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 |
|---|---|---|---|---|
| 34-51669 | May 9, 2005 | SR-NSCC-2004-09 | National Securities Clearing Corporation | Order Approving Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to Its Members See Also - Rel. No. 34-51458 |
| 34-51649 | May 3, 2005 | SR-NSCC-2005-04 | National Securities Clearing Corporation | Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions See Also - Rel. No. 34-51745 |
| 34-51600 | Apr 22, 2005 | SR-NSCC-2005-01 | National Securities Clearing Corporation | Order Granting Approval of a Proposed Rule Change To Amend Its Operational Capability Requirement for Membership See Also - Rel. No. 34-51363 |
| 34-51541 | Apr 13, 2005 | SR-NSCC-2005-02 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Enhance Automated Customer Account Transfer Service To Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products See Also - Rel. No. 34-51753 |
| 34-51458 | Mar 31, 2005 | SR-ISE-2004-28, SR-NSCC-2004-09 | National Securities Clearing Corporation, Nasdaq ISE, LLC (ISE) | Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options See Also - Rel. No. 34-51669 |
| 34-51447 | Mar 30, 2005 | SR-ISE-2004-28, SR-NSCC-2004-09 | National Securities Clearing Corporation, Nasdaq ISE, LLC (ISE) | Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Relating to Trading Options on Full and Reduced Values of the ISE 250 Index, the ISE 100 Index and the ISE 50 Index, Including Long-Term Options See Also - Rel. No. 34-51913 |
| 34-51362 | Mar 11, 2005 | SR-NSCC-2003-11 | National Securities Clearing Corporation | Order Granting Approval of a Proposed Rule Change To Amend the Criteria Used To Place Members on Surveillance Status and To Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires |
| 34-51359 | Mar 11, 2005 | SR-NSCC-2004-07 | National Securities Clearing Corporation | Order Granting Approval of a Proposed Rule Change To Amend the Membership Standards Required of Insurance Companies See Also - Rel. No. 34-51035 |
| 34-51363 | Mar 11, 2005 | SR-NSCC-2005-01 | National Securities Clearing Corporation | Notice of Filing of Proposed Rule Change To Amend Its Operational Capability Requirement for Membership See Also - Rel. No. 34-51649 |
| 34-51177 | Feb 9, 2005 | SR-NSCC-2004-11 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Fee Schedule of the Insurance Processing Service |