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 2020
Additional Archives
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Chronological List for 2020
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-NSCC-2020-021 | ||
| 34-90649 | Dec. 11, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agencies Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Additional File Nos.: SR-DTC-2020-018, SR-FICC-2020-018 |
| SR-NSCC-2020-019 | ||
| 34-90626 | Dec. 10, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Operational Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional File Nos.: SR-DTC-2020-015, SR-FICC-2020-016 |
| SR-NSCC-2020-020 | ||
| 34-90606 | Dec. 8, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Making Certain Other Changes to Procedure XV
Comments due: January 4, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-018 | ||
| 34-90543 | Dec. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Structure
Comments due: December 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-003 | ||
| 34-90502 | Nov. 24, 2020 | Order Approving a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| SR-NSCC-2020-016 | ||
| 34-90181 | Oct. 14, 2020 | Notice of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: November 10, 2020 |
| SR-NSCC-2020-017 | ||
| 34-90092 | Oct. 5, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Insurance and Retirement Processing Services to Provide for a New Centralized Repository and Transactional Platform Called "Insurance Information Exchange" and Make Certain Clarification Changes to the NSCC Rules & Procedures.
Comments due: October 30, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-016 | ||
| 34-90084 | Oct. 2, 2020 | Self-Regulatory Organizations; National Securities Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge |
| Third Quarter | ||
| SR-NSCC-2020-003 | ||
| 34-89949 | Sep. 22, 2020 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| SR-NSCC-2020-016 | ||
| 34-89558 | Aug. 14, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: September 10, 2020 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-015 | ||
| 34-89408 | Jul. 28, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for the Subscription-Based Portfolio Composition File Reporting Service
Comments due: August 24, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-014 | ||
| 34-89360 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-013 | ||
| 34-89322 | Jul. 15, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the NSCC Equity Options and Bond Options Service from Addendum M of the NSCC Rules & Procedures
Comments due: August 11, 2020. Additional Materials: Exhibit 5 |
| SR-NSCC-2020-012 | ||
| 34-89271 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
Comments due: August 5, 2020. Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-NSCC-2020-003 | ||
| 34-89145 | Jun. 24, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
Comments due: July 21, 2020. Rebuttal comments due: August 4, 2020. |
| SR-NSCC-2020-011 | ||
| 34-89141 | Jun. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Clearing Fund Maintenance Fee
Comments due: July 21, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-010 | ||
| 34-89088 | Jun. 18, 2020 | Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Amend Rules with Respect to Index Receipts
Comments due: July 15, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-008 | ||
| 34-88911 | May 20, 2020 | Order Approving a Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-DTC-2020-008, SR-FICC-2020-004 |
| SR-NSCC-2020-003 | ||
| 34-88885 | May 15, 2020 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| SR-NSCC-2020-008 | ||
| 34-88637 | Apr. 15, 2020 | Notice of Filing of Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-009 | ||
| 34-88579 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Access to the Fund/SERV Service by Data Services Only Members in Rule 52 and Revise the Defined Term for Fund/SERV in the NSCC Rules.
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-NSCC-2020-007 | ||
| 34-88514 | Mar. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 24, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-002 | ||
| 34-88494 | Mar. 27, 2020 | Order Approving a Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge |
| SR-NSCC-2020-003 | ||
| 34-88474 | Mar. 25, 2020 | Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
Comments due: April 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-006 | ||
| 34-88343 | Mar. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: April 2, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-004 | ||
| 34-88260 | Feb. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NSCC-2019-004 | ||
| 34-88191 | Feb. 13, 2020 | Order Approving a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds |
| SR-NSCC-2020-002 | ||
| 34-88163 | Feb. 11, 2020 | Notice of Filing of Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-001 | ||
| 34-88092 | Jan. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance National Securities Clearing Corporation's Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 50
Comments due: February 26, 2020 Additional Materials: Exhibit 5 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-NSCC-2020-021 | ||
| 34-90649 | Dec. 11, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agencies Liquidity Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 Additional File Nos.: SR-DTC-2020-018, SR-FICC-2020-018 |
| SR-NSCC-2020-020 | ||
| 34-90606 | Dec. 8, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Making Certain Other Changes to Procedure XV
Comments due: January 4, 2021 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-019 | ||
| 34-90626 | Dec. 10, 2020 | Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Operational Risk Management Framework
Comments due: 21 days after publication in the Federal Register Additional File Nos.: SR-DTC-2020-015, SR-FICC-2020-016 |
| SR-NSCC-2020-018 | ||
| 34-90543 | Dec. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Structure
Comments due: December 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-017 | ||
| 34-90092 | Oct. 5, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance the Insurance and Retirement Processing Services to Provide for a New Centralized Repository and Transactional Platform Called "Insurance Information Exchange" and Make Certain Clarification Changes to the NSCC Rules & Procedures.
Comments due: October 30, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-016 | ||
| 34-90181 | Oct. 14, 2020 | Notice of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: November 10, 2020 |
| 34-90084 | Oct. 2, 2020 | Self-Regulatory Organizations; National Securities Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge |
| 34-89558 | Aug. 14, 2020 | Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Comments due: September 10, 2020 Additional Materials: Exhibit 3, Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-015 | ||
| 34-89408 | Jul. 28, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for the Subscription-Based Portfolio Composition File Reporting Service
Comments due: August 24, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-014 | ||
| 34-89360 | Jul. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements
Comments due: August 17, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-013 | ||
| 34-89322 | Jul. 15, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the NSCC Equity Options and Bond Options Service from Addendum M of the NSCC Rules & Procedures
Comments due: August 11, 2020. Additional Materials: Exhibit 5 |
| SR-NSCC-2020-012 | ||
| 34-89271 | Jul. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Clearing Agency Risk Management Framework
Comments due: August 5, 2020. Additional Materials: Exhibit 5 |
| SR-NSCC-2020-011 | ||
| 34-89141 | Jun. 24, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Clearing Fund Maintenance Fee
Comments due: July 21, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-NSCC-2020-010 | ||
| 34-89088 | Jun. 18, 2020 | Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Amend Rules with Respect to Index Receipts
Comments due: July 15, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-009 | ||
| 34-88579 | Apr. 7, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Access to the Fund/SERV Service by Data Services Only Members in Rule 52 and Revise the Defined Term for Fund/SERV in the NSCC Rules.
Comments due: May 4, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-008 | ||
| 34-88911 | May 20, 2020 | Order Approving a Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-DTC-2020-008, SR-FICC-2020-004 |
| 34-88637 | Apr. 15, 2020 | Notice of Filing of Proposed Rule Change to Modify the Clearing Agency Model Risk Management Framework
Comments due: May 12, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-007 | ||
| 34-88514 | Mar. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Investment Policy
Comments due: April 24, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-006 | ||
| 34-88343 | Mar. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: April 2, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-004 | ||
| 34-88260 | Feb. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-NSCC-2020-003 | ||
| 34-90502 | Nov. 24, 2020 | Order Approving a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| 34-89949 | Sep. 22, 2020 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| 34-89145 | Jun. 24, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
Comments due: July 21, 2020. Rebuttal comments due: August 4, 2020. |
| 34-88885 | May 15, 2020 | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV |
| 34-88474 | Mar. 25, 2020 | Notice of Filing of Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV
Comments due: April 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-NSCC-2020-002 | ||
| 34-88494 | Mar. 27, 2020 | Order Approving a Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge |
| 34-88163 | Feb. 11, 2020 | Notice of Filing of Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-NSCC-2020-001 | ||
| 34-88092 | Jan. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance National Securities Clearing Corporation's Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 50
Comments due: February 26, 2020 Additional Materials: Exhibit 5 |