| Doc # |
Date |
P&S No. |
Subject |
 GOV143.07 |
December 31, 2007 |
|
Important Reporting Requirements |
| GOV142.07 |
December 28, 2007 |
|
Transfer and Assumption from MF Global Inc. to MF Global Securities Inc. |
| GOV141.07 |
December 28, 2007 |
|
Transfer and Assumption from A.G. Edwards & Sons, Inc. to Wachovia Securities,
LLC |
| GOV140.07 |
December 27, 2007 |
|
DTCC Processing for an Unscheduled Close/Interruptions in Processing |
| GOV139.07 |
December 27, 2007 |
|
Foreign affiliate trading reporting requirement – Reminder |
| GOV138.07 |
December 24, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV137.07 |
December 20, 2007 |
|
Name Changes – Fimat USA, LLC |
| GOV136.07 |
December 19, 2007 |
|
Clearing Fund Management System Rollout to Participants via the DTCC Network
and Implementation of the Clearing Fund Diversification Requirements of FICC Rule
Filing 2006-15 |
| GOV135.07 |
December 18, 2007 |
|
FICC GSD & MBSD 2008 Holiday Schedule |
| GOV134.07 |
December 18, 2007 |
|
Christmas Day Observance & New Year’s Day Observance Schedules |
| GOV133.07 |
December 17, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV132.07 |
December 11, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV131.07 |
December 07, 2007 |
|
October 2007 Membership Rebate |
| GOV130.07 |
December 07, 2007 |
|
Clearing Fund Management System Rollout to Participants via the DTCC Network
and Implementation of the Clearing Fund Diversification Requirements of FICC Rule
Filing 2006-15 |
| GOV129.07 |
November 30, 2007 |
|
Clearing Fund Management System Rollout to Participants via the DTCC Network
and Implementation of the Clearing Fund Diversification Requirements of FICC Rule
Filing 2006-15 |
| GOV128.07 |
November 28, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV127.07 |
November 21, 2007 |
|
New Sponsored Members |
| GOV126.07 |
November 16, 2007 |
|
Thanksgiving Day Holiday Schedule |
| GOV125.07 |
November 15, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV124.07 |
November 13, 2007 |
|
Prime Broker Netting Production Release |
| GOV123.07 |
November 13, 2007 |
|
Clearing Fund Management System Rollout to Participants via the DTCC Network |
| GOV122.07 |
November 09, 2007 |
|
Veterans' Day Holiday Schedule |
| GOV121.07 |
November 07, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV120.07 |
November 07, 2007 |
|
September 2007 Membership Rebate |
| GOV119.07 |
November 01, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV118.07 |
November 01, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV117.07 |
October 29, 2007 |
|
New Sponsored Members |
| GOV116.07 |
October 26, 2007 |
|
Name Change – Commercebank, N.A. |
| GOV115.07 |
October 26, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV114.07 |
October 26, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV113.07 |
October 19, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV112.07 |
October 19, 2007 |
|
Executing Firm Master File Update – Bear Stearns Securities Corp. /9646 |
| GOV111.07 |
October 15, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV110.07 |
October 11, 2007 |
|
Name Change – First Albany Corporation |
| GOV109.07 |
October 09, 2007 |
|
Executing Firm Master File Update – First Clearing LLC / 9544
|
| GOV108.07 |
October 09, 2007 |
|
Executing Firm Master File Update – Ridge Clearing & Outsourcing Solutions, Inc. / 9652
|
| GOV107.07 |
October 09, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585
|
| GOV106.07 |
October 05, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV105.07 |
October 05, 2007 |
|
August 2007 Membership Rebate |
| GOV104.07 |
October 05, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV103.07 |
October 01, 2007 |
|
Executing Firm Master File Update – Pershing LLC / 9585 |
| GOV102.07 |
October 01, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV101.07 |
September 27, 2007 |
|
Executing Firm Master File Update – Pershing LLC / 9585 |
| GOV100.07 |
September 27, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV099.07 |
September 26, 2007 |
|
REVISED: Data Required re FICC's Planned Shift to Inter-Bank GCF Repo® Service |
| GOV098.07 |
September 26, 2007 |
|
Columbus Day Holiday Schedule |
| GOV097.07 |
September 25, 2007 |
|
Data Required re FICC's Planned Shift to Inter-Bank GCF Repo® Service |
| GOV096.07 |
September 21, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV095.07 |
September 21, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV094.07 |
September 21, 2007 |
|
New Sponsored Members |
| GOV093.07 |
September 12, 2007 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV092.07 |
September 11, 2007 |
|
July 2007 Membership Rebate |
| GOV091.07 |
September 06, 2007 |
|
New Sponsored Member |
| GOV090.07 |
August 27, 2007 |
|
Labor Day Holiday Schedule |
| GOV089.07 |
August 24, 2007 |
|
Approval of Rule Filing 2007-09 - Enhancements to the Correspondent Clearing Service |
| GOV088.07 |
August 21, 2007 |
|
Approval of Rule Filing 2006-19 – Restructuring of Membership Rules |
| GOV087.07 |
August 17, 2007 |
|
RTTM Web Front End - Changes to Remote Access Coordinator Procedures |
| GOV086.07 |
August 14, 2007 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV085.07 |
August 10, 2007 |
|
Business Continuity |
| GOV084.07 |
August 07, 2007 |
|
June 2007 Membership Rebate |
| GOV083.07 |
July 24, 2007 |
|
Name Change -- Man Financial Inc./Man Securities |
| GOV082.07 |
July 23, 2007 |
|
New Sponsored Members |
| GOV081.07 |
July 19, 2007 |
|
Updating Authorized Signer Certificates
|
| GOV080.07 |
July 16, 2007 |
|
Rule Filing FICC-2007-08 -- GCF REPO® SERVICE |
| GOV079.07 |
July 13, 2007 |
|
New Participant in the Comparison and Repo Comparison and Netting and Repo Netting System of the Government Securities Division of FICC– TradeLink, LLC / 9689
|
| GOV078.07 |
July 09, 2007 |
|
May 2007 Membership Rebate |
| GOV077.07 |
July 06, 2007 |
|
New Participant in the Comparison and Repo Comparison and Netting and Repo Netting System of the Government Securities Division of FICC- LBBW Securities, LLC / 9636 |
| GOV076.07 |
July 06, 2007 |
|
REVISED - Name Change - ADP Clearing and Outsourcing Services, Inc. REVISED |
| GOV075.07 |
July 02, 2007 |
|
Independence Day Holiday Schedule |
| GOV074.07 |
July 02, 2007 |
|
Name Change - ADP Clearing and Outsourcing Services, Inc. |
| GOV073.07 |
June 29, 2007 |
|
Rule Filing SR-FICC-2007-07—Technical Rule Changes |
| GOV072.07 |
June 28, 2007 |
|
New Sponsored Members |
| GOV071.07 |
June 08, 2007 |
|
New Sponsored Members |
| GOV070.07 |
June 07, 2007 |
|
April 2007 Membership Rebate |
| GOV069.07 |
June 06, 2007 |
|
New Participant in the Repo Comparison System of the Government Securities Division of FICC - J.P. Morgan Securities Inc. / Fixed Income Prime Brokerage /9573 REVISED |
| GOV068.07 |
June 06, 2007 |
|
Foreign affiliate trading reporting requirement - Reminder |
| GOV067.07 |
June 05, 2007 |
|
New Participant in the Repo Comparison System of the Government Securities Division of FICC - JP Morgan Chase Bank, N.A. / Fixed Income Prime Brokerage /9573 |
| GOV066.07 |
June 01, 2007 |
|
New Sponsored Members |
| GOV065.07 |
May 31, 2007 |
|
Name Change - IXIS Securities North America Inc. |
| GOV064.07 |
May 31, 2007 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant - UBS Clearing Services Corporation / 9582 |
| GOV063.07 |
May 25, 2007 |
|
Addition of the Participant's ID to Clearing Fund Security Deposit Instructions |
| GOV062.07 |
May 25, 2007 |
|
Executing Firm Master File Update - UBS Clearing Services Corporation / 9582 |
| GOV061.07 |
May 25, 2007 |
|
Memorial Day Holiday Schedule |
| GOV060.07 |
May 24, 2007 |
|
FINAL DEADLINE FOR REPO COLLATERAL SUBSTITUTION REQUESTS -- REMINDER |
| GOV059.07 |
May 23, 2007 |
|
Name Change - Tullett Liberty Brokerage Inc./Prebon Securities (USA) Inc./Repos |
| GOV058.07 |
May 22, 2007 |
|
New Sponsored Members |
| GOV057.07 |
May 18, 2007 |
|
Revised Notice--Rule Filing 2007-05 - Modifications to Fine Schedules |
| GOV056.07 |
May 15, 2007 |
|
Executing Firm Master File Update - Man Financial Inc/Man Securities / 9634 |
| GOV055.07 |
May 15, 2007 |
|
Annual Updates of Non-Domestic Legal Opinions - Reminder |
| GOV054.07 |
May 09, 2007 |
|
Rule Filing 2007-05 - Modifications to Fine Schedules |
| GOV053.07 |
May 08, 2007 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV052.07 |
May 07, 2007 |
|
March 2007 Membership Rebate |
| GOV051.07 |
May 02, 2007 |
|
Rule Filing 2007-06 - Modifications to Hearing Procedures |
| GOV050.07 |
May 02, 2007 |
|
Rule Filing 2007-04 - Modifications to Disqualification Criteria |
| GOV049.07 |
May 01, 2007 |
|
Important Reporting Requirements |
| GOV048.07 |
May 01, 2007 |
|
GSD Non-Domestic Netting Members - New Reporting Requirements Relating to Risk Management and Business Continuity/Disaster Recovery Procedures |
| GOV047.07 |
May 01, 2007 |
|
Executing Firm Master File Update - Goldman Sachs Execution & Clearing , L.P./Clearing Services /9685 REVISED |
| GOV046.07 |
April 27, 2007 |
|
CIBC World Markets Corp.—Retirement of Account #9565 and Change of Account Name for #9581 |
| GOV045.07 |
April 25, 2007 |
|
Executing Firm Master File Update - Goldman Sachs Execution & Clearing , L.P./Clearing Services /9685 |
| GOV044.07 |
April 25, 2007 |
|
New Participant in the Comparison and Netting System of the Government Securities Division of FICC- Goldman Sachs Execution & Clearing, L.P. / Clearing Services / 9685 |
| GOV043.07 |
April 20, 2007 |
|
REVISED NOTICE - Executing Firm Master File Update - RBC Dain Rauscher Inc. /9631 |
| GOV042.07 |
April 20, 2007 |
|
New Sponsored Members |
| GOV041.07 |
April 20, 2007 |
|
Executing Firm Master File Update - Pershing LLC/9585 |
| GOV040.07 |
April 20, 2007 |
|
Approval of Rule Filing FICC-2007-03—FINAL DEADLINE FOR REPO COLLATERAL SUBSTITUTION REQUESTS |
| GOV039.07 |
April 19, 2007 |
|
Executing Firm Master File Update - RBC Dain Rauscher Inc. / 9631 |
| GOV038.07 |
April 19, 2007 |
|
Executing Firm Master File Update - Man Financial Inc/Man Securities / 9634 |
| GOV037.07 |
April 18, 2007 |
|
Executing Firm Master File Update - Daiwa Securities America Inc. / 9521 |
| GOV036.07 |
April 10, 2007 |
|
February 2007 Membership Rebate |
| GOV035.07 |
April 03, 2007 |
|
FICC Web Access Migration |
| GOV034.07 |
March 30, 2007 |
|
Transfer and Assumption from Morgan Stanley DW Inc. to Morgan Stanley & Co., Incorporated |
| GOV033.07 |
March 29, 2007 |
|
Rule Filing FICC-2007-03—FINAL DEADLINE FOR REPO COLLATERAL SUBSTITUTION REQUESTS |
| GOV032.07 |
March 28, 2007 |
|
Good Friday Notice |
| GOV031.07 |
March 27, 2007 |
|
Executing Firm Master File Update - Man Financial Inc/Man Securities / 9634 |
| GOV030.07 |
March 26, 2007 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV029.07 |
March 20, 2007 |
|
Rule Filing FICC-2007-02—Rule Clarification Relating to Brokered Repo Transactions |
| GOV028.07 |
March 07, 2007 |
|
Approval of Rule Filing FICC-2006-05--Member Wind-Down Rule |
| GOV027.07 |
March 07, 2007 |
|
January 2007 Membership Rebate |
| GOV026.07 |
March 05, 2007 |
|
New Sponsored Members |
| GOV025.07 |
March 01, 2007 |
|
Year End 2006 Membership Rebate |
| GOV024.07 |
February 28, 2007 |
|
Annual Updates of Non-Domestic Legal Opinions - Reminder |
| GOV023.07 |
February 23, 2007 |
|
GSD Legacy Web Connection Termination |
| GOV022.07 |
February 15, 2007 |
|
President's Day Holiday Schedule |
| GOV021.07 |
February 15, 2007 |
|
New Participant in the Netting System of the Government Securities Division of FICC- Pershing, LLC/9585 |
| GOV020.07 |
February 09, 2007 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV019.07 |
February 07, 2007 |
|
December 2006 Membership Rebate |
| GOV018.07 |
February 01, 2007 |
|
Approval of Rule Filing SR-FICC-2006-16 - Value at Risk Clearing Fund Methodology and Implementation of Rule Filing SR-FICC-2006-14 - Return of Excess Clearing Fund Deposits |
| GOV017.07 |
January 31, 2007 |
|
New Participant in the Comparison and Repo Comparison System of the Government Securities Division of FICC- Caxton International Limited /9567 |
| GOV016.07 |
January 30, 2007 |
|
New Sponsored Members |
| GOV015.07 |
January 29, 2007 |
|
Approval of Rule Filing 2007-01 - GSD Rule Interpretation |
| GOV014.07 |
January 29, 2007 |
|
Approval of Rule Filing 2006-17 - Timeframe for Clearing Fund Deficiency Calls |
| GOV013.07 |
January 29, 2007 |
|
Approval of Rule Filing 2006-14 - Return of Excess Clearing Fund Collateral for GSD Members |
| GOV012.07 |
January 26, 2007 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV011.07 |
January 25, 2007 |
|
Expiring Letters of Credit |
| GOV010.07 |
January 24, 2007 |
|
Transfer Account #9634 from Man Securities Inc. to Man Financial Inc |
| GOV009.07 |
January 17, 2007 |
|
New Participant in the Comparison and Repo Comparison System of the Government Securities Division of FICC- Southwest Securities, Inc. /9687 |
| GOV008.07 |
January 17, 2007 |
|
Foreign affiliate trading reporting requirement - Reminder |
| GOV007.07 |
January 10, 2007 |
|
SIFMA Fees |
| GOV006.07 |
January 10, 2007 |
|
Martin Luther King Jr. Holiday |
| GOV005.07 |
January 08, 2007 |
|
November Membership Rebate |
| GOV004.07 |
January 05, 2007 |
|
Executing Firm Master File Update - National Financial Services LLC / 9556 |
| GOV003.07 |
January 05, 2007 |
|
Executing Firm Master File Update - First Clearing, LLC / 9544 |
| GOV002.07 |
January 03, 2007 |
|
Approval of Rule Filing 2006-15 - Diversification of Clearing Fund Collateral |
| GOV001.07 |
January 02, 2007 |
|
Retirement of Government Securities Division Comparison System Participant - Goldenberg, Hehmeyer & Co. / 9648 |
