NSCC Advance Notice Rulemaking Archive 2017

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Chronological List
Second Quarter

NSCC File Number List for 2017

Additional Archives

Chronological List for 2017

Release No. Date Details
Second Quarter
SR-NSCC-2017-807
34-82403 Dec. 26, 2017 Notice of Filing of Advance Notice to Increase the Authorized Amount Under the Prefunded Liquidity Program
Comments due: January 17, 2018
See also: Notice: Rel. No. 34-82676
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-2017-808
34-82780 Feb. 26, 2018 Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge
34-82631 Feb. 5, 2018 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge
Comments due: February 23, 2018
Additional Materials: Exhibit 5
SR-NSCC-2017-807
34-82676 Feb. 9, 2018 Notice of No Objection to an Advance Notice to Increase the Authorized Amount Under the Prefunded Liquidity Program
34-82403 Dec. 26, 2017 Notice of Filing of Advance Notice to Increase the Authorized Amount Under the Prefunded Liquidity Program
Comments due: January 17, 2018
SR-NSCC-2017-806
34-83952 Aug. 27, 2018 Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes
34-83748 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
34-82584 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes
Comments due: February 14, 2018
Additional Materials: Exhibit 5
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
SR-NSCC-2017-805
34-83955 Aug. 27, 2018 Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules
34-83745 Jul. 31, 2018 Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 21, 2018
Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
34-82581 Jan. 24, 2018 Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: February 14, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Commission's Request for Additional Information and Response to the Commission's Request for Additional Information
Comments received are available for this proposal.
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