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FICC Rulemaking Archive: 2006
We encourage the public to submit comments on the following Fixed Income Clearing Corporation (FICC; formerly Government Securities Clearing Corp.) 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
FICC File Number List for 2006
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-FICC-2006-15 |
| 34-54969 |
Dec. 19, 2006 |
Order Approving Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
See also: Notices: Rel. Nos. 34-54682A and 34-54682
|
SR-FICC-2006-16 |
| 34-54964 |
Dec. 19, 2006 |
Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
Comments due: January 17, 2007
See also: Order: Rel. No. 34-55217
|
SR-FICC-2006-07 |
| 34-54957 |
Dec. 18, 2006 |
Order Approving a Proposed Rule Change Relating to Providing Certain Reports to its Members
See also: Notice: Rel. No. 34-54619
|
SR-FICC-2006-05 |
| 34-54929 |
Dec. 13, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due: January 10, 2007
See also: Order: Rel. No. 34-55364
|
SR-FICC-2006-11 |
| 34-54899 |
Dec. 8, 2006 |
Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
See also: Notice: Rel. No. 34-54609
|
SR-FICC-2006-12 |
| 34-54879 |
Dec. 6, 2006 |
Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
See also: Notice: Rel. No. 34-54570
|
SR-FICC-2006-13 |
| 34-54821 |
Nov. 28, 2006 |
Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System
See also: Notice: Rel. No. 34-54622
|
SR-FICC-2006-17 |
| 34-54819 |
Nov. 27, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls
Comments due: December 27, 2006
See also: Order: Rel. No. 34-55136
|
SR-FICC-2006-18 |
| 34-54794 |
Nov. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: December 20, 2006
|
SR-FICC-2006-14 |
| 34-54787 |
Nov. 20, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Returning Excess Clearing Fund Collateral
Comments due: December 18, 2006
See also: Order: Rel. No. 34-55134
|
SR-FICC-2006-15 |
| 34-54682A |
Nov. 17, 2006 |
Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members; Correction and Extension of Comment Period
Comments due: December 12, 2006
See also: Order: Rel. No. 34-54969 and Notice: Rel. No. 34-54682
|
SR-FICC-2006-10 |
| 34-54769 |
Nov. 16, 2006 |
Notice of Filing of Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
Comments due: December 15, 2006
See also: Order: Rel. No. 34-55037
|
SR-FICC-2006-15 |
| 34-54682 |
Nov. 1, 2006 |
Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
Comments due: November 30, 2006
See also: Order: Rel. No. 34-54969 and Notice: Rel. No. 34-54682A
|
SR-FICC-2006-13 |
| 34-54622 |
Oct. 18, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service
Comments due: November 16, 2006
See also: Order: Rel. No. 34-54821 |
SR-FICC-2006-07 |
| 34-54619 |
Oct. 18, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Providing Certain Reports to its Members
Comments due: November 15, 2006
See also: Order: Rel. No. 34-54957
|
SR-FICC-2006-11 |
| 34-54609 |
Oct. 16, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
Comments due: November 14, 2006
See also: Order: Rel. No. 34-54899
|
SR-FICC-2006-12 |
| 34-54570 |
Oct. 4, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
Comments due: November 3, 2006
See also: Order: Rel. No. 34-54879
|
| Third Quarter |
SR-FICC-2005-17 |
| 34-54487 |
Sep. 22, 2006 |
Order Approving Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
See also: Notice: Rel. No. 34-53396
|
SR-FICC-2006-03 |
| 34-54457 |
Sep. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.: SR-NSCC-2006-03
Comments due: October 12, 2006
See also: Notice: Rel. No. 34-53671
|
SR-FICC-2006-09 |
| 34-54173 |
Jul. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.: SR-DTC-2006-10 and SR-NSCC-2006-08
Comments due: August 18, 2006
|
SR-FICC-2006-08 |
| 34-54162 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports
Comments due: August 14, 2006
|
| Second Quarter |
600-23 |
| 34-54056 |
Jun. 28, 2006 |
Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency
Comments due: July 26, 2006
See also: Notice/Orders: Rel. No. 34-51911, 34-49940
|
SR-FICC-2006-06 |
| 34-53863 |
May 24, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligibility to Becoming a Funds-Only Settling Bank Member
Comments due: June 22, 2006
|
SR-FICC-2006-04 |
| 34-53852 |
May 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Provisions in the Rules of the Government Securities Division Relating to the GCF Forward Mark Component of the Funds-Only Settlement Process
Comments due: June 20, 2006
|
SR-FICC-2006-03 |
| 34-53671 |
Apr. 18, 2006 |
Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-NSCC-2006-03
Comments due: May 15, 2006
See also: Notice/Order: Rel. No. 34-54457
Comments received are available for this notice.
|
| First Quarter |
SR-FICC-2005-18 |
| 34-53534 |
Mar. 21, 2006 |
Order Approving the Proposed Rule Change to Enhance the Repo Collateral Substitution Process of FICC’s Government Securities Division
See also: Notice: Rel. No. 34-53036
|
SR-FICC-2005-22 |
| 34-53405 |
Mar. 3, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide for the Payment of Interest on Cash Clearing Fund Collateral Posted by Members of the Government Securities Division and to Provide for the Payment of Interest on the Basic Deposit Portion of the Participants’ Fund Posted by Members of the Mortgage-Backed Securities Division
Comments due: March 30, 2006
|
SR-FICC-2005-17 |
| 34-53396 |
Mar. 2, 2006 |
Notice of Filing of Proposed Rule Change Relating to Assumption of Blind Brokered Fails by its Government Securities Division
Comments due: March 29, 2006
See also: Order: Rel. No. 34-54487
|
SR-FICC-2006-01 |
| 34-53395 |
Mar. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-NSCC-2006-01
|
SR-FICC-2005-21 |
| 34-53106 |
Jan. 11, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Fee Structures of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: February 9, 2006
|
SR-FICC-2005-20 |
| 34-53061 |
Jan. 5, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose a Surcharge on Participants Submitting Trade Data by Batch Method
Comments due: February 2, 2006
|
| FICC File Number List for 2006 |
| Release No. |
Date |
Details |
SR-FICC-2006-20 |
| 34-55164 |
Jan. 24, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the EPN Rules of its Mortgage-Backed Securities Division to Implement New Messaging Capabilities and Establish a Fee Structure
Comments due: February 22, 2007
|
SR-FICC-2006-19 |
| 34-56182 |
Aug. 1, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service
|
| 34-55515 |
Mar. 22, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Membership, Definitions, and the Electronic Pool Notification Service
Comments due: April 19, 2007
|
SR-FICC-2006-18 |
| 34-54794 |
Nov. 20, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Certain Administrative Provisions of the Rules of the Government Securities Division and the Mortgage-Backed Securities Division
Comments due: December 20, 2006
|
SR-FICC-2006-17 |
| 34-55136 |
Jan. 19, 2007 |
Order Approving Proposed Rule Change Relating to Clearing Fund Deficiency Calls
|
| 34-54819 |
Nov. 27, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Clearing Fund Deficiency Calls
Comments due: December 27, 2006
|
SR-FICC-2006-16 |
| 34-55217 |
Jan. 31, 2007 |
Order Approving Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
|
| 34-54964 |
Dec. 19, 2006 |
Notice of Filing of Proposed Rule Change to Replace the Government Securities Division Clearing Fund Calculation Methodology with a Yield-Driven Value-at-Risk Methodology
Comments due: January 17, 2007
|
SR-FICC-2006-15 |
| 34-54969 |
Dec. 19, 2006 |
Order Approving Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
|
| 34-54682A |
Nov. 17, 2006 |
Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members; Correction and Extension of Comment Period
Comments due: December 12, 2006
See also: Notice: Rel. No. 34-54682
|
| 34-54682 |
Nov. 1, 2006 |
Notice of Filing of Proposed Rule Change to Modify its Rules to Diversify and Standardize Clearing Fund Collateral Requirements Across the Divisions to Improve Liquidity and Minimize Risk for its Members
Comments due: November 30, 2006
|
SR-FICC-2006-14 |
| 34-55134 |
Jan. 19, 2007 |
Order Granting Approval of Proposed Rule Change Relating To Returning Excess Clearing Fund Collateral
|
| 34-54787 |
Nov. 20, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Returning Excess Clearing Fund Collateral
Comments due: December 18, 2006
|
SR-FICC-2006-13 |
| 34-54821 |
Nov. 28, 2006 |
Order Granting Approval of a Proposed Rule Change Relating to the Federal Reserve's National Settlement System
|
| 34-54622 |
Oct. 18, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Federal Reserve's National Settlement Service
Comments due: November 16, 2006
|
SR-FICC-2006-12 |
| 34-54879 |
Dec. 6, 2006 |
Order Approving a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
|
| 34-54570 |
Oct. 4, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Financial Responsibility, Operational Capability, Insolvency, and Ceasing to Act
Comments due: November 3, 2006
|
SR-FICC-2006-11 |
| 34-54899 |
Dec. 8, 2006 |
Order Approving a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
|
| 34-54609 |
Oct. 16, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Establishing New Reporting Processes to Support the Bilateral Comparison of Pool Details Associated with Specified Pool Trade Activity
Comments due: November 14, 2006
|
SR-FICC-2006-10 |
| 34-55037 |
Jan. 3, 2007 |
Order Approving Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
|
| 34-54769 |
Nov. 16, 2006 |
Notice of Filing of Proposed Rule Change to Amend the Rules of its Mortgage-Backed Securities Division Regarding Membership Requirements for Unregistered Investment Pools
Comments due: December 15, 2006
|
SR-FICC-2006-09 |
| 34-54173 |
Jul. 19, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as its Chief Executive Officer
Other File Nos.: SR-DTC-2006-10 and SR-NSCC-2006-08
Comments due: August 18, 2006
|
SR-FICC-2006-08 |
| 34-54162 |
Jul. 17, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports
Comments due: August 14, 2006
|
SR-FICC-2006-07 |
| 34-54957 |
Dec. 18, 2006 |
Order Approving a Proposed Rule Change Relating to Providing Certain Reports to its Members
|
| 34-54619 |
Oct. 18, 2006 |
Notice of Filing of a Proposed Rule Change Relating to Providing Certain Reports to its Members
Comments due: November 15, 2006
|
SR-FICC-2006-06 |
| 34-53863 |
May 24, 2006 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligibility to Becoming a Funds-Only Settling Bank Member
Comments due: June 22, 2006
|
SR-FICC-2006-05 |
| 34-55364 |
Feb. 27, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Participant
|
| 34-54929 |
Dec. 13, 2006 |
Notice of Filing of a Proposed Rule Change Relating to the Wind-Down of a Participant
Comments due:
|
SR-FICC-2006-04 |
| 34-53852 |
May 23, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Provisions in the Rules of the Government Securities Division Relating to the GCF Forward Mark Component of the Funds-Only Settlement Process
Comments due: June 20, 2006
|
SR-FICC-2006-03 |
| 34-54457 |
Sep. 15, 2006 |
Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Other File No.: SR-NSCC-2006-03
Comments due: October 12, 2006
|
| 34-53671 |
Apr. 18, 2006 |
Notice of Filing of Proposed Rule Changes to Institute a Clearing Fund Premium Based Upon a Member’s Clearing Fund Requirement to Excess Regulatory Capital Ratio
Additional File No.: SR-NSCC-2006-03
Comments due: May 15, 2006
|
SR-FICC-2006-01 |
| 34-53395 |
Mar. 2, 2006 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: March 29, 2006
Additional File Nos.: SR-DTC-2006-04, and SR-NSCC-2006-01
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http://www.sec.gov/rules/sro/ficc/ficcarchive/ficcarchive2006.shtml
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