NSCC 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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NSCC File Number List for 2018
Additional Archives
2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NSCC-2018-013 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-DTC-2018-012, SR-FICC-2018-014 |
| SR-NSCC-2018-012 | ||
| 34-84771 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-011 | ||
| 34-84770 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Fees and Make Other Changes
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-010 | ||
| 34-84611 | Nov. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Mutual Fund Profile Service to Provide for the Transmission of Event Notifications through a New Feature Called MF Info Xchange
Comments due: December 14, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-009 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-DTC-2018-009, SR-FICC-2018-010 |
| SR-NSCC-2018-008 | ||
| 34-84428 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| Third Quarter | ||
| SR-NSCC-2018-007 | ||
| 34-84259 | Sep. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Rules that Describe the Buy-In Process
Comments due: October 18, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-006 | ||
| 34-84256 | Sep. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Update Certain Sections of the Rules
Comments due: October 18, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-017 | ||
| 34-83974 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a Recovery & Wind-down Plan and Related Rules |
| SR-NSCC-2017-018 | ||
| 34-83971 | Aug. 28, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Loss Allocation Rules and Make Other Changes |
| SR-NSCC-2018-004 | ||
| 34-83937 | Aug. 24, 2018 | Order Approving Proposed Rule Change to Terminate the Commission Billing Service and the Commission Billing Limited Membership |
| SR-NSCC-2018-005 | ||
| 34-83774 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Delivery of Certain Transaction Data Relating to Variable Annuity and Variable Life Insurance Subaccounts and Implement Fees Associated with this Proposed Feature
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-004 | ||
| 34-83666 | Jul. 18, 2018 | Notice of Filing of a Proposed Rule Change to Terminate the Commission Billing Service and the Commission Billing Limited Membership
Comments due: August 14, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-003 | ||
| 34-83654 | Jul. 17, 2018 | Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to the CNS Reorganization Processing System and NSCC's Authority to Reveal the Identity of Counterparties In Certain Circumstances
Comments due: August 13, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-018 | ||
| 34-83633 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: August 3, 2018 Additional Materials: Exhibit 4, Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2017-017 | ||
| 34-83632 | Jul. 13, 2018 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: August 3, 2018 Additional Materials: Exhibit 4, Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| Second Quarter | ||
| SR-NSCC-2017-018 | ||
| 34-83510 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-FICC-2017-022 Comments received are available for this proposal. |
| SR-NSCC-2017-017 | ||
| 34-83509 | Jun. 25, 2018 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-FICC-2017-021 Comments received are available for this proposal. |
| SR-NSCC-2018-002 | ||
| 34-83397 | Jun. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to Comparison and Recording of CMU Securities
Comments due: July 5, 2018 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-NSCC-2018-001 | ||
| 34-82916 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| SR-NSCC-2017-017 | ||
| 34-82908 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| SR-NSCC-2017-018 | ||
| 34-82910 | Mar. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: April 16, 2018 Rebuttal comments due: April 30, 2018 Comments received are available for this proposal. |
| SR-NSCC-2017-020 | ||
| 34-82781 | Feb. 26, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, 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: March 23, 2018 |
| SR-NSCC-2018-001 | ||
| 34-82674 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018 Additional Materials: Exhibit 5a |
| SR-NSCC-2017-018 | ||
| 34-82670 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Amend the Loss Allocation Rules and Make Other Changes
Additional File Nos.: SR-DTC-2017-022, SR-FICC-2017-022 Comments received are available for this proposal. |
| SR-NSCC-2017-017 | ||
| 34-82669 | Feb. 8, 2018 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt a Recovery & Wind-down Plan and Related Rules
Additional File Nos.: SR-DTC-2017-021, SR-FICC-2017-021 Comments received are available for this proposal. |
| SR-NSCC-2017-019 | ||
| 34-82544 | Jan. 19, 2018 | Order Approving Proposed Rule Change to Enhance the Process for Submitting and Accepting ETF Creations and Redemptions |
| SR-NSCC-2017-020 | ||
| 34-82494 | Jan. 12, 2018 | Notice of Filing of a Proposed Rule Change 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 9, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-017 | ||
| 34-82430 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules
Comments due: January 29, 2018 Additional Materials: Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| SR-NSCC-2017-018 | ||
| 34-82428 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes
Comments due: January 29, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
NSCC File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-NSCC-2018-013 | ||
| 34-84949 | Dec. 21, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Revise the Clearing Agency Investment Policy
Comments due: January 22, 2019 Additional File Nos.: SR-DTC-2018-012, SR-FICC-2018-014 |
| SR-NSCC-2018-012 | ||
| 34-84771 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-011 | ||
| 34-84770 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Fees and Make Other Changes
Comments due: January 4, 2019 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-010 | ||
| 34-84611 | Nov. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Mutual Fund Profile Service to Provide for the Transmission of Event Notifications through a New Feature Called MF Info Xchange
Comments due: December 14, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-009 | ||
| 34-84458 | Oct. 19, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Frameworks
Comments due: November 15, 2018 Additional File Nos.: SR-DTC-2018-009, SR-FICC-2018-010 |
| SR-NSCC-2018-008 | ||
| 34-84428 | Oct. 15, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: November 9, 2018 |
| SR-NSCC-2018-007 | ||
| 34-84259 | Sep. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Rules that Describe the Buy-In Process
Comments due: October 18, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-006 | ||
| 34-84256 | Sep. 21, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Update Certain Sections of the Rules
Comments due: October 18, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-005 | ||
| 34-83774 | Aug. 3, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for the Delivery of Certain Transaction Data Relating to Variable Annuity and Variable Life Insurance Subaccounts and Implement Fees Associated with this Proposed Feature
Comments due: August 30, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-004 | ||
| 34-83937 | Aug. 24, 2018 | Order Approving Proposed Rule Change to Terminate the Commission Billing Service and the Commission Billing Limited Membership |
| 34-83666 | Jul. 18, 2018 | Notice of Filing of a Proposed Rule Change to Terminate the Commission Billing Service and the Commission Billing Limited Membership
Comments due: August 14, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-003 | ||
| 34-83654 | Jul. 17, 2018 | Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to the CNS Reorganization Processing System and NSCC's Authority to Reveal the Identity of Counterparties In Certain Circumstances
Comments due: August 13, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-002 | ||
| 34-83397 | Jun. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to Comparison and Recording of CMU Securities
Comments due: July 5, 2018 Additional Materials: Exhibit 5 |
| SR-NSCC-2018-001 | ||
| 34-82916 | Mar. 20, 2018 | Order Approving Proposed Rule Change to Amend the By-Laws |
| 34-82674 | Feb. 8, 2018 | Notice of Filing of Proposed Rule Change to Amend the By-Laws and Make Other Changes
Comments due: March 7, 2018 Additional Materials: Exhibit 5a |