NSCC Advance Notice Rulemaking

We encourage the public to submit comments on the following National Securities Clearing Corporation (NSCC) 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 |  First Quarter

NSCC File Number List for 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Third Quarter
SR-NSCC-2017-806
34-83748 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
SR-NSCC-2017-805
34-83745 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
First Quarter
SR-NSCC-2017-808
34-82780 Feb. 26, 2018 Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge
SR-NSCC-2017-807
34-82676 Feb. 9, 2018 Notice of No Objection to an Advance Notice to Increase the Authorized Amount Under the Prefunded Liquidity Program
SR-NSCC-2017-808
34-82631 Feb. 5, 2018 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge
Comments due: February 23, 2018
Additional Materials: Exhibit 5
SR-NSCC-2017-806
34-82584 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: February 14, 2018
Additional Materials: Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
SR-NSCC-2017-805
34-82581 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: February 14, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.

NSCC-AN File Number List for 2018

Release No. Date Details

There are no file number entries at this time.