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NSCC Rulemaking Archive: 2008
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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NSCC File Number List for 2008
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| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSCC-2008-08 |
| 34-59105 |
Dec. 16, 2008 |
Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
Comments due: January 20, 2009
See also: Order: Rel. No. 34-59321
|
SR-NSCC-2007-08 |
| 34-59044 |
Dec. 3, 2008 |
Order Approving Proposed Rule Change to Amend Membership Disqualification Criteria Rules
See also: Notice: Rel. No. 34-58123
|
SR-NSCC-2008-09 |
| 34-58988 |
Nov. 20, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement
Other File No.: SR-OCC-2008-18
Comments due: December 17, 2008
|
| Third Quarter |
SR-NSCC-2008-07 |
| 34-58694 |
Sep. 30, 2008 |
Order Approving Proposed Rule Change to Enhance Processing of Exchange-Traded Funds
See also: Notice: Rel. No. 34-58314
|
SR-NSCC-2007-15 |
| 34-58344 |
Aug. 12, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities
See also: Notice: Rel. No. 34-57391
|
NSCC-2008-07 |
| 34-58314 |
Aug. 5, 2008 |
Notice of Filing of Proposed Rule Change to Enhance Processing of Exchange-Traded Funds
Comments due: September 2, 2008
See also: Order: Rel. No. 34-58694
|
SR-NSCC-2008-06 |
| 34-58300 |
Aug. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Equity Options Service to Include Bond Options
Comments due: September 2, 2008
|
SR-NSCC-2007-07 |
| 34-58160 |
Jul. 15, 2008 |
Order Approving Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
See also: Notice: Rel. No. 34-57667
|
SR-NSCC-2008-04 |
| 34-58126 |
Jul. 9, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of NSCC's Mutual Fund Service by Investment Managers in Managed Account Programs
Comments due: August 6, 2008
Comments received are available for this notice.
|
SR-NSCC-2007-08 |
| 34-58123 |
Jul. 9, 2008 |
Notice of Filing of Proposed Rule Change to Amend Membership Disqualification Criteria Rules
Comments due: August 8, 2008
 Submit comments on SR-NSCC-2007-08
|
SR-NSCC-2008-05 |
| 34-58104 |
Jul. 7, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Certain NSCC Services
Comments due: July 31, 2008
|
SR-NSCC-2006-17 |
| 34-58100 |
Jul. 3, 2008 |
Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 to Reorganize Membership Rules and Procedures
Comments due: July 31, 2008
See also: Order Rel. No. 34-59238
|
| Second Quarter |
SR-NSCC-2008-03 |
| 34-58053 |
Jun. 27, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Support the Processing of Instructions for the Transfer or Reallocation of Underlying Investment Options Within a Variable Insurance Contract [CORRECTED]
Comments due: July 28, 2008
|
SR-NSCC-2007-14 |
| 34-57901 |
Jun. 2, 2008 |
Order Approving Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.: SR-DTC-2007-14
See also: Notice: Rel. No. 34-57573
|
SR-NSCC-2007-12 |
| 34-57813 |
May 12, 2008 |
Order Granting Approval of a Proposed Rule Change to Provide a New Alternative Investments Products Service
See also: Notice: Rel. No. 34-57461
|
SR-NSCC-2007-07 |
| 34-57667 |
Apr. 15, 2008 |
Notice of Filing of Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
Comments due: May 13, 2008
See also: Order: Rel. No. 34-58160
|
SR-NSCC-2008-01 |
| 34-57609 |
Apr. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Rules with Regard to the Formula Used within the Stock Borrow Program
Comments due: May 2, 2008
|
| First Quarter |
SR-NSCC-2007-14 |
| 34-57573 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.: SR-DTC-2007-14
Comments due: 21 days after publication in the Federal Register
|
SR-NSCC-2007-12 |
| 34-57461 |
Mar. 10, 2008 |
Notice of Filing of a Proposed Rule Change to Provide a New Alternative Investments Products Service
Comments due: April 7, 2008
See also: Order: Rel. No. 34-57813
|
SR-NSCC-2007-06 |
| 34-57404 |
Feb. 29, 2008 |
Order Approving Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
See also: Notice: Rel. No. 34-56865
|
SR-NSCC-2007-15 |
| 34-57391 |
Feb. 27, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the Admission of Foreign Entities
Comments due: March 28, 2008
See also: Order: Rel. No. 34-58344
|
SR-NSCC-2007-17 |
| 34-57385 |
Feb. 27, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule
Comments due: March 26, 2008
|
SR-NSCC-2007-16 |
| 34-57194 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Provide Clarification with Respect to the Correspondent Clearing Service and to Make Technical Changes to the Rules and Procedures Relative to Trade Recording and Special Representative Services
Comments due: February 20, 2008
Comments received are available for this notice.
|
| Release No. |
Date |
Details |
SR-NSCC-2008-13 |
| 34-59285 |
Jan. 23, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Fee Structure
Comments due: February 23, 2009
|
SR-NSCC-2008-12 |
| 34-59302 |
Jan. 27, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow the Transfer and Reregistration of Fund/SERV Eligible Fund Positions to and from a Financial Intermediary and a Mutual Fund Company
Comments due: February 23, 2009
|
SR-NSCC-2008-10 |
| 34-59252 |
Jan. 15, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Enhancement to its Insurance and Retirement Services to Allow for the Electronic Exchange of Attachments to Messages
Comments due: February 17, 2009
|
SR-NSCC-2008-09 |
| 34-58988 |
Nov. 20, 2008 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Relating to Amendment No. 2 to the Third Amended and Restated Options Exercise Settlement Agreement
Other File No.: SR-OCC-2008-18
Comments due: December 17, 2008
|
SR-NSCC-2008-08 |
| 34-59321 |
Jan. 30, 2009 |
Order Granting Approval of a Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
See also: Notice: Rel. No. 34-59105
|
| 34-59105 |
Dec. 16, 2008 |
Notice of Filing of Proposed Rule Change to Amend Rules to Add an Agreement from Fund Members that Submit Mutual Fund Profile Information
Comments due: January 20, 2009
|
SR-NSCC-2008-07 |
| 34-58694 |
Sep. 30, 2008 |
Order Approving Proposed Rule Change to Enhance Processing of Exchange-Traded Funds
|
| 34-58314 |
Aug. 5, 2008 |
Notice of Filing of Proposed Rule Change to Enhance Processing of Exchange-Traded Funds
Comments due: September 2, 2008
|
SR-NSCC-2008-06 |
| 34-58300 |
Aug. 4, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the Equity Options Service to Include Bond Options
Comments due: September 2, 2008
|
SR-NSCC-2008-05 |
| 34-58104 |
Jul. 7, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower Fees for Certain NSCC Services
Comments due: July 31, 2008
|
SR-NSCC-2008-04 |
| 34-58126 |
Jul. 9, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Use of NSCC's Mutual Fund Service by Investment Managers in Managed Account Programs
Comments due: August 6, 2008
Comments received are available for this notice.
|
SR-NSCC-2008-03 |
| 34-58053 |
Jun. 27, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Support the Processing of Instructions for the Transfer or Reallocation of Underlying Investment Options Within a Variable Insurance Contract [CORRECTED]
Comments due: July 28, 2008
|
SR-NSCC-2008-01 |
| 34-57609 |
Apr. 3, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Amend the Rules with Regard to the Formula Used within the Stock Borrow Program
Comments due: May 2, 2008
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2008.shtml
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