| Doc # |
Date |
P&S No. |
Subject |
| GOV173.04 |
12/31/2004 | |
FICC GSD & MBSD 2005 Holiday Schedule |
| GOV172.04 |
12/30/2004 | |
Fines For Failure to Submit Required Reports and Information |
| GOV171.04 |
12/30/2004 | |
Rule Filing FICC-2004-24—Technical Changes to Government Securities Division Fee Structure |
| GOV170.04 |
12/29/2004 | |
Name Change—CDC Securities Inc. to IXIS Securities North America Inc. |
| GOV169.04 |
12/29/2004 | |
Name Change—Fimat USA, Inc./Retail to Fimat USA, LLC/Retail |
| GOV168.04 |
12/29/2004 | |
Name Change—Fimat USA, Inc. to Fimat USA, LLC |
| GOV167.04 |
12/16/2004 | |
Pair Off Process for Forward Starting Generic Collateral Repo Trades |
| GOV166.04 |
12/16/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV165.04 |
12/09/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher / 9631 |
| GOV164.04 |
12/09/2004 | |
Executing Firm Master File Update – National Financial Services LLC/ 9556 |
| GOV163.04 |
12/09/2004 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV162.04 |
12/07/2004 | |
Executing Firm Master File Update – Daiwa Securities America Inc. /9521 |
| GOV161.04 |
12/07/2004 | |
Christmas Eve Notice |
| GOV160.04 |
12/06/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher / 9631 |
| GOV159.04 |
12/06/2004 | |
Approval of FICC-2004-16— Cross-Margining Arrangement with The Clearing Corporation |
| GOV158.04 |
11/22/2004 | |
Name Change—TD Securities (USA) Inc. to TD Securities (USA) LLC |
| GOV157.04 |
11/22/2004 | |
Thanksgiving Day Holiday Schedule |
| GOV156.04 |
11/22/2004 | |
Approval of Rule Filing FICC-2004-11—Margin Premiums for Violations of Minimum Financial Standards and Failure to Submit Requisite Financial Reports on a Timely Basis |
| GOV155.04 |
11/19/2004 | |
Name Change—RBC Dominion Securities Corporation to RBC Capital Markets Corporation |
| GOV154.04 |
11/18/2004 | |
New Participant in the Repo Comparison System and Repo Netting System of the Government Securities Division of FICC– First Tennessee Bank N.A. /9557 |
| GOV153.04 |
11/18/2004 | |
Rule Filing FICC-2004-22—Proposed Sponsoring Member/Sponsored Member Relationship in the Government Securities Division’s rules |
| GOV152.04 |
11/16/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV151.04 |
11/12/2004 | |
Name Change—JPMorgan Chase Bank to JPMorgan Chase Bank, NA |
| GOV150.04 |
11/10/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV149.04 |
11/09/2004 | |
Veterans’ Day Holiday Schedule |
| GOV148.04 |
11/09/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher / 9631 |
| GOV147.04 |
11/09/2004 | |
Name Change—Fleet Securities, Inc. to ADP Clearing and Outsourcing Services, Inc. |
| GOV146.04 |
11/08/2004 | |
Rule Filing FICC-2004-21—Implementation of New Pricing Methodology for the Netting Services of the Government Securities Division. |
| GOV145.04 |
11/08/2004 | |
W.I. Three Year Note Auction Results |
| GOV144.04 |
11/05/2004 | |
Approval of Rule Filing SR-FICC-2004-01—Changes to Membership Rules |
| GOV143.04 |
11/04/2004 | |
Rule Filing SR-FICC-2004-20 and Implementation of Rule Filing 2003-06 Relating to Forward Margin Obligations |
| GOV142.04 |
10/29/2004 | |
Executing Firm Master File Update – Banc of America BrokerDealer Services / 9670 |
| GOV141.04 |
10/27/2004 | |
Executing Firm Master File Update – Fiserv Securities, Inc. / 9612 |
| GOV140.04 |
10/26/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV139.04 |
10/22/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV138.04 |
10/19/2004 | |
Executing Firm Master File Update – Mizuho Securities USA, Inc. / 9536 |
| GOV137.04 |
10/19/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV136.04 |
10/19/2004 | |
Executing Firm Master File Update – Pershing LLC / 9585 |
| GOV135.04 |
10/18/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV134.04 |
10/15/2004 | |
Rule Filing FICC-2004-19--Technical Changes to FICC’s Rules |
| GOV133.04 |
10/15/2004 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV132.04 |
10/15/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV131.04 |
10/15/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV130.04 |
10/14/2004 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – J.P. Morgan Securities Inc./Special A/C / 9593 |
| GOV129.04 |
10/14/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc. / 9631 |
| GOV128.04 |
10/13/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc. / 9631 |
| GOV127.04 |
10/13/2004 | |
Executing Firm Master File Update – Wells Fargo Investments, LLC / 9676 |
| GOV126.04 |
10/13/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc. / 9631 |
| GOV125.04 |
10/13/2004 | |
Approval of Rule Filing SR-FICC-2003-06—Forward Margin Obligations of Repo Brokers |
| GOV124.04 |
10/08/2004 | |
Executing Firm Master File Update – Refco Securities LLC / 9519 |
| GOV123.04 |
10/07/2004 | |
Columbus Day Holiday Schedule |
| GOV122.04 |
10/07/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV121.04 |
10/07/2004 | |
Rule Filing FICC-2004-18—Clarification of Loss Allocation Provisions |
| GOV120.04 |
10/06/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc. / 9631 |
| GOV119.04 |
10/06/2004 | |
Executing Firm Master File Update – Wachovia Securities LLC / 9549 |
| GOV118.04 |
10/06/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV117.04 |
10/06/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc. / 9631 |
| GOV116.04 |
09/29/2004 | |
New Participant in the Comparison and Repo Comparison System and Netting and Repo Netting System of the Government Securities Division of FICC – Cantor Fitzgerald Securities/BGC Markets L.P. |
| GOV115.04 |
09/24/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV114.04 |
09/23/2004 | |
Approval of Rule Filing SR-FICC-2003-05—Additional Accounts |
| GOV113.04 |
09/23/2004 | |
Changes to Participant Substitution Notification Screens |
| GOV112.04 |
09/23/2004 | |
New FICC GCF Repo Service Participant – Fannie Mae |
| GOV111.04 |
09/22/2004 | |
Extension of Repo Collateral Substitution Deadlines for “High Volume Trading Days” |
| GOV110.04 |
09/22/2004 | |
Participant Network Migration to SMART / SFTI |
| GOV109.04 |
09/20/2004 | |
Fines For Failure to Submit Required Reports and Information |
| GOV108.04 |
09/20/2004 | |
Approval of Rule Filing SR-FICC-2003-14—Membership Rules |
| GOV107.04 |
09/16/2004 | |
New Participant in the Comparison and Repo Comparison System of the Government Securities Division of FICC– Sumitomo Mitsui Banking Corporation /9558 |
| GOV106.04 |
09/15/2004 | |
6 Decimal Place Pricing on Yield To Price Conversions |
| GOV105.04 |
09/15/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV104.04 |
09/14/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV103.04 |
09/14/2004 | |
Executing Firm Master File Update – Wachovia Securities, LLC / 9549 |
| GOV102.04 |
09/10/2004 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – Bank One, NA / 9530 |
| GOV101.04 |
09/10/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV100.04 |
09/09/2004 | |
Collection of Fees for The Bond Market Association |
| GOV099.04 |
09/09/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV098.04 |
09/07/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV097.04 |
09/03/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV096.04 |
09/03/2004 | |
Executing Firm Master File Update – First Clearing, LLC / 9544 |
| GOV095.04 |
09/02/2004 | |
Labor Day Holiday Schedule |
| GOV094.04 |
09/01/2004 | |
Executing Firm Master File Update – Daiwa Securities America Inc. / 9521 |
| GOV093.04 |
08/31/2004 | |
Rule Filing FICC-2004-17—Proposal to Modify Assessment Process for Late Submissions of Collateral Allocations Made Through the GSD’s GCF Repo® Service and Increase Types of Securities that Can Be Used by a Participant in Satisfaction of Collateral Obligations |
| GOV092.04 |
08/31/2004 | |
New Participant in the Repo Comparison System and Repo Netting System of the Government Securities Division of FICC– First Clearing, LLC/9544 |
| GOV091.04 |
08/31/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV090.04 |
08/26/2004 | |
Executing Firm Master File Update – Refco Securities LLC / 9519 |
| GOV089.04 |
08/26/2004 | |
Executing Firm Master File Update – Pershing LLC / 9585 |
| GOV088.04 |
08/26/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV087.04 |
08/17/2004 | |
Rule Filing FICC-2004-16—Proposed Cross-Margining Arrangement with The Clearing Corporation |
| GOV086.04 |
08/13/2004 | |
Executing Firm Master File Update – Fortis Securities LLC / 9550 |
| GOV085.04 |
08/13/2004 | |
Membership Rebate |
| GOV084.04 |
08/12/2004 | |
New Participant in the Netting System of the Government Securities Division of FICC – First Clearing, LLC |
| GOV083.04 |
08/11/2004 | |
Executing Firm Master File Update – Refco Securities LLC / 9519 |
| GOV082.04 |
08/11/2004 | |
Executing Firm Master File Update – RBC Dain Rauscher / 9631 |
| GOV081.04 |
08/09/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV080.04 |
08/02/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV079.04 |
08/02/2004 | |
Rule Filing FICC-2004-15-Expansion of Trade Submission Requirements |
| GOV078.04 |
08/02/2004 | |
Transfer of Netting-Eligible Transactions - 9567 Banc One Capital Markets, Inc. (# 9567) to J.P. Morgan Securities Inc. (#9515) |
| GOV077.04 |
08/02/2004 | |
Expiring Letters of Credit |
| GOV076.04 |
07/21/2004 | |
New Participant in the Netting System of the Government Securities Division of FICC – Piper Jaffray & Co. |
| GOV075.04 |
07/15/2004 | |
Executing Firm Master File Update – Daiwa Securities America Inc. / 9521 |
| GOV074.04 |
07/15/2004 | |
Rule Filing FICC-2004-14—Changes in Membership Requirements |
| GOV073.04 |
07/15/2004 | |
Approval of Rule Filing FICC-2003-01—Fines For Failure to Submit Required Financial and Other Reports and Additional Reporting Requirements |
| GOV072.04 |
07/14/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV071.04 |
07/13/2004 | |
Rule Filing FICC-2004-12—Repo Collateral Substitutions |
| GOV070.04 |
07/09/2004 | |
Executing Firm Master File Update – Banc of America BrokerDealer Services / 9670 |
| GOV069.04 |
07/08/2004 | |
Merger and Name Change- Credit Lyonnais and Calyon |
| GOV068.04 |
07/08/2004 | |
Merger and Name Change- HSBC Bank USA and HSBC Bank USA, National Association |
| GOV067.04 |
07/07/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV066.04 |
06/25/2004 | |
Extension of Repo Collateral Substitution Deadlines for “High Volume Trading Days” |
| GOV065.04 |
06/25/2004 | |
Independence Day Holiday Schedule |
| GOV064.04 |
06/09/2004 | |
Participant Contingency Site Connectivity Testing |
| GOV063.04 |
06/09/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV062.04 |
06/09/2004 | |
Processing Schedule for Friday June 11th, 2004 |
| GOV061.04 |
06/08/2004 | |
Name Change-- U.S. Bancorp Piper Jaffray Inc. to Piper Jaffray & Co. |
| GOV060.04 |
06/07/2004 | |
National Day of Mourning |
| GOV059.04 |
06/07/2004 | |
Rule Filing FICC-2004-11—Margin Premiums for Violations of Minimum Financial Standards and Failure to Submit Requisite Financial Reports on a Timely Basis |
| GOV058.04 |
06/03/2004 | |
Collection of Fees for The Bond Market Association |
| GOV057.04 |
06/03/2004 | |
New Participant in the Comparison and Repo Comparison System and Netting and Repo Netting System of the Government Securities Division of FICC – ING Financial Markets LLC |
| GOV056.04 |
05/26/2004 | |
Memorial Day Holiday Schedule |
| GOV055.04 |
05/25/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV054.04 |
05/24/2004 | |
Executing Firm Master File Update – National Financial Services, LLC / 9556 |
| GOV053.04 |
05/18/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV052.04 |
05/17/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV051.04 |
05/13/2004 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV050.04 |
05/11/2004 | |
Extension of FICC Repo Collateral Substitution Deadlines for |
| GOV049.04 |
05/05/2004 | |
Executing Firm Master File Update – Bank of America BrokerDealer Services / 9670 |
| GOV048.04 |
05/03/2004 | |
Name Change—Credit Lyonnais Securities (USA) Inc. to Calyon Securities (USA) Inc. |
| GOV047.04 |
05/03/2004 | |
Rule Filing FICC-2004-10—Statutory Disqualification and Fines for Failure to Inform FICC of Falling out of Compliance with Membership Standards |
| GOV046.04 |
05/03/2004 | |
Rule Filing FICC-2004-09-Changes to Membership Rules |
| GOV045.04 |
04/28/2004 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – Swiss American Securities Inc. / 9523 |
| GOV044.04 |
04/27/2004 | |
Name Change—Fortis Investment Services LLC to Fortis Securities LLC |
| GOV043.04 |
04/23/2004 | |
Executing Firm Master File Update – Fortis Financial Services, LLC / 9550 |
| GOV042.04 |
04/22/2004 | |
New Participant in the Comparison and Repo Comparison System and Netting and Repo Netting System of the Government Securities Division of FICC – Jefferies & Company, Inc. |
| GOV041.04 |
04/20/2004 | |
Addition of Adjustable Rate MBS to the GCF Repo® Service |
| GOV040.04 |
04/19/2004 | |
Executing Firm Master File Update – Wachovia Securities, LLC / 9549 |
| GOV039.04 |
04/15/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV038.04 |
04/14/2004 | |
New Participant in the Comparison and Repo Comparison System and Netting and Repo Netting System of the Government Securities Division of FICC – Bank of America National Association, Liquid Products Rates Trading / 9518 |
| GOV037.04 |
04/07/2004 | |
New Participant in the Comparison and Netting System and the |
| GOV036.04 |
04/07/2004 | |
Executing Firm Master File Update – Fortis Securities LLC / 9550 |
| GOV035.04 |
04/06/2004 | |
Good Friday Notice |
| GOV034.04 |
04/02/2004 | |
Rule Filing FICC 2004-08--Surveillance of Members |
| GOV033.04 |
03/31/2004 | |
Executing Firm Master File Update – Refco Securities LLC / 9519 |
| GOV032.04 |
03/30/2004 | |
Extension of Repo Collateral Substitution Deadlines for “High Volume Trading Days” |
| GOV031.04 |
03/25/2004 | |
Executing Firm Master File Update – Refco Securities LLC / 9519 |
| GOV030.04 |
03/25/2004 | |
Executing Firm Master File Update – Wachovia Securities, LLC / 9549 |
| GOV029.04 |
03/25/2004 | |
Executing Firm Master File Update – Fortis Investment Services LLC / 9550 |
| GOV028.04 |
03/16/2004 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV027.04 |
03/15/2004 | |
Approval of Rule Filing SR-FICC-2003-08-- Addition of Adjustable-Rate Mortgage-Backed Securities to GCF Repo® Service |
| GOV026.04 |
03/04/2004 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV025.04 |
02/27/2004 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV024.04 |
02/27/2004 | |
New Participant in the Comparison and Netting System and the Repo-Comparison and Repo-Netting System of the Government Securities Division of FICC – Three Rivers Securities LLC / 9562 |
| GOV023.04 |
02/27/2004 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV022.04 |
02/26/2004 | |
Executing Firm Master File Update—Refco Securities, LLC /9519 and Refco Securities, LLC/Brokerage / 9545 |
| GOV021.04 |
02/26/2004 | |
Executing Firm Master File Update – National Financial Securities, LLC/9556 |
| GOV020.04 |
02/23/2004 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV019.04 |
02/23/2004 | |
Executing Firm Master File Update – National Financial Securities, LLC/9556 |
| GOV018.04 |
02/20/2004 | |
Membership Rebate |
| GOV017.04 |
02/18/2004 | |
Rule Filing FICC-2004-03-- Deletion of Fine Schedule and Technical Correction to Clearing Fund Rule |
| GOV016.04 |
02/17/2004 | |
Executing Firm Master File Update—National Financial Securities, LLC/9556 |
| GOV015.04 |
02/13/2004 | |
Executing Firm Master File Update—National Financial Securities, LLC/9556 |
| GOV014.04 |
02/13/2004 | |
Approval of Rule Filing SR-FICC-2003-03 -- New Criteria For Placing Members on Surveillance |
| GOV013.04 |
02/11/2004 | |
Executing Firm Master File Update—Refco Securities, LLC /9519 |
| GOV012.04 |
02/11/2004 | |
President’s Day Holiday Schedule |
| GOV011.04 |
02/09/2004 | |
Executing Firm Master File Update—Fortis Investment Services LLC/9550 |
| GOV010.04 |
02/06/2004 | |
The Allocation of Agency Collateral |
| GOV009.04 |
02/06/2004 | |
New Participant in the Netting System of the Government Securities Division of FICC – First Tennessee Bank, N.A. |
| GOV008.04 |
02/03/2004 | |
Executing Firm Master File Update—Fortis Investment Services LLC/9550 |
| GOV007.04 |
02/02/2004 | |
Expiring Letters of Credit |
| GOV006.04 |
01/21/2004 | |
Rule Filing FICC-2004-01— Changes to Membership Rules |
| GOV005.04 |
01/16/2004 | |
Clearing Corporation Insourcing |
| GOV004.04 |
01/14/2004 | |
Rule Filing FICC-2004-02—Cross-Margining |
| GOV003.04 |
01/13/2004 | |
Martin Luther King Jr. Holiday |
| GOV002.04 |
01/13/2004 | |
Executing Firm Master File Update—Fortis Investment Services LLC/9550 |
| GOV001.04 |
01/13/2004 | |
Executing Firm Master File Update—UBS Financial Services Inc./9548 |
