FICC Rulemaking
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
Third Quarter |
Second Quarter |
First Quarter
FICC Rulemaking File Number List for 2021
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Chronological List for 2021
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-FICC-2021-009 | ||
| 34-95616 | Aug. 26, 2022 | Order Approving of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-93857 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2021-008 | ||
| 34-93670 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-004 | ||
| 34-93280 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| SR-FICC-2021-007 | ||
| 34-93234 | Oct. 1, 2021 | Order Approving Proposed Rule Change to Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes |
| Third Quarter | ||
| SR-FICC-2021-003 | ||
| 34-92808 | Aug. 30, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes
Comments due: September 24, 2021 |
| SR-FICC-2021-007 | ||
| 34-92756 | Aug. 25, 2021 | Notice of Filing of Proposed Rule Change to Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes
Comments due: September 21, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-004 | ||
| 34-92749 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| SR-FICC-2021-006 | ||
| 34-92380 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-004 | ||
| 34-92341 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-005 | ||
| 34-92340 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the FICC Government Securities Division Rulebook, FICC Mortgage-Backed Securities Division Clearing Rules, and FICC Mortgage-Backed Securities Division EPN Rules
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-FICC-2020-017 | ||
| 34-92303 | Jun. 30, 2021 | Order Approving a Proposed Rule Change to Modify the Calculation of the MBSD VaR Floor to Incorporate a Minimum Margin Amount |
| SR-FICC-2021-003 | ||
| 34-92185 | Jun. 15, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Add the Sponsored GC Service and Make Other Changes |
| SR-FICC-2020-017 | ||
| 34-92117 | Jun. 7, 2021 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Calculation of the MBSD VaR Floor to Incorporate a Minimum Margin Amount |
| SR-FICC-2021-003 | ||
| 34-92014 | May 25, 2021 | Notice of Filing of Proposed Rule Change to Add the Sponsored GC Service and Make Other Changes
Comments due: June 22, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. See also: SR-FICC-2021-801 |
| SR-FICC-2021-001 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2021-002, SR-NSCC-2021-003 |
| First Quarter | ||
| SR-FICC-2021-002 | ||
| 34-91430 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-001 | ||
| 34-91292 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2020-017 | ||
| 34-91092 | Feb. 9, 2021 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Calculation of the MBSD VaR Floor to Incorporate a Minimum Margin Amount
Comments due: February 23, 2021 Rebuttal comments due: March 3, 2021 |
| SR-FICC-2020-015 | ||
| 34-90948 | Jan. 19, 2021 | Order Approving Proposed Rule Change to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes |
File Number List for 2021
| Release No. | Date | Details |
|---|---|---|
| SR-FICC-2021-009 | ||
| 34-95144 | Jun. 23, 2022 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-94497 | Mar. 23, 2022 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: April 20, 2022 Rebuttal comments due: May 4, 2022 Comments received are available for this proposal. |
| 34-94066 | Jan. 26, 2022 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance Capital Requirements and Make Other Changes |
| 34-93857 | Dec. 22, 2021 | Notice of Filing of Proposed Rule Change to Enhance Capital Requirements and Make Other Changes
Comments due: January 19, 2022 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-FICC-2021-008 | ||
| 34-93670 | Nov. 24, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Certain Revisions and Clarifications to the Rules
Comments due: December 21, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-007 | ||
| 34-93234 | Oct. 1, 2021 | Order Approving Proposed Rule Change to Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes |
| 34-92756 | Aug. 25, 2021 | Notice of Filing of Proposed Rule Change to Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes
Comments due: September 21, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-006 | ||
| 34-92380 | Jul. 13, 2021 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework
Comments due: August 9, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-005 | ||
| 34-92340 | Jul. 7, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the FICC Government Securities Division Rulebook, FICC Mortgage-Backed Securities Division Clearing Rules, and FICC Mortgage-Backed Securities Division EPN Rules
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-004 | ||
| 34-93280 | Oct. 8, 2021 | Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes |
| 34-92749 | Aug. 25, 2021 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes |
| 34-92341 | Jul. 7, 2021 | Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes
Comments due: August 3, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-003 | ||
| 34-92808 | Aug. 30, 2021 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes
Comments due: September 24, 2021 |
| 34-92185 | Jun. 15, 2021 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Add the Sponsored GC Service and Make Other Changes |
| 34-92014 | May 25, 2021 | Notice of Filing of Proposed Rule Change to Add the Sponsored GC Service and Make Other Changes
Comments due: June 22, 2021 Additional Materials: Exhibit 5 Comments received are available for this proposal. See also: SR-FICC-2021-801 |
| SR-FICC-2021-002 | ||
| 34-91430 | Mar. 29, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Recovery & Wind-down Plan
Comments due: April 23, 2021 Additional Materials: Exhibit 5 |
| SR-FICC-2021-001 | ||
| 34-91587 | Apr. 16, 2021 | Order Approving Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Additional File Nos.: SR-DTC-2021-002, SR-NSCC-2021-003 |
| 34-91292 | Mar. 10, 2021 | Notice of Filing of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 6, 2021 Additional Materials: Exhibit 5 |