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
2017 | 2016 | 2015 | 2014 | 2013 | 2012
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 |