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Additional File Nos.: SR-DTC-2017-013, SR-NSCC-2017-012 |
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 Additional File Nos.: SR-DTC-2017-013, SR-NSCC-2017-012 |
| SR-FICC-2017-015 | ||
| 34-81002 | Jun. 22, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgage-Backed Securities Division EPN Rules.
Comments due: July 19, 2017 |
| SR-FICC-2017-014 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
See also: Additional File Nos.: SR-DTC-2017-008, SR-NSCC-2017-008 |
| 34-81074 | Jul. 5, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017 Additional File Nos.: SR-DTC-2017-008, SR-NSCC-2017-008 |
| SR-FICC-2017-013 | ||
| 34-80717 | May 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Government Securities Division CCIT Members, and Netting Members That Engage in CCIT Transactions
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-012 | ||
| 34-81051 | Jun. 29, 2017 | Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members |
| 34-80716 | May 18, 2017 | Notice of Filing of Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members
Comments due: June 14, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-011 | ||
| 34-80484 | Apr. 19, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Effective Date of Government Securities Division Margin Proxy Rule Changes
Comments due: May 16, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-010 | ||
| 34-81211 | Jul. 26, 2017 | Notice of Withdrawal of a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes |
| 34-80879 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes |
| 34-80517 | Apr. 24, 2017 | Notice of Filing of Proposed Rule Change to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes
Comments due: May 19, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-009 | ||
| 34-82368 | Dec. 19, 2017 | Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: January 16, 2018 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| 34-81883 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| 34-81192 | Jul. 24, 2017 | Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017 Rebuttal comments due: August 18, 2017 See also: Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| 34-80876 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| 34-80485 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-005, SR-NSCC-2017-006 |
| SR-FICC-2017-008 | ||
| 34-82377 | Dec. 21, 2017 | Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as modified by Amendment Nos. 1, 3 and 6, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: January 18, 2018 Rebuttal comments due: February 1, 2018 See also: Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| 34-81885 | Oct. 16, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877, Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| 34-80877 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| 34-80489 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-004, SR-NSCC-2017-005 |
| SR-FICC-2017-007 | ||
| 34-81105 | Jul. 7, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan Additional File No.: SR-DTC-2017-003; SR-NSCC-2017-004 |
| 34-80878 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan Additional File Nos.: SR-DTC-2017-003, SR-NSCC-2017-004 |
| 34-80491 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-003, SR-NSCC-2017-004 |
| SR-FICC-2017-006 | ||
| 34-80734 | May 19, 2017 | Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes
See also: Additional File Nos.: SR-DTC-2017-002, SR-NSCC-2017-002 |
| 34-80383 | Apr. 5, 2017 | Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-005 | ||
| 34-80574 | May 2, 2017 | Order Granting Approval of Proposed Rule Change to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes |
| 34-80303 | Mar. 24, 2017 | Notice of Filing of Proposed Rule Change to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes
Comments due: April 20, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2017-004 | ||
| 34-80253 | Mar. 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe the Intraday Mark-to-Market Charge
Comments due: April 11, 2017 Additional Materials: Exhibit 5 |
| SR-FICC-2017-003 | ||
| 34-80563 | May 1, 2017 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes |
| 34-80236 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes
Comments due: April 7, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2017-002 | ||
| 34-82090 | Nov. 15, 2017 | Order Approving a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook |
| 34-81638 | Sep. 15, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: October 6, 2017 Rebuttal comments due: October 12, 2017 |
| 34-80812 | May 30, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: June 19, 2017 Rebuttal comments due: June 23, 2017 |
| 34-80524 | Apr. 25, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook |
| 34-80234 | Mar. 14, 2017 | Notice of Filing of Proposed Rule Change to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Comments due: April 10, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2017-001 | ||
| 34-80349 | Mar. 30, 2017 | Order Approving a Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections |
| 34-80235 | Mar. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections |
| 34-79958 | Feb. 3, 2017 | Notice of Filing of Proposed Rule Change to (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections
Comments due: February 24, 2017 Additional Materials: Exhibit 2, Exhibit 5 Comments received are available for this proposal. |