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NSCC Rulemaking: 2011

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 2011

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-NSCC-2011-10
34-66068 Dec. 29, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
See also:  Notice: Rel. No. 34-65788

SR-NSCC-2011-10
34-65788 Nov. 18, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
Comments due:  December 16, 2011
See also:  Order: Rel. No. 34-66068

SR-NSCC-2011-09
34-65623 Oct. 26, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise NSCC's Fee Schedule as it Applies to Certain Hedge Fund Products within NSCC's Alternative Investment Products Service
Comments due:  November 22, 2011
Third Quarter

SR-NSCC-2011-07
34-65401 Sep. 26, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC’s Automated
Comments due:  October 21, 2011

SR-NSCC-2011-04
34-65032 Aug. 4, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
See also:  Notice: Rel. No. 34-64769

SR-NSCC-2011-06
34-65008 Aug. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees
Comments due:  August 29, 2011

SR-NSCC-2011-05
34-64798 Jul. 1, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated with the Obligation Warehouse Service
Comments due:  July 29, 2011
Second Quarter

SR-NSCC-2011-04
34-64769 Jun. 29, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
See also:  Order: Rel. No. 34-65032
Comments due:  July 27, 2011

SR-NSCC-2011-03
34-64666 Jun. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service
Comments due:  July 11, 2011

SR-NSCC-2011-02
34-64487 May 13, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating To Updating the Range of Haircuts to be Applied to Eligible Clearing Fund Securities
Comments due:  June 9, 2011

SR-NSCC-2010-15
34-64196 Apr. 6, 2011 Order Approving Proposed Rule Change Relating to Establishing an Automated Service for the Processing of Transfers, Replacements, and Exchanges of Insurance and Retirement Products
See also:  Notice: Rel. No. 34-63368
First Quarter

SR-NSCC-2011-01
34-64065 Mar. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes
Comments due:  April 5, 2011

SR-NSCC-2010-16
34-63722 Jan. 14, 2011 Order Granting Approval of a Proposed Rule Change to Amend Procedure II of the NSCC Rules & Procedures to Modify the Money Tolerance Comparison Provisions for Fixed Income Securities
See also:  Notice: Rel. No. 34-63404

SR-NSCC-2010-09
34-63668 Jan. 6, 2011 Order Approving Proposed Rule Change Regarding the Creation of a Universal Trade Capture Application and Automated Special Representative Facility
See also:  Notice: Rel. No. 34-62882

SR-NSCC-2010-19
34-63634 Jan. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modifications to the Fee Schedule
Comments due:  January 31, 2011


File Number List
Release No. Date Details

SR-NSCC-2011-10
34-66068 Dec. 29, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
34-65788 Nov. 18, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to the Creation of a Service to Provide Post-Trade Information
Comments due:  December 16, 2011

SR-NSCC-2011-09
34-65623 Oct. 26, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise NSCC's Fee Schedule as it Applies to Certain Hedge Fund Products within NSCC's Alternative Investment Products Service
Comments due:  November 22, 2011

SR-NSCC-2011-07
34-65401 Sep. 26, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend Rules Relating to the Settlement Timing of Partial Transfers Which Include Mutual Fund Assets Through NSCC’s Automated
Comments due:  October 21, 2011

SR-NSCC-2011-06
34-65008 Aug. 2, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service Fees
Comments due:  August 29, 2011

SR-NSCC-2011-05
34-64798 Jul. 1, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Associated with the Obligation Warehouse Service
Comments due:  July 29, 2011

SR-NSCC-2011-04
34-65032 Aug. 4, 2011 Order Granting Approval of a Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
34-64769 Jun. 29, 2011 Notice of Filing of Proposed Rule Change to Amend Rules Relating to Discontinuing Dividend Settlement Service, Funds Only Settlement Service, Data Distribution Box Services, and Changes to the Envelope Settlement Service
Comments due:  July 27, 2011

SR-NSCC-2011-03
34-64666 Jun. 14, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Analytic Reporting Service
Comments due:  July 11, 2011

SR-NSCC-2011-02
34-64487 May 13, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating To Updating the Range of Haircuts to be Applied to Eligible Clearing Fund Securities
Comments due:  June 9, 2011

SR-NSCC-2011-01
34-64065 Mar. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Modification of Trade Recording Fee for Bonds and Other Technical Rule Changes
Comments due:  April 5, 2011

 

http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2011.shtml


Modified: 02/16/2012