| Doc # |
Date |
P&S No. |
Subject |
 GOV143.08 |
December 31, 2008 |
|
2009 Fee Revisions |
| GOV142.08 |
December 24, 2008 |
|
Executing Firm Master File Update - Pershing LLC /9585 |
| GOV141.08 |
December 24, 2008 |
|
FICC GSD and MBSD 2009 Holiday Schedule |
| GOV140.08 |
December 23, 2008 |
|
Christmas Day Observance and New Year's Day Observance Schedules |
| GOV139.08 |
December 22, 2008 |
|
Proposed Charges on Fails - Request For Comments |
| GOV138.08 |
December 16, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV137.08 |
December 12, 2008 |
|
New Sponsored Members |
| GOV136.08 |
December 09, 2008 |
|
Rule Filing 2008-06 – Expansion of buy-side membership in the GSD and corresponding changes to loss allocation provisions |
| GOV135.08 |
December 09, 2008 |
|
Rule Filing 2008-05 – Direct Membership for Non-Domestic Entities in the Government Securities Division (the “GSD”) |
| GOV134.08 |
December 05, 2008 |
|
New Sponsored Members |
| GOV133.08 |
December 05, 2008 |
|
Sponsored Members-Deleted |
| GOV132.08 |
December 05, 2008 |
|
Sponsored Members – Name Changes |
| GOV131.08 |
December 03, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV130.08 |
November 25, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV129.08 |
November 21, 2008 |
|
New Sponsored Members |
| GOV128.08 |
November 18, 2008 |
|
Prohibition on Pre-Netting of Trades |
| GOV127.08 |
November 17, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV126.08 |
November 17, 2008 |
|
Executing Firm Master File Update – FIRST CLEARING LLC /9544 |
| GOV125.08 |
November 17, 2008 |
|
Thanksgiving Day Holiday Schedule |
| GOV124.08 |
November 14, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV123.08 |
November 12, 2008 |
|
Addition of STRIPS to the GCF Repo® Service |
| GOV122.08 |
November 04, 2008 |
|
Veterans' Day Schedule |
| GOV121.08 |
October 29, 2008 |
|
New Sponsored Members |
| GOV120.08 |
October 27, 2008 |
|
Testing of Interactive Messaging for Brokered Repo Demand Processing |
| GOV119.08 |
October 23, 2008 |
|
Transfer of Outstanding Repurchase Obligations from Lehman Brothers, Inc. to MF Global Inc. |
| GOV118.08 |
October 20, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV117.08 |
October 07, 2008 |
|
Data Required re: FICC’s Inter-Bank GCF Repo Service |
| GOV116.08 |
October 07, 2008 |
|
Columbus Day Holiday Schedule |
| GOV115.08 |
October 06, 2008 |
|
Special Procedures to Resolve Fails Occurring Outside of FICC |
| GOV114.08 |
September 30, 2008 |
|
Merger and Name Changes – Bear, Stearns & Co., Inc. / J.P. Morgan Securities, Inc. |
| GOV113.08 |
September 30, 2008 |
|
Name Change – Bear Stearns Securities Corp. |
| GOV112.08 |
September 30, 2008 |
|
Name Changes – Tullett Liberty Brokerage Inc. |
| GOV111.08 |
September 26, 2008 |
|
New Sponsored Member |
| GOV110.08 |
September 24, 2008 |
|
Lehman Brothers, Inc. |
| GOV109.08 |
September 22, 2008 |
|
Lehman Brothers Inc. |
| GOV108.08 |
September 22, 2008 |
|
Lehman Brothers, Inc. (Account Nos. 9538 and 9688) |
| GOV107.08 |
September 19, 2008 |
|
New Sponsored Member |
| GOV106.08 |
September 16, 2008 |
|
Rule Filing 2008-04 – Addition of STRIPS to the GCF Repo® Service |
| GOV105.08 |
September 16, 2008 |
|
Executing Firm Master File Update –Ridge Clearing & Outsourcing, Solution Inc./ 9652 |
| GOV104.08 |
September 16, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV103.08 |
September 15, 2008 |
|
Lehman Brothers, Inc. |
| GOV102.08 |
September 12, 2008 |
|
New Sponsored Member |
| GOV101.08 |
September 08, 2008 |
|
Amended Demand Brokered Repo Messaging Specifications |
| GOV100.08 |
September 03, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV099.08 |
September 02, 2008 |
|
Business Continuity |
| GOV098.08 |
August 28, 2008 |
|
Executing Firm Master File Update - Pershing LLC/9585 |
| GOV097.08 |
August 27, 2008 |
|
Preliminary 2009 Fee Guidance |
| GOV096.08 |
August 21, 2008 |
|
New Sponsored Members |
| GOV095.08 |
August 20, 2008 |
|
Sponsored Members – Name Changes |
| GOV094.08 |
August 12, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV093.08 |
August 07, 2008 |
|
New Sponsored Members |
| GOV092.08 |
August 07, 2008 |
|
June 2008 Membership Rebate |
| GOV091.08 |
August 06, 2008 |
|
Approval of Rule Filing 2007-05 – Modifications to Fine Schedules |
| GOV090.08 |
August 01, 2008 |
|
Demand Brokered Repo Messaging Specification Supplement |
| GOV089.08 |
July 31, 2008 |
|
Data Required re FICC's Inter-Bank GCF Repo Service |
| GOV088.08 |
July 30, 2008 |
|
Updating Authorized Signer Certificates |
| GOV087.08 |
July 24, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV086.08 |
July 21, 2008 |
|
Transfer from Banc of America Securities LLC and Retirement of Certain accounts (#9663 to #9510) |
| GOV085.08 |
July 18, 2008 |
|
Approval of Rule Filing SR-FICC-2008-02 – DEMAND PROCESSING FOR BROKERED REPO TRADES |
| GOV084.08 |
July 14, 2008 |
|
Executing Firm Master File Update –Citigroup Global Markets Inc./Smith Barney/9554 |
| GOV083.08 |
July 14, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV082.08 |
July 08, 2008 |
|
New Participant in the Comparison System of the Government Securities Division of FICC– Raymond James & Associates - Institutional/9570 |
| GOV081.08 |
July 08, 2008 |
|
May 2008 Membership Rebate |
| GOV080.08 |
June 27, 2008 |
|
Name Change – The Bank of New York |
| GOV079.08 |
June 26, 2008 |
|
New Sponsored Members |
| GOV078.08 |
June 25, 2008 |
|
Assumption of Account of Countrywide Securities Corporation by Banc of America Securities, LLC and Retirement of Countrywide Securities Corporation |
| GOV077.08 |
June 24, 2008 |
|
New Sponsored Members |
| GOV076.08 |
June 24, 2008 |
|
Independence Day Holiday Schedule |
| GOV075.08 |
June 17, 2008 |
|
Foreign Affiliate Trading Reporting Requirement – Reminder |
| GOV074.08 |
June 06, 2008 |
|
April 2008 Membership Rebate |
| GOV073.08 |
June 06, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV072.08 |
June 04, 2008 |
|
Executing Firm Master File Update – National Financial Services /9556 REVISED |
| GOV071.08 |
June 03, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV070.08 |
June 03, 2008 |
|
Executing Firm Master File Update – National Financial Services /9556 |
| GOV069.08 |
June 02, 2008 |
|
Update to Required Legal Opinions |
| GOV068.08 |
May 29, 2008 |
|
Retirement of Government Securities Division Repo Netting System Participant – Banc of America Securities LLC/Fixed Income Prime Brokerage/9671 |
| GOV067.08 |
May 28, 2008 |
|
Data Required re FICC's Planned Shift to Inter-Bank GCF Repo Service |
| GOV066.08 |
May 19, 2008 |
|
New Sponsored Members |
| GOV065.08 |
May 19, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV064.08 |
May 16, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV063.08 |
May 14, 2008 |
|
New Sponsored Members |
| GOV062.08 |
May 14, 2008 |
|
Retirement of Government Securities Division Comparison System Participant – Broadpoint Capital, Inc./ 9677 |
| GOV061.08 |
May 09, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV060.08 |
May 08, 2008 |
|
March 2008 Membership Rebate |
| GOV059.08 |
May 08, 2008 |
|
New Sponsored Members |
| GOV058.08 |
May 02, 2008 |
|
Revised Fee Schedule Relating to Repo Collateral Substitution Process |
| GOV057.08 |
April 28, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV056.08 |
April 23, 2008 |
|
Approval of FICC Rule Filing 2007-08 (GCF Repo® Service) and Data Required re FICC's Planned Shift to Inter-Bank GCF Repo Service |
| GOV055.08 |
April 23, 2008 |
|
Executing Firm Master File Update – Daiwa Securities America Inc. / 9521 |
| GOV054.08 |
April 21, 2008 |
|
Executing Firm Master File Update – Daiwa Securities America Inc. / 9521 |
| GOV053.08 |
April 15, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV052.08 |
April 10, 2008 |
|
Retirement of Government Securities Division Netting and Repo Netting System Participant – Abbey National Securities Inc./ 9679 |
| GOV051.08 |
April 10, 2008 |
|
Rule Filing FICC-2008-02—DEMAND PROCESSING FOR BROKERED REPO TRADES |
| GOV050.08 |
April 08, 2008 |
|
Important Reporting Requirements |
| GOV049.08 |
April 07, 2008 |
|
February 2008 Membership Rebate |
| GOV048.08 |
April 02, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV047.08 |
March 26, 2008 |
|
Zero and Negative Yields |
| GOV046.08 |
March 26, 2008 |
|
New Sponsored Members |
| GOV045.08 |
March 24, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV044.08 |
March 17, 2008 |
|
Guaranty of obligations of Bear, Stearns by JPMorgan Chase & Co. |
| GOV043.08 |
March 17, 2008 |
|
New Sponsored Members |
| GOV042.08 |
March 17, 2008 |
|
Bear, Stearns & Co. Inc. (Account #9512) & Bear, Stearns Securities Corp. (Account #9646) |
| GOV041.08 |
March 17, 2008 |
|
GSD Non-Domestic Netting Members – Reporting Requirements Relating to Risk Management and Business Continuity/Disaster Recovery Procedures |
| GOV040.08 |
March 13, 2008 |
|
FICC Documents Move to DTCC.com |
| GOV039.08 |
March 13, 2008 |
|
Approval of Rule Filing 2007-06 – Modifications to Hearing Procedures |
| GOV038.08 |
March 12, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV037.08 |
March 11, 2008 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – TradeLink, LLC/ 9689 |
| GOV036.08 |
March 07, 2008 |
|
Year End 2007 Membership Rebate |
| GOV035.08 |
March 07, 2008 |
|
January 2008 Membership Rebate |
| GOV034.08 |
March 05, 2008 |
|
Good Friday Notice |
| GOV033.08 |
March 05, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV032.08 |
March 03, 2008 |
|
New Sponsored Members |
| GOV031.08 |
February 29, 2008 |
|
RBC Dain Rauscher Inc. – Retirement of Account 9631 and activation of #9611 under RBC Capital Markets Corporation name REVISED |
| GOV030.08 |
February 28, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV029.08 |
February 26, 2008 |
|
RBC Dain Rauscher Inc. – Retirement of Account 9631 and activation of #9611 under RBC Capital Markets Corporation name |
| GOV028.08 |
February 26, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV027.08 |
February 15, 2008 |
|
Update to Required Legal Opinions |
| GOV026.08 |
February 14, 2008 |
|
President’s Day Holiday Schedule |
| GOV025.08 |
February 12, 2008 |
|
Data Required re FICC's Planned Shift to Inter-Bank GCF Repo® Service |
| GOV024.08 |
February 07, 2008 |
|
December 2007 Membership Rebate |
| GOV023.08 |
February 07, 2008 |
|
New Sponsored Members |
| GOV022.08 |
February 05, 2008 |
|
New Sponsored Member |
| GOV021.08 |
February 05, 2008 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – WaMu Capital Corp./ 9564 REVISED |
| GOV020.08 |
February 05, 2008 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – BGC Financial, Inc./Electronic Repo / 9607 REVISED |
| GOV019.08 |
February 04, 2008 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – BGC Financial, Inc./Electronic Repo / 9607 |
| GOV018.08 |
February 04, 2008 |
|
Retirement of Government Securities Division Comparison and Repo Comparison System and Netting and Repo Netting System Participant – WaMu Capital Corp./ 9564 |
| GOV017.08 |
February 01, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV016.08 |
January 30, 2008 |
|
Demand Repo Comparison |
| GOV015.08 |
January 24, 2008 |
|
New Sponsored Members |
| GOV014.08 |
January 23, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV013.08 |
January 23, 2008 |
|
Amendment to FICC Rule Filing 2007-08—Interbank GCF Repo |
| GOV012.08 |
January 22, 2008 |
|
REMINDER -- 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 |
| GOV011.08 |
January 18, 2008 |
|
Foreign affiliate trading reporting requirement – Reminder |
| GOV010.08 |
January 16, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV009.08 |
January 15, 2008 |
|
New Sponsored Members |
| GOV008.08 |
January 10, 2008 |
|
New Participant in the Comparison and Repo Comparison System of the
Government Securities Division of FICC– Lehman Brothers Inc. /Prime
Brokerage /9688 – REVISED |
| GOV007.08 |
January 09, 2008 |
|
New Participant in the Comparison System of the Government Securities Division of FICC– Lehman Brothers Inc. /Prime Brokerage /9688 |
| GOV006.08 |
January 09, 2008 |
|
Martin Luther King Jr. Holiday |
| GOV005.08 |
January 08, 2008 |
|
Rule Filing FICC-2007-11—Modifications to Fee Schedules |
| GOV004.08 |
January 08, 2008 |
|
November 2007 Membership Rebate |
| GOV003.08 |
January 07, 2008 |
|
New Participant in the Comparison and Repo Comparison and Netting and Repo
Netting System of the Government Securities Division of FICC– Interactive Brokers
LLC/9594 |
| GOV002.08 |
January 03, 2008 |
|
Executing Firm Master File Update – Pershing LLC /9585 |
| GOV001.08 |
January 02, 2008 |
|
New Sponsored Members |
