|
|
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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NSCC File Number List for 2009
Additional Archives
2023 |
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008 |
2007 |
2006 |
2005 |
2004 |
2003 |
2002 |
2001 |
2000 |
1999 |
1998 |
1997
Release No. |
Date |
Details |
Fourth Quarter |
SR-NSCC-2009-10 |
34-61215 |
Dec. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding National Securities Clearing Corporation’s Board of Directors Election Process and Delegation Authority
Comments due: January 19, 2010
|
SR-NSCC-2009-09 |
34-61089 |
Dec. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Canadian Depository for Securities to Risk-Based Margining
Comments due: December 29, 2009
|
SR-NSCC-2009-08 |
34-60765 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Certain Insurance and Retirement Processing Services
Comments due: October 30, 2009
|
Third Quarter |
SR-NSCC-2009-07 |
34-60660 |
Sep. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.: SR-DTC-2009-14, SR-FICC-2009-09
Comments due: October 13, 2009
Comments received are available for this notice.
|
SR-NSCC-2009-05 |
34-60368 |
Jul. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Haircuts Applied to Eligible Clearing Fund Securities
Comments due: August 18, 2009
|
SR-NSCC-2009-04 |
34-60234 |
Jul. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O
Comments due: July 31, 2009
|
Second Quarter |
SR-NSCC-2009-03 |
34-59917 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.: SR-DTC-2009-08 and SR-FICC-2009-06
Comments due: June 11, 2009
Comments received are available for this notice.
|
First Quarter |
SR-NSCC-2009-02 |
34-59607 |
Mar. 19, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee
Comments due: April 16, 2009
|
SR-NSCC-2009-01 |
34-59413 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Addendum O to Allow Admission of Entities that are Organized in a Country Other Than the U.S. for Admission as Limited Members
Comments due: March 17, 2009
|
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
|
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-2008-13 |
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-2008-10 |
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-2006-17 |
34-59238 |
Jan. 13, 2009 |
Order Approving Proposed Rule Change to Reorganize Membership Rules and Procedures
See also: Notice: Rel. No. 34-58100
|
Release No. |
Date |
Details |
SR-NSCC-2009-12 |
34-61413 |
Jan. 25, 2010 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due: February 19, 2010
|
SR-NSCC-2009-10 |
34-61215 |
Dec. 22, 2009 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding National Securities Clearing Corporation’s Board of Directors Election Process and Delegation Authority
Comments due: January 19, 2010
|
SR-NSCC-2009-09 |
34-61089 |
Dec. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Move the Canadian Depository for Securities to Risk-Based Margining
Comments due: December 29, 2009
|
SR-NSCC-2009-08 |
34-60765 |
Oct. 1, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fees for Certain Insurance and Retirement Processing Services
Comments due: October 30, 2009
|
SR-NSCC-2009-07 |
34-60660 |
Sep. 11, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Other File Nos.: SR-DTC-2009-14, SR-FICC-2009-09
Comments due: October 13, 2009
Comments received are available for this notice.
|
SR-NSCC-2009-05 |
34-60368 |
Jul. 22, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Haircuts Applied to Eligible Clearing Fund Securities
Comments due: August 18, 2009
|
SR-NSCC-2009-04 |
34-60234 |
Jul. 2, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Addendum O
Comments due: July 31, 2009
|
SR-NSCC-2009-03 |
34-59917 |
May 14, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
Additional File Nos.: SR-DTC-2009-08 and SR-FICC-2009-06
Comments due: June 11, 2009
|
SR-NSCC-2009-02 |
34-59607 |
Mar. 19, 2009 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Tiered Trade Netting Fee
Comments due: April 16, 2009
|
SR-NSCC-2009-01 |
34-59413 |
Feb. 18, 2009 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Addendum O to Allow Admission of Entities that are Organized in a Country Other Than the U.S. for Admission as Limited Members
Comments due: March 17, 2009
|
http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2009.shtml
|