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 |
|---|---|---|---|---|
| 34-87023 | Sep 19, 2019 | SR-NSCC-2019-002 | National Securities Clearing Corporation | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes View Received Comments |
| 34-86556 | Aug 2, 2019 | SR-NSCC-2019-002 | National Securities Clearing Corporation | Notice of Filing of a Proposed Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes View Received Comments See Also - Exhibit 5 |
| 34-85984 | May 31, 2019 | SR-NSCC-2019-001 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Clarification and Technical Changes to Addendum K |
| 34-84949 | Dec 21, 2018 | SR-NSCC-2018-013, SR-FICC-2018-014, SR-DTC-2018-012 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Revise the Clearing Agency Investment Policy |
| 34-84771 | Dec 10, 2018 | SR-NSCC-2018-012 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services See Also - Exhibit 5 |
| 34-84770 | Dec 10, 2018 | SR-NSCC-2018-011 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Make Other Changes See Also - Exhibit 5 |
| 34-84611 | Nov 16, 2018 | SR-NSCC-2018-010 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Mutual Fund Profile Service To Provide for the Transmission of Event Notifications Through a New Feature Called MF Info Xchange See Also - Exhibit 5 |
| 34-84458 | Oct 19, 2018 | SR-NSCC-2018-009, SR-FICC-2018-010, SR-DTC-2018-009 | National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) | Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Frameworks |
| 34-84428 | Oct 15, 2018 | SR-NSCC-2018-008 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan |
| 34-84259 | Sep 21, 2018 | SR-NSCC-2018-007 | National Securities Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Rules That Describe the Buy-In Process See Also - Exhibit 5 |