National Securities Clearing Corporation 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 |
|---|---|---|---|---|
| 34-99208 | Dec 20, 2023 | SR-NSCC-2023-013 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Addendum A (Fee Structure) Comments Due: January 17, 2024 See Also - Exhibit 5, Exhibit 3 Submit a Comment on SR-NSCC-2023-013
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| 34-99098 | Dec 6, 2023 | SR-NSCC-2023-012 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Risk Management Framework Comments Due: January 2, 2024 See Also - Exhibit 5 |
| 34-99022 | Nov 27, 2023 | SR-NSCC-2023-011 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change to Refine the Margin Liquidity Adjustment ("MLA") Charge Calculation and the Description of the MLA Charge Comments Due: December 22, 2023 See Also - Exhibit 3, Exhibit 5 |
| 34-98930 | Nov 14, 2023 | SR-NSCC-2023-007 | National Securities Clearing Corporation | Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options Comments Due: by December 11, 2023. Rebuttal Comments should be submirred by December 26, 2023. Submit a Comment on Submit Comments on SR-NSCC-2023-007 - Notice of Filing of Proposed Rule Change to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules |
| 34-98881 | Nov 8, 2023 | SR-NSCC-2023-009 | National Securities Clearing Corporation | Order Approving Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities |
| 34-98814 | Oct 27, 2023 | SR-NSCC-2023-010 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Clearing Agency Operational Risk Management Framework Comments Due: November 23, 2023 See Also - Exhibit 5 |
| 34-98589 | Sep 28, 2023 | SR-NSCC-2023-009 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change Relating to the Schedule of Haircuts for Eligible Clearing Fund Securities Comments Due: October 25, 2023 See Also - Exhibit 3, Exhibit 5 |
| 34-98508 | Sep 25, 2023 | SR-NSCC-2023-007 | National Securities Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by National Securities Clearing Corporation to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rule View Received Comments |
| 34-98328 | Sep 8, 2023 | SR-NSCC-2023-008 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Recovery and Wind-down Plan Comments Due: October 5, 2023 See Also - Exhibit 5 |
| 34-98213 | Aug 24, 2023 | SR-NSCC-2023-007 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules Comments Due: September 20, 2023 See Also - Exhibit 3a, Exhibit 5a Submit a Comment on Submit Comments on SR-NSCC-2023-007 - Notice of Filing of Proposed Rule Change to Modify the Amended and Restated Stock Options and Futures Settlement Agreement and Make Certain Revisions to the NSCC Rules |