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 2019
Additional Archives
2019 | 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 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NSCC-2019-004 | ||
| 34-87858 | Dec. 26, 2019 | Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: January 23, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2019-005 | ||
| 34-87755 | Dec. 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Timeframe for an Approved Rule Change to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: January 10, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2019-003 | ||
| 34-87696 | Dec. 9, 2019 | Order Approving a Proposed Rule Change to Require Confirmation of Cybersecurity Program |
| SR-NSCC-2019-003 | ||
| 34-87392 | Oct. 24, 2019 | Notice of Filing of Proposed Rule Change to Require Confirmation of Cybersecurity Program
Comments due: November 20, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| Third Quarter | ||
| SR-NSCC-2019-002 | ||
| 34-87023 | Sep. 19, 2019 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: October 16, 2019 |
| SR-NSCC-2019-002 | ||
| 34-86556 | Aug. 2, 2019 | Notice of Filing of a Proposed Rule Change to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: August 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-NSCC-2019-001 | ||
| 34-85984 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Clarification and Technical Changes to Addendum K
Comments due: June 27, 2019 |
| First Quarter | ||
| There were no filings for the first quarter of 2019 | ||
NSCC File Number List for 2019
| SR-NSCC-2019-005 | ||
| 34-87755 | Dec. 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Timeframe for an Approved Rule Change to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NSCC-2019-004 | ||
| 34-87858 | Dec. 26, 2019 | Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: January 23, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2019-003 | ||
| 34-87696 | Dec. 9, 2019 | Order Approving a Proposed Rule Change to Require Confirmation of Cybersecurity Program |
| 34-87392 | Oct. 24, 2019 | Notice of Filing of Proposed Rule Change to Require Confirmation of Cybersecurity Program
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2019-002 | ||
| 34-87023 | Sep. 19, 2019 | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: October 16, 2019 |
| 34-86556 | Aug. 2, 2019 | Notice of Filing of a Proposed Rule Change to Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Comments due: August 29, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2019-001 | ||
| 34-85984 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Clarification and Technical Changes to Addendum K
Comments due: June 27, 2019 |