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NSCC Rulemaking Archive: 2003

We encourage the public to submit comments on the following 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 web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

Chronological List

NSCC File Number List for 2003

Additional Archives


Chronological List
Release No. Date Details

SR-NSCC-2003-21
34-48846 Nov. 26, 2003

Notice of Filing of a Proposed Rule Change Relating to the New Separately Managed Accounts Service
See also:  Notice: Rel. No. 34-51154
Comments received are available for this notice.


SR–NSCC–2003–01
34–48819 Nov. 21, 2003 Notice of Withdrawal of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products"
See also:  Notice: Rel. No. 34-47662

SR–NSCC–2003–01
34–47662 Apr. 10, 2003 Notice of Filing of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products"
See also:  Notice: Rel. No. 34-48819
Comments received are available for this notice.


NSCC File Number List for 2003
Release No. Date Details

SR-NSCC-2003-22
34-51174 Feb. 9, 2005 Order Granting Approval of a Proposed Rule Change to Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members that Are Banks, Trust Companies, or Broker-Dealers
34-50797 Dec. 6, 2004 Notice of Filing of Proposed Rule Change to Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members that Are Banks, Trust Companies, or Broker-Dealers

SR-NSCC-2003-21
34-51154 Feb. 8, 2005 Notice of Withdrawal of a Proposed Rule Change Relating to the Separately Managed Accounts Service
34-48846 Nov. 26, 2003

National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change Relating to the New Separately Managed Accounts Service
Comments received are available for this notice.


SR-NSCC-2003-20
34-49598 Apr. 22, 2004

Order Approving Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services

34-49422 Mar. 16, 2004

Notice of Filing of Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services
Comments Due: April 12, 2004


SR-NSCC-2003-11
34-51362 Mar. 11, 2005 Order Granting Approval of a Proposed Rule Change to Amend the Criteria Used to Place Members on Surveillance Status and to Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires

SR-NSCC-2003-09
34-50395 Sep. 16, 2004 Order Approving Proposed Rule Change to Amend the Procedure for Determining Intraday Mark-to-the-Market Payments

SR-NSCC-2003-05
34-50085 Jul. 26, 2004 Order Granting Approval of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
34-49094 Jan. 16, 2004 Notice of Filing of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
Comments received are available for this notice.

SR-NSCC-2003-01
34–48819 Nov. 21, 2003 Notice of Withdrawal of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products"
34–47662 Apr. 10, 2003 Notice of Filing of a Proposed Rule Change Relating to New Rule 59, "Information Services for Investment Products"
Comments received are available for this notice.

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2003.shtml


Modified: 10/16/2014