We encourage the public to submit comments on the following 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.

Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-99567 SEC Issue Date:Feb 20, 2024 File Number:SR-NSCC-2023-007 SRO Organization:National Securities Clearing Corporation Details: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, to Modify the Amended and Restated Stock Options
Release Number:34-99432 SEC Issue Date:Jan 25, 2024 File Number:SR-NSCC-2023-007 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing of Amendment No. 2 to Proposed Rule Change to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules
Comments Due: February 15, 2024
See Also - Exhibit 3, Exhibit 4A, Exhibit 4B, Exhibit 5A, Exhibit 5B
Release Number:34-99303 SEC Issue Date:Jan 9, 2024 File Number:SR-NSCC-2023-011 SRO Organization:National Securities Clearing Corporation Details: Order Granting Approval of a Proposed Rule Change to Refine the Margin Liquidity Adjustment (“MLA”) Charge Calculation and the Description of the MLA Charge
Release Number:34-99208 SEC Issue Date:Dec 20, 2023 File Number:SR-NSCC-2023-013 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Addendum A (Fee Structure)
Comments Due: January 17, 2024
See Also - Exhibit 5, Exhibit 3
Release Number:34-99098 SEC Issue Date:Dec 6, 2023 File Number:SR-NSCC-2023-012 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
Comments Due: January 2, 2024
See Also - Exhibit 5
Release Number:34-99022 SEC Issue Date:Nov 27, 2023 File Number:SR-NSCC-2023-011 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing of Proposed Rule Change to Refine the Margin Liquidity Adjustment ("MLA") Charge Calculation and the Description of the MLA Charge
Comments Due: December 22, 2023
See Also - Exhibit 3, Exhibit 5
Release Number:34-98930 SEC Issue Date:Nov 14, 2023 File Number:SR-NSCC-2023-007 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options
Comments Due: by December 11, 2023.  Rebuttal Comments should be submirred by December 26, 2023.
Release Number:34-98881 SEC Issue Date:Nov 8, 2023 File Number:SR-NSCC-2023-009 SRO Organization:National Securities Clearing Corporation Details: Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
Release Number:34-98814 SEC Issue Date:Oct 27, 2023 File Number:SR-NSCC-2023-010 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework
Comments Due: November 23, 2023
See Also - Exhibit 5
Release Number:34-98589 SEC Issue Date:Sep 28, 2023 File Number:SR-NSCC-2023-009 SRO Organization:National Securities Clearing Corporation Details: Notice of Filing of Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities
Comments Due: October 25, 2023
See Also - Exhibit 3, Exhibit 5