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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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
NSCC File Number List for 2013
Additional Archives
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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-2013-13 |
34-71156 |
Dec. 20, 2013 |
Notice of Filing of Proposed Rule Change to Discontinue its Stock Borrow Program
Comments due: January 17, 2014
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-71455
|
SR-NSCC-2013-14 |
34-71155 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: January 17, 2014
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-02 |
34-70999 |
Dec. 5, 2013 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also:
Notice: Rel. No. 34-70688,
Notice: Rel. No. 34-70501,
Notice: Rel. No. 34-69951,
Notice: Rel. No. 34-69620,
Notice: Rel. No. 34-69313
|
SR-NSCC-2013-12 |
34-70946 |
Nov. 26, 2013 |
Notice of Filing of Proposed Rule Change to Provide Its Members with a Risk Management Tool that Would Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached
Comments due: December 24, 2013
Additional Materials:
Exhibit 5
See also:
Order: 34-71637
Comments received
are available
for this proposal.
|
SR-NSCC-2013-11 |
34-70937 |
Nov. 25, 2013 |
Notice of Filing of Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
Comments due: December 20, 2013
See also:
Order: Rel. No. 34-71251
|
SR-NSCC-2013-10 |
34-70848 |
Nov. 12, 2013 |
Order Approving Proposed Rule Change to Decommission Its Trade Risk Pro Service
See also:
Notice: Rel. No. 34-70544
|
SR-NSCC-2013-02 |
34-70688 |
Oct. 15, 2013 |
Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: November 5, 2013
Additional Materials:
Exhibit 5
See also:
Order: Rel. No. 34-70999,
Notice: Rel. No. 34-70501,
Notice: Rel. No. 34-69951,
Notice: Rel. No. 34-69620,
Notice: Rel. No. 34-69313
|
Third Quarter |
SR-NSCC-2013-10 |
34-70544 |
Sep. 27, 2013 |
Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service
Comments due: October 24, 2013
See also:
Order: Rel. No. 34-70848
|
SR-NSCC-2013-02 |
34-70501 |
Sep. 25, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also:
Order: Rel. No. 34-70999,
Notice: Rel. No. 34-70688,
Notice: Rel. No. 34-69951,
Notice: Rel. No. 34-69620,
Notice: Rel. No. 34-69313
|
SR-NSCC-2013-09 |
34-70263 |
Aug. 27, 2013 |
Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
See also:
Notice: Rel. No. 34-69980
|
SR-NSCC-2013-09 |
34-69980 |
Jul. 12, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
Comments due: August 8, 2013
See also:
Order: Rel. No. 34-70263
|
SR-NSCC-2013-02 |
34-69951 |
Jul. 9, 2013 |
Notice of Filing Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Rebuttal comments due: August 20, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-70999,
Notice: Rel. No. 34-70688,
Notice: Rel. No. 34-70501,
Notice: Rel. No. 34-69620,
Notice: Rel. No. 34-69313
|
Second Quarter |
SR-NSCC-2013-05 |
34-69890 |
Jun. 28, 2013 |
Order Approving Proposed Rule Change to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
See also:
Notice: Rel. No. 34-69571
|
SR-NSCC-2013-08 |
34-69824 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Analytic Reporting Service to Permit Increased Source Data
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-04 |
34-69742 |
Jun. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
See also:
Notice: Rel. No. 34-69497
|
SR-NSCC-2013-07 |
34-69694 |
Jun. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Consists of Technical Corrections to Reflect the Availability of Certain Functionality in the Obligation Warehouse Service
Comments due: July 1, 2013
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-02 |
34-69620 |
May 22, 2013 |
Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: June 19, 2013
Additional Materials:
Exhibit 2
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-70999,
Notice: Rel. No. 34-70688,
Notice: Rel. No. 34-70501,
Notice: Rel. No. 34-69951,
Notice: Rel. No. 34-69313
|
SR-NSCC-2013-06 |
34-69596 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Related to Portfolio Composition File Reporting in Addendum A of NSCC's Rules and Procedures
Comments due: June 12, 2013
|
SR-NSCC-2013-05 |
34-69571 |
May 14, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 10, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NSCC-2013-04 |
34-69497 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
See also:
Order: Rel. No. 34-69742
|
SR-NSCC-2013-02 |
34-69313 |
Apr. 4, 2013 |
Notice of Filing of Proposed Rule Change to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.:
SR-NSCC-2013-802
Comments due: May 1, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
See also:
Order: Rel. No. 34-70999,
Notice: Rel. No. 34-70688,
Notice: Rel. No. 34-70501,
Notice: Rel. No. 34-69951,
Notice: Rel. No. 34-69620
|
SR-NSCC-2012-10 |
34-69302 |
Apr. 4, 2013 |
Order Approving Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
See also:
Notice: Rel. No. 34-68829,
Notice: Rel. No. 34-68549
|
First Quarter |
SR-NSCC-2013-01 |
34-69221 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Net and Bilaterally Offset Aggregated Receive and Deliver Settlement Obligations for Special Trades, and to Use Current Market Price as the Uniform Settlement Price for Net Balance Orders
Comments due: April 18, 2013
|
SR-NSCC-2012-10 |
34-68829 |
Feb. 5, 2013 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Eliminate the Offset of Its Obligations with Institutional Delivery Transactions that Settle at The Depository Trust Company for the Purpose of Calculating Its Clearing Fund Under Procedure XV of Its Rules & Procedures
See also:
Order: Rel. No. 34-69302,
Notice: Rel. No. 34-68549
Comments received
are available
for this proposal.
|
SR-NSCC-2012-11 |
34-68562 |
Jan. 2, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Its Fee Structure as It Relates to Certain Insurance and Retirement Processing Services and to Remove Reference to and the Fees Related to FundSPEED, a Discontinued Service
Comments due: January 29, 2013
|
NSCC File Number List for 2013 |
Release No. |
Date |
Details |
SR-NSCC-2013-14 |
34-71155 |
Dec. 20, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: January 17, 2014
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-13 |
34-71455 |
Jan. 31, 2014 |
Order Approving Proposed Rule Change to Discontinue its Stock Borrow Program
|
34-71156 |
Dec. 20, 2013 |
Notice of Filing of Proposed Rule Change to Discontinue its Stock Borrow Program
Comments due: January 17, 2014
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-12 |
34-71637 |
Feb. 28, 2014 |
Order Approving Proposed Rule Change to Provide Members with a Risk Management Tool that Will Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits Are Reached
|
34-70946 |
Nov. 26, 2013 |
Notice of Filing of Proposed Rule Change to Provide Its Members with a Risk Management Tool that Would Enable Members to Monitor Trading Activity and Receive Notifications When Pre-Set Trading Limits are Reached
Comments due: December 24, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NSCC-2013-11 |
34-71251 |
Jan. 7, 2014 |
Order Approving Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW |
34-70937 |
Nov. 25, 2013 |
Notice of Filing of Proposed Rule Change to Add a New Service to the National Securities Clearing Corporation's Obligation Warehouse ("OW") Which Would Pair Off and Close Certain Open Obligations, Reducing the Number of Open Obligations in OW
Comments due: December 20, 2013
|
SR-NSCC-2013-10 |
34-70848 |
Nov. 12, 2013 |
Order Approving Proposed Rule Change to Decommission Its Trade Risk Pro Service
See also:
Notice: Rel. No. 34-70544
|
34-70544 |
Sep. 27, 2013 |
Notice of Filing of Proposed Rule Change to Decommission Its Trade Risk Pro Service
Comments due: October 24, 2013
See also:
Order: Rel. No. 34-70848
|
SR-NSCC-2013-09 |
34-70263 |
Aug. 27, 2013 |
Order Approving Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
|
34-69980 |
Jul. 12, 2013 |
Notice of Filing of Proposed Rule Change Relating to the Decommissioning of NSCC's Over-the-Counter (OTC) Equity Comparison Service
Comments due: August 8, 2013
|
SR-NSCC-2013-08 |
34-69824 |
Jun. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Analytic Reporting Service to Permit Increased Source Data
Comments due: July 18, 2013
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-07 |
34-69694 |
Jun. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change that Consists of Technical Corrections to Reflect the Availability of Certain Functionality in the Obligation Warehouse Service
Comments due: July 1, 2013
Additional Materials:
Exhibit 5
|
SR-NSCC-2013-06 |
34-69596 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Related to Portfolio Composition File Reporting in Addendum A of NSCC's Rules and Procedures
Comments due: June 12, 2013
|
SR-NSCC-2013-05 |
34-69890 |
Jun. 28, 2013 |
Order Approving Proposed Rule Change to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
See also:
Notice: Rel. No. 34-69571
|
34-69571 |
May 14, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Require that All Locked-in Trade Data Submitted to It for Trade Recording be Submitted in Real-time
Comments due: June 10, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NSCC-2013-04 |
34-69742 |
Jun. 12, 2013 |
Order Approving Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
|
34-69497 |
May 2, 2013 |
Notice of Filing of Proposed Rule Change in Connection with the Implementation of The Foreign Account Tax Compliance Act (FATCA)
Comments due: May 29, 2013
|
SR-NSCC-2013-02 |
34-70999 |
Dec. 5, 2013 |
Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
|
34-70688 |
Oct. 15, 2013 |
Notice of Filing Amendment No. 3 to a Proposed Rule Change, as Previously Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: November 5, 2013
Additional Materials:
Exhibit 5
|
34-70501 |
Sep. 25, 2013 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Institute Supplemental Liquidity Deposits to Its Clearing Funding Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
|
34-69951 |
Jul. 9, 2013 |
Notice of Filing Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Previously Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: August 5, 2013
Rebuttal comments due: August 20, 2013
Additional Materials:
Exhibit 5
|
34-69620 |
May 22, 2013 |
Notice of Filing Amendment No. 1 and Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
Comments due: June 19, 2013
Additional Materials:
Exhibit 2
Comments received
are available
for this proposal.
|
34-69313 |
Apr. 4, 2013 |
Notice of Filing of Proposed Rule Change to Institute Supplemental Liquidity Deposits to Its Clearing Fund Designed to Increase Liquidity Resources to Meet Its Liquidity Needs
See also File No.:
SR-NSCC-2013-802
Comments due: May 1, 2013
Additional Materials:
Exhibit 5
Comments received
are available
for this proposal.
|
SR-NSCC-2013-01 |
34-69221 |
Mar. 22, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Net and Bilaterally Offset Aggregated Receive and Deliver Settlement Obligations for Special Trades, and to Use Current Market Price as the Uniform Settlement Price for Net Balance Orders
Comments due: April 18, 2013
|
http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2013.shtml
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