FICC Rulemaking Archive: 2018
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 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-FICC-2018-013 | ||
| 34-84951 | Dec. 21, 2018 | Notice of Filing of Proposed Rule Change to Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
Comments due: January 22, 2019 Additional Materials: Exhibit 5 See also: SR-FICC-2018-802. Comments received are available for this proposal. |
| SR-FICC-2018-014 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-DTC-2018-012, SR-NSCC-2018-013 |
| SR-FICC-2018-012 | ||
| 34-84769 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Certain Fees from the Mortgage-Backed Securities Division Clearing Rules and Electronic Pool Notification Rules
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-FICC-2018-010 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-DTC-2018-009, SR-NSCC-2018-009 |
| SR-FICC-2018-011 | ||
| 34-84435 | Oct. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow CCIT Members to Elect to Pay Their Funds-Only Settlement Amount Debits Using a Different Process
Comments due: November 13, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-009 | ||
| 34-84427 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| Third Quarter | ||
| SR-FICC-2018-007 | ||
| 34-84278 | Sep. 25, 2018 | Order Approving Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules |
| SR-FICC-2018-008 | ||
| 34-84255 | Sep. 21, 2018 | Order Approving Proposed Rule Change to Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes |
| SR-FICC-2018-006 | ||
| 34-84236 | Sep. 20, 2018 | Order Granting Approval of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes |
| SR-FICC-2018-005 | ||
| 34-84057 | Sep. 7, 2018 | Order Granting Approval of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Additional Materials: Exhibit 5 |
| 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 |
| 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 |
| SR-FICC-2018-008 | ||
| 34-83850 | Aug. 15, 2018 | Notice of Filing of Proposed Rule Change to Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
Comments due: September 11, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-007 | ||
| 34-83808 | Aug. 9, 2018 | Notice of Filing of Proposed Rule Change to Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-006 | ||
| 34-83767 | Aug. 2, 2018 | Notice of Filing of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
Comments due: August 29, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-005 | ||
| 34-83682 | Jul. 20, 2018 | Notice of Filing of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: August 16, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2017-022 | ||
| 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. |
| SR-FICC-2017-021 | ||
| 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. |
| Second Quarter | ||
| SR-FICC-2017-022 | ||
| 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. |
| SR-FICC-2017-021 | ||
| 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. |
| SR-FICC-2018-004 | ||
| 34-83457 | Jun. 18, 2018 | Order Approving Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes |
| SR-FICC-2018-003 | ||
| 34-83401 | Jun. 8, 2018 | Order Approving Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook |
| SR-FICC-2018-001 | ||
| 34-83362 | Jun. 1, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: June 22, 2018 |
| SR-FICC-2018-004 | ||
| 34-83222 | May 11, 2018 | Notice of Filing of Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
Comments due: June 7, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-003 | ||
| 34-83153 | May 2, 2018 | Notice of Filing of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
Comments due: May 29, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| First Quarter | ||
| SR-FICC-2018-002 | ||
| 34-82917 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| SR-FICC-2017-021 | ||
| 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. |
| SR-FICC-2017-022 | ||
| 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. |
| SR-FICC-2018-001 | ||
| 34-82876 | Mar. 14, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: April 4, 2018 Rebuttal comments due: April 16, 2018 Comments received are available for this proposal. |
| SR-FICC-2018-002 | ||
| 34-82672 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018 Additional Materials: Exhibit 5a |
| SR-FICC-2017-022 | ||
| 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. |
| SR-FICC-2017-021 | ||
| 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. |
| SR-FICC-2018-001 | ||
| 34-82588 | Jan. 26, 2018 | Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: February 22, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2017-021 | ||
| 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-2017-022 | ||
| 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. |
FICC File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-FICC-2018-014 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-DTC-2018-012, SR-NSCC-2018-013 |
| SR-FICC-2018-013 | ||
| 34-85470 | Mar. 29, 2019 | Order Approving a Proposed Rule Change to Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes |
| 34-85137 | Feb. 14, 2019 | Notice of Designation of Longer Period for Commission Action and Reopening the Period for Comment on Proposed Rule Change to Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
Comments due: March 14, 2019 |
| 34-84951 | Dec. 21, 2018 | Notice of Filing of Proposed Rule Change to Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
Comments due: January 22, 2019 Additional Materials: Exhibit 5 See also: SR-FICC-2018-802. Comments received are available for this proposal. |
| SR-FICC-2018-012 | ||
| 34-84769 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Certain Fees from the Mortgage-Backed Securities Division Clearing Rules and Electronic Pool Notification Rules
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-FICC-2018-011 | ||
| 34-84435 | Oct. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow CCIT Members to Elect to Pay Their Funds-Only Settlement Amount Debits Using a Different Process
Comments due: November 13, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-010 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-DTC-2018-009, SR-NSCC-2018-009 |
| SR-FICC-2018-009 | ||
| 34-84427 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| SR-FICC-2018-008 | ||
| 34-84255 | Sep. 21, 2018 | Order Approving Proposed Rule Change to Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes |
| 34-83850 | Aug. 15, 2018 | Notice of Filing of Proposed Rule Change to Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
Comments due: September 11, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-007 | ||
| 34-84278 | Sep. 25, 2018 | Order Approving Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules |
| 34-83808 | Aug. 9, 2018 | Notice of Filing of Proposed Rule Change to Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-006 | ||
| 34-84236 | Sep. 20, 2018 | Order Granting Approval of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes |
| 34-83767 | Aug. 2, 2018 | Notice of Filing of Proposed Rule Change to Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes
Comments due: August 29, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-005 | ||
| 34-84057 | Sep. 7, 2018 | Order Granting Approval of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Additional Materials: Exhibit 5 |
| 34-83682 | Jul. 20, 2018 | Notice of Filing of Proposed Rule Change to Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules
Comments due: August 16, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-004 | ||
| 34-83457 | Jun. 18, 2018 | Order Approving Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes |
| 34-83222 | May 11, 2018 | Notice of Filing of Proposed Rule Change to Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes
Comments due: June 7, 2018 Additional Materials: Exhibit 5 |
| SR-FICC-2018-003 | ||
| 34-83401 | Jun. 8, 2018 | Order Approving Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook |
| 34-83153 | May 2, 2018 | Notice of Filing of Proposed Rule Change to Amend the Fee Structure of the Government Securities Division Rulebook
Comments due: May 29, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2018-002 | ||
| 34-82917 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| 34-82672 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018 Additional Materials: Exhibit 5a |
| SR-FICC-2018-001 | ||
| 34-83362 | Jun. 1, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Implement Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: June 22, 2018 |
| 34-82876 | Mar. 14, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: April 4, 2018 Rebuttal comments due: April 16, 2018 Rebuttal comments due: 25 days after publication in the Federal Register Comments received are available for this proposal. |
| 34-82588 | Jan. 26, 2018 | Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook
Comments due: February 22, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |