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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 

NSCC File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-NSCC-2016-004
34-78808 Sep. 9, 2016 Notice of Filing of Proposed Rule Change to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members
Comments due:  October 6, 2016
Additional Materials: Exhibit 5

SR-NSCC-2016-003
34-78778 Sep. 7, 2016 Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due:  October 4, 2016
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005

SR-NSCC-2016-002
34-78525 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee
Comments due: September 6, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-NSCC-2016-001
34-77990 Jun. 3, 2016 Order Approving Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
See also: Notice: Rel. No. 34-77709

SR-NSCC-2016-001
34-77709 Apr. 26, 2016 Notice of Filing of a Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
Comments due: May 23, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77990


NSCC File Number List for 2016
Release No. Date Details

SR-NSCC-2016-004
34-78808 Sep. 9, 2016 Notice of Filing of Proposed Rule Change to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members
Comments due:  October 6, 2016
Additional Materials: Exhibit 5

SR-NSCC-2016-003
34-78778 Sep. 7, 2016 Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy
Comments due:  October 4, 2016
Additional File Nos.: SR-DTC-2016-007, SR-FICC-2016-005

SR-NSCC-2016-002
34-78525 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add a Clearing Fund Maintenance Fee
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-NSCC-2016-001
34-77990 Jun. 3, 2016 Order Approving Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
34-77709 Apr. 26, 2016 Notice of Filing of a Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
Comments due: May 23, 2016
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/nscc.shtml


Modified: 09/22/2016