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 |
Second Quarter |
First Quarter
NSCC Advance Notice Rulemaking File Number List for 2020
Additional Archives
2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
Chronological List for 2020
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NSCC-2020-802 | ||
| 34-90367 | Nov. 6, 2020 | Notice of No Objection to Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| Third Quarter | ||
| SR-NSCC-2020-804 | ||
| 34-90034 | Sep. 28, 2020 | Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: October 19, 2020 Comments received are available for this proposal. |
| SR-NSCC-2020-804 | ||
| 34-89719 | Sep. 1, 2020 | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge Comments due: September 21, 2020 |
| Second Quarter | ||
| SR-NSCC-2020-802 | ||
| 34-88615 | Apr. 9, 2020 | Notice of Filing of Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
See Also: Commission’s Request for Additional Information and Response to the Commission’s Request for Additional Information Comments due: April 30, 2020 Comments received are available for this proposal. |
| First Quarter | ||
| SR-NSCC-2020-801 | ||
| 34-88469 | Mar. 25, 2020 | Notice of No Objection to Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge |
| SR-NSCC-2020-801 | ||
| 34-88267 | Feb. 24, 2020 | Notice of Filing of Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge
Comments due: 15 days after publication in the Federal Register |
| SR-NSCC-2019-801 | ||
| 34-88162 | Feb. 11, 2020 | Notice of No Objection to Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds |
| SR-NSCC-2019-802 | ||
| 34-88146 | Feb. 7, 2020 | Notice of No Objection to Advance Notice to Issue Term Debt as Part of its Liquidity Risk Management Framework |
| SR-NSCC-2019-802 | ||
| 34-87912 | Jan. 8, 2020 | Notice of Filing of Advance Notice to Issue Term Debt as Part of its Liquidity Risk Management Comments due: January 29, 2020 |
| SR-NSCC-2019-801 | ||
| 34-87911 | Jan. 8, 2020 | Notice of Filing of Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds Comments due: January 29, 2020 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-NSCC-2020-804 | ||
| 34-90034 | Sep. 28, 2020 | Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: October 19, 2020 Comments received are available for this proposal. |
| 34-89719 | Sep. 1, 2020 | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: September 21, 2020 |
| SR-NSCC-2020-802 | ||
| 34-90367 | Nov. 6, 2020 | Notice of No Objection to Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| 34-88615 | Apr. 9, 2020 | Notice of Filing of Advance Notice to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
See Also: Commission’s Request for Additional Information and Response to the Commission’s Request for Additional Information Comments due: April 30, 2020 Comments received are available for this proposal. |
| SR-NSCC-2020-801 | ||
| 34-88469 | Mar. 25, 2020 | Notice of No Objection to Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge |
| 34-88267 | Feb. 24, 2020 | Notice of Filing of Advance Notice to Enhance the Calculation of the Family-Issued Securities Charge
Comments due: 15 days after publication in the Federal Register |