SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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.

Fourth Quarter |  Second Quarter

NSCC File Number List for 2016

Additional Archives

Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2016-803
34-79592 Dec. 19, 2016 Notice of No Objection to Advance Notice Filing to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
See also: Notice: Rel. No. 34-79391
Second Quarter

SR-NSCC-2016-803
34-79391 Nov. 23, 2016 Notice of Filing of Advance Notice to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
Comments due: December 15, 2016
Additional Materials: Exhibit 5

SR-NSCC-2016-801
34-77750 Apr. 29, 2016 Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility
Comments due: May 26, 2016
Additional File No.: SR-DTC-2016-801

NSCC Advance Notice File Number List for 2016
Release No. Date Details

SR-NSCC-2016-803
34-79592 Dec. 19, 2016 Notice of No Objection to Advance Notice Filing to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
34-79391 Nov. 23, 2016 Notice of Filing of Advance Notice to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes
Comments due: December 15, 2016
Additional Materials: Exhibit 5

SR-NSCC-2016-801
34-77750 Apr. 29, 2016 Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility
Comments due: May 26, 2016
Additional File No.: SR-DTC-2016-801

 

http://www.sec.gov/rules/sro/nscc-an.shtml


Modified: 12/19/2016