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

Chronological List for 2020

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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