National Securities Clearing Corporation (NSCC-AN) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-79391 | Nov 23, 2016 | SR-NSCC-2016-803 | National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of Advance Notice to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes See Also - Exhibit 5 |
| 34-77750 | Apr 29, 2016 | SR-NSCC-2016-801, SR-DTC-2016-801 | The Depository Trust Company (DTC-AN), National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility |
| 34-76075 | Oct 5, 2015 | SR-NSCC-2015-803 | National Securities Clearing Corporation (NSCC-AN) | Notice of No Objection to Advance Notice Filing to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members See Also - Rel. No. 34-75899 |
| 34-75899 | Sep 11, 2015 | SR-NSCC-2015-803 | National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of Advance Notice to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members See Also - Exhibit 5, Rel. No. 34-76075 |
| 34-75730 | Aug 19, 2015 | SR-NSCC-2015-802 | National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of Amendment No. 1 and No Objection to Advance Notice Filing, as Modified by Amendment No. 1, to Establish a Prefunded Liquidity Program As Part of NSCC's Liquidity Risk Management See Also - Rel. No. 34-75541 |
| 34-75541 | Jul 28, 2015 | SR-NSCC-2015-802 | National Securities Clearing Corporation (NSCC-AN) | Notice of Filing of Advance Notice to Establish a Prefunded Liquidity Program As Part of NSCC's Liquidity Risk Management See Also - Rel. No. 34-75730 |
| 34-74906 | May 7, 2015 | SR-NSCC-2015-801, SR-DTC-2015-801 | The Depository Trust Company (DTC-AN), National Securities Clearing Corporation (NSCC-AN) | Notice of Filing and No Objection to Advance Notices Relating to the Renewal of Existing Line of Credit |
| 34-74142 | Jan 27, 2015 | SR-NSCC-2014-811, SR-FICC-2014-810, SR-DTC-2014-812 | National Securities Clearing Corporation (NSCC-AN), Fixed Income Clearing Corporation (FICC-AN), The Depository Trust Company (DTC-AN) | Notice of No Objection to Advance Notices, as Amended, to Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005 View Received Comments See Also - Rel. No. 34-73975, Rel. No. 34-73755 |
| 34-73975 | Dec 31, 2014 | SR-NSCC-2014-811, SR-FICC-2014-810, SR-DTC-2014-812 | Fixed Income Clearing Corporation (FICC-AN), National Securities Clearing Corporation (NSCC-AN), The Depository Trust Company (DTC-AN) | Notice of Extension of Review Period of Advance Notices, as Amended, to Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005 View Received Comments See Also - Rel. No. 34-74142, Rel. No. 34-73755 |
| 34-73755 | Dec 5, 2014 | SR-NSCC-2014-811, SR-FICC-2014-810, SR-DTC-2014-812 | Fixed Income Clearing Corporation (FICC-AN), National Securities Clearing Corporation (NSCC-AN), The Depository Trust Company (DTC-AN) | Notice of Filing of Advance Notices, as Amended, to Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005 View Received Comments See Also - Rel. No. 34-74142, Rel. No. 34-73975 |