| Doc # |
Date |
P&S No. |
Subject |
| GOV163.05 |
12/29/2005 | |
Rule Filing FICC-2005-22—Payment of Interest on Cash Collateral Deposits |
| GOV162.05 |
12/29/2005 | |
Name Change – Maxcor Financial Inc. to BGC Financial Inc. |
| GOV161.05 |
12/27/2005 | |
New Participant in the Repo Comparison and Netting System of the Government Securities Division of FICC– Tullett Liberty Brokerage Inc/Tradeblade/Repos/9615 |
| GOV160.05 |
12/23/2005 | |
Christmas Day Observance & New Year’s Day Observance Schedules |
| GOV159.05 |
12/23/2005 | |
Participant Testing for Fail Netting and Netting Interactive Messaging |
| GOV158.05 |
12/19/2005 | |
Approval of Rule Filing FICC-2005-14— Changes to funds-only settlement processing |
| GOV157.05 |
12/14/2005 | |
FICC GSD & MBSD 2006 Holiday Schedule |
| GOV156,05 |
12/09/2005 | |
October Membership Rebate |
| GOV155.05 |
12/05/2005 | |
2006 Fee Revisions |
| GOV154.05 |
12/02/2005 | |
Refco Securities, LLC (Account Numbers 9519 and 9545) |
| GOV153.05 |
12/01/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC– Fimat USA, LLC/Institutional/9593 |
| GOV152.05 |
11/29/2005 | |
Executing Firm Master File Update – Bear Stearns Securities Corp./9646 |
| GOV151.05 |
11/29/2005 | |
Executing Firm Master File Update – Pershing LLC/9585 |
| GOV150.05 |
11/28/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV149.05 |
11/28/2005 | |
Executing Firm Master File Update – Daiwa Securities America Inc./9521 |
| GOV148.05 |
11/25/2005 | |
Executing Firm Master File Update – Pershing LLC/9585 |
| GOV147.05 |
11/18/2005 | |
Executing Firm Master File Update – Fortis Securities LLC / 9550 |
| GOV146.05 |
11/18/2005 | |
Thanksgiving Day Holiday Schedule |
| GOV145.05 |
11/16/2005 | |
Executing Firm Master File Update – Bear Stearns Securities Corp./9646 |
| GOV144.05 |
11/09/2005 | |
Veterans’ Day Holiday Schedule |
| GOV143.05 |
11/07/2005 | |
September Membership Rebate |
| GOV142.05 |
11/04/2005 | |
Refco Securities, LLC (Account Numbers 9545 and 9519) |
| GOV141.05 |
11/04/2005 | |
Executing Firm Master File Update – ABN Amro Sage Corp./9582 |
| GOV140.05 |
11/02/2005 | |
Executing Firm Master File Update – RBC Dain Rauscher Inc./9631 |
| GOV139.05 |
11/01/2005 | |
Legacy Network Conversion – Special Pass – Through Charges |
| GOV138.05 |
11/01/2005 | |
New Sponsored Members |
| GOV137.05 |
11/01/2005 | |
Rule Filing FICC-2005-18—Amendments to Repo Collateral Substitution Process |
| GOV136.05 |
10/28/2005 | |
Clearing Fund Department – New Telephone #’s and FAX #’s |
| GOV135.05 |
10/28/2005 | |
Transfer of Netting-Eligible Transactions- Three Rivers Securities LLC (Account# 9562 to South Street Securities LLC (Account # 9520) |
| GOV134.05 |
10/19/2005 | |
Executing Firm Master File Update – Daiwa Securities America, Inc., /9521 |
| GOV133.05 |
10/18/2005 | |
Refco Securities LLC (Account #s 9519 & 9545) |
| GOV132.05 |
10/17/2005 | |
Refco Securities LLC – Wind Down |
| GOV131.05 |
10/13/2005 | |
Refco Securities, LLC (Account #s 9519 & 9545) |
| GOV130.05 |
10/12/2005 | |
Approval of Rule Filing FICC-2005-11—Fail Netting |
| GOV129.05 |
10/07/2005 | |
August Membership Rebate |
| GOV128.05 |
10/07/2005 | |
Foreign affiliate trading reporting requirement--Reminder |
| GOV127.05 |
10/07/2005 | |
Columbus Day Holiday Schedule |
| GOV126.05 |
10/06/2005 | |
Rule Filing SR-FICC-2005-19- Purchase of DTCC Common Stock |
| GOV125.05 |
10/03/2005 | |
Approval of Rule Filing FICC-2005-10—Business Continuity Testing |
| GOV124.05 |
10/03/2005 | |
Participant Service Environment (“PSE”) Shutdown at SIAC |
| GOV123.05 |
09/29/2005 | |
Rule Filing SR-FICC-2005-16 – Technical Changes to Clearing Fund Margin Factors |
| GOV122.05 |
09/29/2005 | |
Communications Insourcing |
| GOV121.05 |
09/28/2005 | |
New Sponsored Members |
| GOV120.05 |
09/22/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV119.05 |
09/22/2005 | |
Rule Filing SR-FICC-2005-14 – Changes To Funds-Only Settlement Processing |
| GOV118.05 |
09/12/2005 | |
Executing Firm Master File Update – Fiserv Securities Inc./9612 |
| GOV117.05 |
09/12/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV116.05 |
09/08/2005 | |
July Membership Rebate |
| GOV115.05 |
09/07/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV114.05 |
08/30/2005 | |
State Street Bank & Trust Company—Status as a Sponsoring Member |
| GOV113.05 |
08/29/2005 | |
Labor Day Holiday Schedule |
| GOV112.05 |
08/29/2005 | |
Rule Filing SR-FICC-2005-15—Migration from Legacy Network Connections |
| GOV111.05 |
08/29/2005 | |
RULE FILING SR-FICC-2005-14 – CHANGES TO FUNDS-ONLY SETTLEMENT PROCESSING |
| GOV110.05 |
08/18/2005 | |
New Participant in the Repo Netting System of the Government Securities Division of FICC– Wachovia Securities LLC/9527 |
| GOV109.05 |
08/05/2005 | |
June Membership Rebate |
| GOV108.05 |
08/03/2005 | |
Executing Firm Master File Update – Fiserv Securities Inc./9612 |
| GOV107.05 |
08/03/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV106.05 |
08/01/2005 | |
Interactive Messaging for Real-Time Matching Updated List |
| GOV105.05 |
08/01/2005 | |
Expiring Letters of Credit |
| GOV104.05 |
08/01/2005 | |
Approval of Rule Filing SR-FICC-2005-09 – Third Party Fee Collection |
| GOV103.05 |
08/01/2005 | |
Preliminary 2006 Fee Guidance |
| GOV102.05 |
07/28/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC – Sumitomo Mitsui Banking Corporation/9558 |
| GOV101.05 |
07/28/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC– Ronin Capital LLC / 9633 |
| GOV100.05 |
07/25/2005 | |
Communications Insourcing |
| GOV099.05 |
07/25/2005 | |
Participant Interactive Messaging Specifications for Government Securities Division (GSD) Netting Output – Appendix C |
| GOV098.05 |
07/19/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC– Scotia Capital (USA) Inc./9613 |
| GOV097.05 |
07/18/2005 | |
Rule Filing SR-FICC-2005-13—Technical and Administrative Changes to the Rules of FICC |
| GOV096.05 |
07/15/2005 | |
Retirement of Government Securities Division Comparison and Repo Comparison System – PNC Capital Markets Inc./9668 |
| GOV095.05 |
07/08/2005 | |
May Membership Rebate |
| GOV094.05 |
07/06/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV093.05 |
07/01/2005 | |
Interactive Messaging for Real-Time Matching Updated List |
| GOV092.05 |
07/01/2005 | |
Independence Day Holiday Schedule |
| GOV091.05 |
07/01/2005 | |
Updating Authorized Signer Certificates |
| GOV090.05 |
06/30/2005 | |
Participant Interactive Messaging Specifications for the Government Securities Division (GSD) Netting Output |
| GOV089.05 |
06/30/2005 | |
Fines For Failure to Submit Required Reports, Information, and Other Documentation |
| GOV088.05 |
06/30/2005 | |
Approval of Rule Filing FICC-2004-22—Sponsoring Member/Sponsored Member Relationship in the Government Securities Division’s rules |
| GOV087.05 |
06/28/2005 | |
Approval of Rule Filing FICC-2004-15—Prohibition Against Pre-netting of Trades and Expansion of Trade Submission and Trade Reporting Requirements |
| GOV086.05 |
06/27/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV085.05 |
06/27/2005 | |
Executing Firm Master File Update – Fiserv Securities Inc./9612 |
| GOV084.05 |
06/24/2005 | |
Approval of Rule Filing FICC-2005-01—Notification of Certain Events Affecting Participants’ Business and/or Financial Condition |
| GOV083.05 |
06/24/2005 | |
Executing Firm Master File Update – Fiserv Securities Inc./9612 |
| GOV082.05 |
06/24/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV081.05 |
06/22/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV080.05 |
06/16/2005 | |
Approval of Rule Filing FICC-2005-07—Firm Deadline for Satisfaction of GSD Clearing Fund Deficiencies |
| GOV079.05 |
06/15/2005 | |
Extension of Repo Collateral Substitution Deadlines for “High Volume Trading Days” |
| GOV078.05 |
06/14/2005 | |
Allocation of Forward Starting GC Repos |
| GOV077.05 |
06/07/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV076.05 |
06/07/2005 | |
April Membership Rebate |
| GOV075.05 |
06/02/2005 | |
Interactive Messaging for Real-Time Matching Updated List |
| GOV074.05 |
06/02/2005 | |
Executing Firm Master File Update - Refco Securities, LLC/9519 |
| GOV073.05 |
05/26/2005 | |
Memorial Day Holiday Schedule |
| GOV072.05 |
05/26/2005 | |
Rule Filing FICC-2005-12—Technical Changes and Interpretation of Existing Rule |
| GOV071.05 |
05/23/2005 | |
Rule Filing FICC-2005-11—Fail Netting |
| GOV070.05 |
05/18/2005 | |
Executing Firm Master File Update – ABN AMRO Sage Corp. / 9582 |
| GOV069.05 |
05/18/2005 | |
Executing Firm Master File Update – Fortis Securities LLC / 9550 |
| GOV068.05 |
05/18/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC– ABN AMRO Sage Corp. |
| GOV067.05 |
05/18/2005 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV066.05 |
05/13/2005 | |
Approval of Rule Filing FICC-2004-17—Modification of Assessment Process for Late Submissions of Collateral Allocations Made Through the GSD’s GCF Repo® Service and Additional Types of Securities that Can Be Used by a Participant in Satisfaction of Certain Collateral Obligations |
| GOV065.05 |
05/12/2005 | |
New Government Securities Division On-line Training Tool |
| GOV064.05 |
05/10/2005 | |
Account Transfer—Lazard Freres & Co LLC to Lazard Capital Markets LLC |
| GOV063.05 |
05/09/2005 | |
Submission of Rule Filing FICC-2005-10—Business Continuity Testing |
| GOV062.05 |
05/06/2005 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV061.05 |
05/06/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV060.05 |
05/06/2005 | |
Rule Filing FICC-2005-09—Third Party Fee Collection |
| GOV059.05 |
05/05/2005 | |
Membership Rebate |
| GOV058.05 |
04/28/2005 | |
Executing Firm Master File Update - Bank of America Broker Dealer Services / 9670 |
| GOV057.05 |
04/27/2005 | |
Retirement of Government Securities Division Comparison and Netting System Participant – Banc of America BrokerDealer Services / 9670 |
| GOV056.05 |
04/26/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV055.05 |
04/20/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV054.05 |
04/19/2005 | |
Rule Filing SR-FICC-2005-08—Addition of Treasury Inflation-Protected Securities to the GCF Repo Service |
| GOV053.05 |
04/15/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV052.05 |
04/13/2005 | |
New Participant in the Netting Buy/Sell System and Repo Netting System of the Government Securities Division of FICC– Palafox Trading, LLC/9568 |
| GOV051.05 |
04/12/2005 | |
Executing Firm Master File Update – Refco Securities, LLC/9519 |
| GOV050.05 |
04/08/2005 | |
Executing Firm Master File Update – Bank of America Broker Dealer Services / 9670 |
| GOV049.05 |
04/06/2005 | |
Retirement of Government Securities Division Comparison and Repo Comparison System – Trinity Fund, LTD./9578 |
| GOV048.05 |
04/06/2005 | |
Membership Rebate |
| GOV047.05 |
04/05/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV046.05 |
04/01/2005 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV045.05 |
03/30/2005 | |
Executing Firm Master File Update – Fortis Securities LLC/9550 |
| GOV044.05 |
03/30/2005 | |
Executing Firm Master File Update - Pershing LLC/9585 |
| GOV043.05 |
03/28/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV042.05 |
03/28/2005 | |
Extension of Repo Collateral Substitution Deadlines for “High Volume Trading Days” |
| GOV041.05 |
03/24/2005 | |
Pair Off Reports For Forward Starting General Collateral Repo Trades |
| GOV040.05 |
03/23/2005 | |
Approval of Rule Filing FICC-2005-02—Statutory Disqualification and Fines for Failure to Inform FICC of Falling out of Compliance with Membership Standards |
| GOV039.05 |
03/23/2005 | |
Approval of Rule Filing FICC-2004-14—Changes in Membership Requirements |
| GOV038.05 |
03/22/2005 | |
Approval of Rule Filing FICC-2004-18—Clarification of Loss Allocation Provisions |
| GOV037.05 |
03/22/2005 | |
Approval of Rule Filing FICC-2004-08—New Criteria for Placing Members on Surveillance , Interpretive Guidance to SR-FICC-2003-03 |
| GOV036.05 |
03/22/2005 | |
Good Friday Notice |
| GOV035.05 |
03/21/2005 | |
Executing Firm Master File Update – National Financial Services LLC/9556 |
| GOV034.05 |
03/21/2005 | |
Rule Filing FICC-2005-07—Firm Deadline for Satisfaction of GSD Clearing Fund Deficiencies |
| GOV033.05 |
03/16/2005 | |
Fines For Failure to Submit Required Reports and Information |
| GOV032.05 |
03/16/2005 | |
Executing Firm Master File Update – ADP Clearing & Outsourcing Services / 9652 |
| GOV031.05 |
03/16/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV030.05 |
03/16/2005 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – Wachovia Securities, LLC / 9549 |
| GOV029.05 |
03/16/2005 | |
Executing Firm Master File Update – Bank of America Broker Dealer Services / 9670 |
| GOV028.05 |
03/10/2005 | |
Fail Netting |
| GOV027.05 |
03/08/2005 | |
Executing Firm Master File Update – National Financial Services LLC / 9556 |
| GOV026.06 |
03/08/2005 | |
Executing Firm Master File Update – National Financial Services LLC /9556 |
| GOV025.05 |
03/08/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV024.05 |
03/01/2005 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
| GOV023.05 |
02/28/2005 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV022.05 |
02/25/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV021.05 |
02/22/2005 | |
Approval of Rule Filing FICC-2004-19--Technical Changes to FICC’s Rules |
| GOV020.05 |
02/14/2005 | |
President’s Day Holiday Schedule |
| GOV019.05 |
02/11/2005 | |
Rule Filing FICC-2005-05— Affiliate Guarantees |
| GOV018.05 |
02/03/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV017.05 |
02/03/2005 | |
Executing Firm Master File Update – ADP Clearing and Outsourcing Services, Inc. / 9652 |
| GOV016.05 |
02/03/2005 | |
Membership Rebate |
| GOV015.05 |
02/01/2005 | |
Expiring Letters of Credit |
| GOV014.05 |
01/31/2005 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – Freddie Mac / 9675 |
| GOV013.05 |
01/28/2005 | |
Executing Firm Master File Update – Bear Stearns Securities Corp. / 9646 |
| GOV012.05 |
01/27/2005 | |
Executing Firm Master File Update – Refco Securities, LLC / 9519 |
| GOV011.05 |
01/27/2005 | |
Assumption of Accounts of Prebon Securities (USA) Inc. by Tullett Liberty Brokerage Inc. and Renaming of Accounts |
| GOV010.05 |
01/26/2005 | |
Rule Filing FICC-2005-04—Clarification of Existing Rule and Reminder of Effective Date of Margin Premiums |
| GOV009.05 |
01/26/2005 | |
Rule Filing FICC-2005-03 –Amendment to FICC/CME Cross-Margining Arrangement |
| GOV008.05 |
01/20/2005 | |
Approval of Rule Filing FICC-2004-09 – Changes to Membership Rules |
| GOV007.05 |
01/19/2005 | |
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – Freddie Mac / 9574 |
| GOV006.05 |
01/14/2005 | |
Name Change—Spear, Leeds & Kellogg, L.P. to Goldman Sachs Execution & Clearing, L.P. |
| GOV005.05 |
01/13/2005 | |
Amendment to Rule Filing FICC-2004-14—-NON-DOMESTIC MEMBERSHIP REQUIREMENTS |
| GOV004.05 |
01/11/2005 | |
Martin Luther King Jr. Holiday |
| GOV003.05 |
01/11/2005 | |
Rule Filing FICC-2005-02— Statutory Disqualification and Fines for Failure to Inform FICC of Falling out of Compliance with Membership Standards |
| GOV002.05 |
01/10/2005 | |
Rule Filing FICC-2005-01—Notification of Certain Events Affecting Participants’ Business and/or Financial Condition |
| GOV001.05 |
01/07/2005 | |
Interactive Messaging for Real-Time Trade Matching Updated List |
