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 |
|---|---|---|---|---|
| 34-96801 | Feb 3, 2023 | SR-NSCC-2023-001 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Comments Due: March 2, 2023 See Also - Exhibit 5 Submit a Comment on SR-NSCC-2023-001
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| 34-96786 | Feb 1, 2023 | SR-NSCC-2022-005 | National Securities Clearing Corporation | Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Revise the Excess Capital Premium Charge Comments Due: December 22, 2022 Rebuttal comments due: December 28, 2022 |
| 34-96740 | Jan 24, 2023 | SR-NSCC-2022-015 | National Securities Clearing Corporation | Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge Comments Due: January 11, 2023 View Received Comments |
| 34-96621 | Jan 10, 2023 | SR-NSCC-2022-009 | National Securities Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge Comments Due: Novemeber 10, 2022 Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-96590 | Dec 28, 2022 | SR-NSCC-2022-017 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Adjustments in the Fees for NSCC's I&RS Positions and Valuations Service and Certain Clarifications to Addendum A Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 3, Exhibit 5 |
| 34-96571 | Dec 22, 2022 | SR-NSCC-2022-016 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Comments Due: January 19, 2023 See Also - Exhibit 3, Exhibit 5 |
| 34-96555 | Dec 20, 2022 | SR-NSCC-2022-013, SR-FICC-2022-008, SR-DTC-2022-011 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes |
| 34-96511 | Dec 15, 2022 | SR-NSCC-2022-015 | National Securities Clearing Corporation | Notice of Filing a Proposed Rule Change To Make Certain Enhancements to the Gap Risk Measure and the VaR Charge Comments Due: January 11, 2023 View Received Comments See Also - Exhibit 3a, Exhibit 3b, Exhibit 5 |
| 34-96426 | Dec 1, 2022 | SR-NSCC-2022-005 | National Securities Clearing Corporation | Notice of Filing of Partial Amendment No. 2 and Amendment No. 3 and of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Revise the Excess Capital Premium Charge Order Comments Due: December 22, 2022 Rebuttal comments due: December 28, 2022 See Also - Exhibit 3, Exhibit 4, Exhibit 5 |
| 34-96345 | Nov 17, 2022 | SR-NSCC-2022-006, SR-FICC-2022-004, SR-DTC-2022-006 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework |