LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2017-010
  • DTC
  • Proposed rule change to clarify and update the text of the DTC Operational Arrangements.
  • FICC-2017-015
  • FICC - GOV
  • Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgaged-Backed Securities Division EPN Rules

  • DTC-2017-009
  • DTC
  • The Depository Trust Company is proposing to add Rule 36 to provide for Accounts for the segregation of Securities held at DTC that are intended to be Pledged as swap margin.

  • DTC-2017-008
  • DTC
  • Adopt the Clearing Agency Model Risk Management Framework.

  • FICC-2017-014
  • FICC - GOV
  • Adopt the Clearing Agency Model Risk Management Framework.


  • NSCC-2017-008
  • NSCC
  • Adopt the Clearing Agency Model Risk Management Framework.

  • NSCC-2017-803
  • NSCC
  • To adopt a new Stock Options and Futures Settlement Agreement with The Options Clearing Corporation.

  • NSCC-2017-007
  • NSCC
  • To adopt a new Stock Options and Futures Settlement Agreement with The Options Clearing Corporation.

  • DTC-2017-007
  • DTC
  • Proposed rule change to clarify and provide enhanced transparency with respect to the description in the DTC Settlement Service Guide of the calculation of Required Participants Fund Deposits and adjustments to Required Participants Fund Deposits.

  • Federal Release:
    Release No. 34-80762; File No. SR-DTC-2017-007
    (May 24, 2017)
  • FICC-2017-012
  • FICC - MBS
  • Proposed change to the MBSD Rules regarding FICC time of novation, treatment of itself as the settlement counterparty for certain Transaction types, and proposal to implement new processes to promote operational efficiencies for Clearing Members.
  • FICC-2017-010
  • FICC - MBS
  • Amend the MBSD Rules concerning use of Clearing Fund for losses, liabilities or temporary needs for funds incident to the clearance and settlement business.
  • NSCC-2017-006
  • NSCC
  • To adopt the Clearing Agency Stress Testing Framework.
  • FICC-2017-009
  • FICC - GOV
  • To adopt the Clearing Agency Stress Testing Framework.
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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