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

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