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 2018

Additional Archives

Chronological List for 2018

Release No. Date Details
Third Quarter
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-2018-005
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-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