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 |
|---|---|---|---|---|
| 34-89271 | Jul 9, 2020 | SR-NSCC-2020-012 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework See Also - Exhibit 5 |
| 34-89145 | Jun 24, 2020 | SR-NSCC-2020-003 | National Securities Clearing Corporation | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV View Received Comments |
| 34-89141 | Jun 24, 2020 | SR-NSCC-2020-011 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Clearing Fund Maintenance Fee See Also - Exhibit 3, Exhibit 5 |
| 34-89088 | Jun 18, 2020 | SR-NSCC-2020-010 | National Securities Clearing Corporation | Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Amend Rules With Respect to Index Receipts View Received Comments See Also - Exhibit 5 |
| 34-88911 | May 20, 2020 | SR-NSCC-2020-008, SR-FICC-2020-004, SR-DTC-2020-008 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework |
| 34-88885 | May 15, 2020 | SR-NSCC-2020-003 | National Securities Clearing Corporation | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV View Received Comments |
| 34-88637 | Apr 15, 2020 | SR-NSCC-2020-008 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework See Also - Exhibit 5 |
| 34-88579 | Apr 7, 2020 | SR-NSCC-2020-009 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Access to the Fund/SERV Service by Data Services Only Members in Rule 52 and Revise the Defined Term for Fund/SERV in the NSCC Rules See Also - Exhibit 5 |
| 34-88514 | Mar 30, 2020 | SR-NSCC-2020-007 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy See Also - Exhibit 5 |
| 34-88494 | Mar 27, 2020 | SR-NSCC-2020-002 | National Securities Clearing Corporation | Order Approving a Proposed Rule Change To Enhance the Calculation of the Family-Issued Securities Charge |