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
Second Quarter

NSCC File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Second Quarter
SR-NSCC-2017-804
34-81545 Sep. 7, 2017 Notice of No Objection to an Advance Notice to Expand the Application of the Family-Issued Securities Charge
See also: Notice: Rel. No. 34-81286
SR-NSCC-2017-804
34-81286 Aug. 2, 2017 Notice of Filing of Advance Notice to Expand the Application of the Family-Issued Securities Charge
Comments due: August 23, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-81545
SR-NSCC-2017-803
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
See also: Notice: Rel. No. 34-81039
Additional File No.: SR-OCC-2017-804
SR-NSCC-2017-803
34-81039 Jun. 28, 2017 Notice of Filing of Advance Notice to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation
Comments due: July 20, 2017
SR-NSCC-2017-801
34-80731 May 19, 2017 Notice of No Objection to Advance Notices to Enhance the Credit Risk Rating Matrix and Make Other Changes
See also: Notice: Rel. No. 34-80396
Additional File Nos.: SR-DTC-2017-801, SR-FICC-2017-804
SR-NSCC-2017-802
34-80605 May 5, 2017 Notice of Filing of and No Objection to Advance Notices, as Modified by Amendments No. 1, to Renew the Credit Facility
Comments due: May 31, 2017
Additional File No.: SR-DTC-2017-802
SR-NSCC-2017-801
34-80396 Apr. 7, 2017 Notice of Filing of Advance Notice to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: April 28, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-80731


NSCC-AN File Number List for 2017

Release No. Date Details
SR-NSCC-2017-804
34-81545 Sep. 7, 2017 Notice of No Objection to an Advance Notice to Expand the Application of the Family-Issued Securities Charge
34-81286 Aug. 2, 2017 Notice of Filing of Advance Notice to Expand the Application of the Family-Issued Securities Charge
Comments due: August 23, 2017
Additional Materials: Exhibit 5
SR-NSCC-2017-803
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Comments due: 0 days after publication in the Federal Register
Additional File No.: SR-OCC-2017-804
34-81039 Jun. 28, 2017 Notice of Filing of Advance Notice to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation
Comments due: July 20, 2017
SR-NSCC-2017-802
34-80605 May 5, 2017 Notice of Filing of and No Objection to Advance Notices, as Modified by Amendments No. 1, to Renew the Credit Facility
Comments due: May 31, 2017
Additional File No.: SR-DTC-2017-802
SR-NSCC-2017-801
34-80731 May 19, 2017 Notice of No Objection to Advance Notices to Enhance the Credit Risk Rating Matrix and Make Other Changes
Additional File Nos.: SR-DTC-2017-801, SR-FICC-2017-804
34-80396 Apr. 7, 2017 Notice of Filing of Advance Notice to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: April 28, 2017
Additional Materials: Exhibit 5