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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 2014
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-2014-13 |
34-73929 |
Dec. 23, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Addendum A (Fee Structure) with Respect to Fees Related to NSCC's Obligation Warehouse Service
Comments due: January 21, 2015
Additional Materials: Exhibit 5
|
SR-NSCC-2014-12 |
34-73779 |
Dec. 8, 2014 |
Notice of Filing of Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service
Comments due: January 2, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74098
|
SR-NSCC-2014-10 |
34-73644 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants"
Comments due: December 16, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-09 |
34-73358 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) with Respect to the DTCC Payment aXis Service, and to Make Certain Technical Changes
Comments due: November 12, 2014
Additional Materials: Exhibit 5
|
Third Quarter |
SR-NSCC-2014-07 |
34-72657 |
Jul. 23, 2014 |
Order Approving Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
See also: Notice: Rel. No. 34-72344
|
Second Quarter |
SR-NSCC-2014-08 |
34-72488 |
Jun. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Broaden the Scope of the Licensing and Appointments Service and to Amend NSCC's Fee Structure
Comments due: July 24, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-07 |
34-72344 |
Jun. 6, 2014 |
Notice of Filing of Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
Comments due: July 3, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72657
|
SR-NSCC-2014-06 |
34-72307 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: July 1, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-04 |
34-72223 |
May 22, 2014 |
Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
See also: Notice: Rel. No. 34-71887
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SR-NSCC-2014-03 |
34-72029 |
Apr. 25, 2014 |
Order Approving Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement System
See also: Notice: Rel. No. 34-71725
|
SR-NSCC-2014-04 |
34-71887 |
Apr. 7, 2014 |
Notice of Filing of Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
Comments due: May 2, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72223
|
First Quarter |
SR-NSCC-2014-03 |
34-71725 |
Mar. 14, 2014 |
Notice of Filing of Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System
Comments due: April 11, 2014
Additional Materials:
Exhibit 5
See also: Order: Rel. No. 34-72029
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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
See also:
Notice: Rel. No. 34-70946
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SR-NSCC-2014-01 |
34-71605 |
Feb. 24, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: March 21, 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
See also:
Notice: Rel. No. 34-71156
|
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
See also:
Notice: Rel. No. 34-70937
|
NSCC File Number List for 2014 |
Release No. |
Date |
Details |
SR-NSCC-2014-13 |
34-73929 |
Dec. 23, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Addendum A (Fee Structure) with Respect to Fees Related to NSCC's Obligation Warehouse Service
Comments due: January 21, 2015
Additional Materials: Exhibit 5
|
SR-NSCC-2014-12 |
34-74098 |
Jan. 20, 2015 |
Order Approving Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service
|
34-73779 |
Dec. 8, 2014 |
Notice of Filing of Proposed Rule Change to Amend NSCC's Rules and Procedures in Connection with the Discontinuance of the Analytic Reporting Service
Comments due: January 2, 2015
Additional Materials: Exhibit 5
|
SR-NSCC-2014-10 |
34-73644 |
Nov. 19, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify that Federal Reserve Banks, Central Counterparties, and Central Securities Depositories Shall Not Be Considered Either "Mandatory Purchaser Participants" or "Voluntary Purchaser Participants"
Comments due: December 16, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-09 |
34-73358 |
Oct. 15, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 52 (Mutual Fund Services) and Addendum A (Fee Structure) with Respect to the DTCC Payment aXis Service, and to Make Certain Technical Changes
Comments due: November 12, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-08 |
34-72488 |
Jun. 27, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Broaden the Scope of the Licensing and Appointments Service and to Amend NSCC's Fee Structure
Comments due: July 24, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-07 |
34-72657 |
Jul. 23, 2014 |
Order Approving Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
|
34-72344 |
Jun. 6, 2014 |
Notice of Filing of Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
Comments due: July 3, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-06 |
34-72307 |
Jun. 4, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: July 1, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-04 |
34-72223 |
May 22, 2014 |
Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
|
34-71887 |
Apr. 7, 2014 |
Notice of Filing of Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service
Comments due: May 2, 2014
Additional Materials: Exhibit 5
|
SR-NSCC-2014-03 |
34-72029 |
Apr. 25, 2014 |
Order Approving Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement System
|
34-71725 |
Mar. 14, 2014 |
Notice of Filing of Proposed Rule Change to Enhance the System that Processes Corporate Actions Within NSCC's Continuous Net Settlement ("CNS") System
Comments due: April 11, 2014
Additional Materials:
Exhibit 5
|
SR-NSCC-2014-01 |
34-71605 |
Feb. 24, 2014 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fee Schedule
Comments due: March 21, 2014
Additional Materials:
Exhibit 5
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2013.shtml
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