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
Third Quarter |
Second Quarter | First Quarter
NSCC File Number List for 2017
Additional Archives
2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
Chronological List for 2017
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-NSCC-2017-012 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
See also: Order: Rel. No. 34-81248 Additional File Nos.: SR-DTC-2017-013, SR-FICC-2017-016 |
| SR-NSCC-2017-010 | ||
| 34-81550 | Sep. 7, 2017 | Order Approving Proposed Rule Change to Expand the Application of the Family-Issued Securities Charge
See also: Notice: Rel. No. 34-81203 |
| SR-NSCC-2017-008 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
See also: Order: Rel. No. 34-81074 Additional File Nos.: SR-DTC-2017-008, SR-FICC-2017-014 |
| SR-NSCC-2017-015 | ||
| 34-81439 | Aug. 18, 2017 | Notice of Filing of Proposed Rule Change to Amend and Clarify a Margin Charge Relating to CNS Fails Position
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-013 | ||
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 Additional File Nos.: SR-DTC-2017-014, SR-FICC-2017-017 |
| SR-NSCC-2017-011 | ||
| 34-81339 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services.
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-014 | ||
| 34-81306 | Aug. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-007 | ||
| 34-81266 | Jul. 31, 2017 | Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-OCC-2017-013 See also: Notice: Rel. No. 34-80942 |
| SR-NSCC-2017-012 | ||
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 See also: Order: Rel. No. 34-81635 Additional File Nos.: SR-DTC-2017-013, SR-FICC-2017-016 |
| SR-NSCC-2017-010 | ||
| 34-81203 | Jul. 25, 2017 | Notice of Filing of a Proposed Rule Change to Expand the Application of the Family-Issued Securities Charge
Comments due: August 21, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81550 |
| SR-NSCC-2017-005 | ||
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| SR-NSCC-2017-006 | ||
| 34-81192 | Jul. 24, 2017 | Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017 Rebuttal comments due: August 18, 2017 See also: Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| SR-NSCC-2017-004 | ||
| 34-81105 | Jul. 7, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
See also: Notice: Rel. No. 34-80878, Notice: Rel. No. 34-80491 Additional File No.: SR-DTC-2017-003; SR-FICC-2017-007 |
| Second Quarter | ||
| SR-NSCC-2017-008 | ||
| 34-81074 | Jul. 5, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017 See also: Order: Rel. No. 34-81485 Additional File Nos.: SR-DTC-2017-008, SR-FICC-2017-014 |
| SR-NSCC-2017-009 | ||
| 34-81044 | Jun. 29, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Further Describe and Codify Existing Practices Relating to the Bond Haircut
Comments due: July 27, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-007 | ||
| 34-80942 | Jun. 15, 2017 | Notice of Filing of Proposed Rule Change to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation
Comments due: July 11, 2017 See also: Order: Rel. No. 34-81266 |
| SR-NSCC-2017-004 | ||
| 34-80878 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
See also: Order: Rel. No. 34-81105, Notice: Rel. No. 34-80491 Additional File No.: SR-DTC-2017-003; SR-FICC-2017-007 |
| SR-NSCC-2017-005 | ||
| 34-80877 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80489 Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| SR-NSCC-2017-006 | ||
| 34-80876 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
See also: Notice: Rel. No.34-81192, Notice: Rel. No. 34-80485 Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| SR-NSCC-2017-002 | ||
| 34-80734 | May 19, 2017 | Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes
See also: Notice: Rel. No. 34-80381 Additional File Nos.: SR-DTC-2017-002, SR-FICC-2017-006 |
| SR-NSCC-2017-001 | ||
| 34-80597 | May 4, 2017 | Order Approving Proposed Rule Change to Describe the Illiquid Charge that May Be Imposed on Members
See also: Notice: Rel. No. 34-80260 |
| SR-NSCC-2017-004 | ||
| 34-80491 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017 See also: Order: Rel. No. 34-81105, Notice: Rel. No. 34-80878 Additional File Nos.: SR-DTC-2017-003, SR-FICC-2017-007 |
| SR-NSCC-2017-005 | ||
| 34-80489 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017 See also: Notice: Rel. No. 34-81194, Notice: Rel. No. 34-80877 Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| SR-NSCC-2017-006 | ||
| 34-80485 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017 See also: Notice: Rel. No.34-81192, Notice: Rel. No. 34-80876 Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| SR-NSCC-2017-003 | ||
| 34-80404 | Apr. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for a New Data Repository Feature Called "Insurance Profile" for Transmission of Fee Data and Implement Fees in Connection with This Feature
Comments due: May 4, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-002 | ||
| 34-80381 | Apr. 5, 2017 | Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80734 |
| First Quarter | ||
| SR-NSCC-2017-001 | ||
| 34-80260 | Mar. 16, 2017 | Notice of Filing of a Proposed Rule Change to Describe the Illiquid Charge that May Be Imposed on Members
Comments due: April 12, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80597 |
| SR-NSCC-2016-008 | ||
| 34-79904 | Jan. 31, 2017 | Order Granting Approval of Proposed Rule Change to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes
See also: Notice: Rel. No. 34-79655 |
| SR-NSCC-2016-009 | ||
| 34-79739 | Jan. 4, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adjust Fees Related to Insurance and Retirement Processing Services
Comments due: January 31, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2016-007 | ||
| 34-79734 | Jan. 4, 2017 | Order Granting Approval of Proposed Rule Change to Accommodate Shorter Standard Settlement Cycle and Make Other Changes
See also: Notice: Rel. No. 34-79356 |
NSCC File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-NSCC-2017-015 | ||
| 34-81439 | Aug. 18, 2017 | Notice of Filing of Proposed Rule Change to Amend and Clarify a Margin Charge Relating to CNS Fails Position
Comments due: September 14, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-014 | ||
| 34-81306 | Aug. 3, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Effective Date of the Settlement Cycle Rule Changes
Comments due: August 30, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-013 | ||
| 34-81338 | Aug. 8, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Operational Risk Management Framework
Comments due: September 5, 2017 Additional File Nos.: SR-DTC-2017-014, SR-FICC-2017-017 |
| SR-NSCC-2017-012 | ||
| 34-81635 | Sep. 15, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Additional File Nos.: SR-DTC-2017-013, SR-FICC-2017-016 |
| 34-81248 | Jul. 28, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Risk Management Framework
Comments due: August 23, 2017 Additional File Nos.: SR-DTC-2017-013, SR-FICC-2017-016 |
| SR-NSCC-2017-011 | ||
| 34-81339 | Aug. 8, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services.
Comments due: September 5, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-010 | ||
| 34-81550 | Sep. 7, 2017 | Order Approving Proposed Rule Change to Expand the Application of the Family-Issued Securities Charge |
| 34-81203 | Jul. 25, 2017 | Notice of Filing of a Proposed Rule Change to Expand the Application of the Family-Issued Securities Charge
Comments due: August 21, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-009 | ||
| 34-81044 | Jun. 29, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Further Describe and Codify Existing Practices Relating to the Bond Haircut
Comments due: July 27, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-008 | ||
| 34-81485 | Aug. 25, 2017 | Order Approving Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Additional File Nos.: SR-DTC-2017-008, SR-FICC-2017-014 |
| 34-81074 | Jul. 5, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Model Risk Management Framework
Comments due: August 1, 2017 Additional File Nos.: SR-DTC-2017-008, SR-FICC-2017-014 |
| SR-NSCC-2017-007 | ||
| 34-81266 | Jul. 31, 2017 | Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-OCC-2017-013 |
| 34-80942 | Jun. 15, 2017 | Notice of Filing of Proposed Rule Change to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation
Comments due: July 11, 2017 |
| SR-NSCC-2017-006 | ||
| 34-81192 | Jul. 24, 2017 | Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: August 14, 2017 Rebuttal comments due: August 18, 2017 See also: Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| 34-80876 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| 34-80485 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-005, SR-FICC-2017-009 |
| SR-NSCC-2017-005 | ||
| 34-81194 | Jul. 24, 2017 | Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: August 18, 2017 Rebuttal comments due: September 1, 2017 See also: Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| 34-80877 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| 34-80489 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-004, SR-FICC-2017-008 |
| SR-NSCC-2017-004 | ||
| 34-81105 | Jul. 7, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Additional File No.: SR-DTC-2017-003; SR-FICC-2017-007 |
| 34-80878 | Jun. 7, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Additional File No.: SR-DTC-2017-003; SR-FICC-2017-007 |
| 34-80491 | Apr. 19, 2017 | Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan
Comments due: May 16, 2017 Additional File Nos.: SR-DTC-2017-003, SR-FICC-2017-007 |
| SR-NSCC-2017-003 | ||
| 34-80404 | Apr. 7, 2017 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide for a New Data Repository Feature Called "Insurance Profile" for Transmission of Fee Data and Implement Fees in Connection with This Feature
Comments due: May 4, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-002 | ||
| 34-80734 | May 19, 2017 | Order Approving Proposed Rule Changes to Enhance the Credit Risk Rating Matrix and Make Other Changes
Additional File Nos.: SR-DTC-2017-002, SR-FICC-2017-006 |
| 34-80381 | Apr. 5, 2017 | Notice of Filing of Proposed Rule Change to Enhance the Credit Risk Rating Matrix and Make Other Changes
Comments due: May 2, 2017 Additional Materials: Exhibit 5 |
| SR-NSCC-2017-001 | ||
| 34-80597 | May 4, 2017 | Order Approving Proposed Rule Change to Describe the Illiquid Charge that May Be Imposed on Members |
| 34-80260 | Mar. 16, 2017 | Notice of Filing of a Proposed Rule Change to Describe the Illiquid Charge that May Be Imposed on Members
Comments due: April 12, 2017 Additional Materials: Exhibit 5 |