| Doc # |
Date |
P&S No. |
Subject |
 a6766 |
December 31, 2008 |
6336 |
2009 Fee Revisions |
| a6765 |
December 29, 2008 |
6335 |
Changes in the List of Participants |
| a6764 |
December 24, 2008 |
6334 |
Proposed Changes to NSCC Rules Regarding Re-registration of Mutual Fund Share Positions |
| a6763 |
December 19, 2008 |
6333 |
Changes in the List of Participants |
| a6762 |
December 16, 2008 |
6332 |
OTC Explicit Fee Processing |
| a6761 |
December 16, 2008 |
6331 |
Bernard L. Madoff Investment Securities, LLC Closeout Deadline for Submission of Member Closeout Details to NSCC for Security Balance Orders including CNS Receive and Deliver Orders |
| a6760 |
December 13, 2008 |
6330 |
BERNARD L. MADOFF INVESTMENT SECURITIES, LLC (NSCC MEMBER NO. 0646) |
| a6759 |
December 12, 2008 |
6329 |
NSCC CEASES TO ACT FOR BERNARD L. MADOFF INVESTMENT SECURITIES, LLC
Member Number 0646 |
| a6758 |
December 12, 2008 |
6328 |
Bernard L. Madoff Investment Securities, LLC (NSCC Member No. 0646) |
| a6757 |
December 12, 2008 |
6327 |
Changes in the List of Participants |
| a6756 |
December 11, 2008 |
6326 |
NSCC to Begin Collection of BATS Exchange Regulatory Fees |
| a6755 |
December 11, 2008 |
6325 |
NEW YEAR'S DAY SCHEDULE |
| a6754 |
December 11, 2008 |
6324 |
CHRISTMAS HOLIDAY SCHEDULE |
| a6753 |
December 05, 2008 |
6323 |
Year 2009 RECAPS Schedule |
| a6752 |
December 05, 2008 |
6322 |
Changes in the List of Participants REVISED |
| a6751 |
December 02, 2008 |
6321 |
Important Reporting Requirements |
| a6750 |
December 01, 2008 |
6320 |
Commission Bill Settlement December 15, 2008 |
| a6749 |
December 01, 2008 |
6319 |
RULE CHANGE SR-NSCC-2008-11 (NYSE/Alternext Trade Input) |
| a6748 |
November 28, 2008 |
6318 |
Changes in the List of Participants |
| a6747 |
November 25, 2008 |
6317 |
Rule Change Attachments - NSCC's Insurance and Retirement Processing Services ("IPS") (SR-NSCC-2008-10) |
| a6746 |
November 21, 2008 |
6316 |
Approval of Amendment to NSCC/OCC Accord |
| a6745 |
November 21, 2008 |
6315 |
Changes in the List of Participants |
| a6744 |
November 21, 2008 |
6314 |
Mutual Fund Transfer Enhancement Revised Implementation |
| a6743 |
November 19, 2008 |
6313 |
Changes in NSCC CNS Equity Securities Master File Information |
| a6742 |
November 18, 2008 |
6312 |
RULE FILING SR-NSCC-2008-09 |
| a6741 |
November 14, 2008 |
6311 |
Changes in the List of Participants |
| a6740 |
November 14, 2008 |
6310 |
New York State Stock Transfer Tax Rebate Program |
| a6739 |
November 14, 2008 |
6309 |
RECAPS December 2008 |
| a6737 |
November 13, 2008 |
6307 |
CNS Buy-in Activity on SMART/Track for Buy-ins and Additional
Enhancements to SMART/Track |
| a6736 |
November 07, 2008 |
6306 |
Mutual Fund Transfer Enhancement |
| a6735 |
November 07, 2008 |
6305 |
REMINDER: Changes to Clearance for the NYSE / Amex Integration |
| a6734 |
November 07, 2008 |
6304 |
Modification to NYSE Print Image Report (AutoRoute Product ID # 02010092) |
| a6733 |
November 07, 2008 |
6303 |
Changes in the List of Participants |
| a6732 |
November 04, 2008 |
6302 |
ALLSCRIPTS MISYS SPECIAL CASH DIVIDEND REVISED |
| a6731 |
November 03, 2008 |
6301 |
Commission Bill Settlement November 14, 2008 |
| a6730 |
October 31, 2008 |
6300 |
Lehman Brothers, Inc. Closeout Deadline for Submission of Member Closeout Details to NSCC for Security Balance Orders including CNS Receive and Deliver Orders |
| a6729 |
October 31, 2008 |
6299 |
Changes in the List of Participants |
| a6728 |
October 24, 2008 |
6298 |
Changes in the List of Participants |
| a6727 |
October 21, 2008 |
6297 |
BATS Exchange Inc. Regional Interface Operation (RIO) & Consolidated Trade Summary Enhancements |
| a6726 |
October 20, 2008 |
6296 |
Veterans Day Holiday Schedule |
| a6725 |
October 17, 2008 |
6295 |
Changes in the List of Participants |
| a6724 |
October 10, 2008 |
6294 |
Updated Information - Mutual Funds Investment Manager / Agent Member |
| a6723 |
October 10, 2008 |
6293 |
Changes in the List of Participants |
| a6722 |
October 08, 2008 |
6292 |
Update - Barclays Capital Inc. updates Members with respect to its ACATS processing |
| a6721 |
October 06, 2008 |
6291 |
ACATS Transactions With Barclays Capital Inc. #0229 |
| a6720 |
October 03, 2008 |
6290 |
Changes in the List of Participants |
| a6719 |
October 01, 2008 |
6289 |
Approval of Rule Change SR-NSCC-2008-07 (Processing Enhancements for Exchange-Traded Funds) |
| a6718 |
October 01, 2008 |
6288 |
Rule Change SR-NSCC 2008-08 (Mutual Fund Profile) |
| a6717 |
October 01, 2008 |
6287 |
Enhancements to Mutual Fund Profile Service II (Profile Security) for DTCC WebDirect and Mainframe |
| a6716 |
October 01, 2008 |
6286 |
Commission Bill Settlement October 15, 2008 |
| a6715 |
September 26, 2008 |
6285 |
Changes in the List of Participants |
| a6714 |
September 25, 2008 |
6284 |
UPDATE - ACATS Transfers Involving Lehman Brothers, Inc. (NSCC Member No. 0074) |
| a6713 |
September 25, 2008 |
6283 |
Changes in the List of Participants Barclays Capital, Inc. |
| a6712 |
September 24, 2008 |
6282 |
NSCC CEASES TO ACT FOR LEHMAN BROTHERS INC. (NSCC
Member No. 0074; Additional Numbers 0036 and 6750) |
| a6711 |
September 24, 2008 |
6281 |
UPDATE - ACATS Transfers Involving Lehman Brothers, Inc. (NSCC Member No. 0074) |
| a6710 |
September 24, 2008 |
6280 |
Lehman Brothers Inc. (NSCC Member No. 0074; Additional Numbers 0036 and 6750) |
| a6709 |
September 23, 2008 |
6279 |
ACATS Transfers Involving Lehman Brothers, Inc. (NSCC Member No. 0074) |
| a6708 |
September 23, 2008 |
6278 |
Changes to Clearance for the NYSE/ Amex Integration |
| a6707 |
September 22, 2008 |
6277 |
Changes in the List of Participants Barclays Capital Inc. |
| a6706 |
September 22, 2008 |
6276 |
Lehman Brothers, Inc. (NSCC Member # 0074) RECAPS Settlements |
| a6705 |
September 22, 2008 |
6725 |
Lehman Wind-Down Procedures |
| a6704 |
September 22, 2008 |
6724 |
Lehman Brothers, Inc. - Additional Account Number 0055 |
| a6703 |
September 22, 2008 |
6723 |
ACATS Money Settlement Adjustments |
| a6702 |
September 22, 2008 |
6722 |
Lehman Brothers, Inc. (NSCC Member No. 0074; Additional Numbers 0055, 0036 and 6750). |
| a6701 |
September 19, 2008 |
6721 |
Neuberger Berman management Inc./Lehman Brothers Alpha Funds (NSCC Fund Member No. 6681).
Transactions in:
Lehman Brothers Global Bond Fund USD Institutional Accumulating Class
Lehman Brothers Global Bond Fund USD Adviser Accumulating Class
Lehman Brothers Global Bond Fund USD Investor Accumulating Class |
| a6700 |
September 19, 2008 |
6720 |
Changes in the List of Participants |
| a6699 |
September 18, 2008 |
6269 |
Reserve Partners, Inc. (NSCC Fund Member No. 5720) |
| a6698 |
September 17, 2008 |
6268 |
Change in Clearing Relationship |
| a6697 |
September 17, 2008 |
6267 |
Reserve Partners, Inc. (NSCC Fund Member No. 5720)
Transactions in Reserve Primary Fund and Reserve Yield Plus
Fund (all classes) |
| a6696 |
September 16, 2008 |
6266 |
BATS EXCHANGE Inc. REGIONAL INTERFACE OPERATION (RIO) & CONSOLIDATED TRADE SUMMARY ENHANCEMENTS |
| a6695 |
September 16, 2008 |
6265 |
ACATS Mutual Fund Transfer Service ACATS Participant Master File Autoroute# 02090068 |
| a6694 |
September 15, 2008 |
6264 |
Lehman Brothers, Inc. (NSCC Member No. 074) and Neuberger Berman Management Inc. (NSCC Rule 51 Distributor Member) |
| a6693 |
September 12, 2008 |
6263 |
Changes in the List of Participants |
| a6692 |
September 12, 2008 |
N/A |
NOTE: An Important Notice with A#6692 will not be issued N/A |
| a6691 |
September 09, 2008 |
6261 |
Settlement Report Files Available to TPAs |
| a6690 |
September 05, 2008 |
6260 |
Columbus Day Holiday Schedule |
| a6689 |
September 05, 2008 |
6259 |
Change in Schedule (Montreal/Toronto/Vancouver) |
| a6688 |
September 05, 2008 |
6258 |
Changes in the List of Participants |
| a6687 |
September 02, 2008 |
6257 |
Business Continuity Testing |
| a6686 |
August 29, 2008 |
6256 |
Commission Bill Settlement September 15, 2008 |
| a6685 |
August 29, 2008 |
6255 |
Changes in the List of Participants |
| a6684 |
August 28, 2008 |
6254 |
Important Reporting Requirements |
| a6683 |
August 28, 2008 |
6253 |
Change to Distribution Time for NSCC Equity Print Image
Reports REVISED |
| a6682 |
August 27, 2008 |
6252 |
Preliminary 2009 Fee Guidance |
| a6681 |
August 25, 2008 |
6251 |
RULE CHANGE APPROVAL SR-NSCC-2007-15 (Policy
Statement Regarding the Admission of Foreign Entities as
NSCC Members) |
| a6680 |
August 22, 2008 |
6250 |
Changes in the List of Participants |
| a6679 |
August 22, 2008 |
6249 |
ACATS - Bank Holiday Processing (Columbus Day and Veteran's Day) |
| a6678 |
August 21, 2008 |
6248 |
Testing to Support both Cash Components and Shortened Settlement Processing |
| a6677 |
August 20, 2008 |
6247 |
New York State Stock Transfer Tax Rebate Program |
| a6676 |
August 20, 2008 |
6246 |
RECAPS September 2008 |
| a6675 |
August 15, 2008 |
6245 |
Mutual Fund Profile Service II (Profile Security Database) for DTCC WebDirect and Mainframe: Hard Edit and New Report Modifications |
| a6674 |
August 15, 2008 |
6244 |
Changes in the List of Participants |
| a6673 |
August 13, 2008 |
6243 |
SMART/Track for Corporate Action Liability Notifications E-Mail Notifications |
| a6672 |
August 13, 2008 |
6242 |
Labor Day Holiday Schedule |
| a6671 |
August 08, 2008 |
6241 |
Changes in the List of Participants |
| a6670 |
August 06, 2008 |
6240 |
Approval of Rule Change SR-NSCC-2007-07 (Fines) |
| a6669 |
August 01, 2008 |
6239 |
Changes in the List of Participants |
| a6668 |
August 01, 2008 |
6238 |
Commission Bill Settlement August 15, 2008 |
| a6667 |
July 29, 2008 |
6237 |
ACATS Mutual Fund Transfer Service |
| a6666 |
July 25, 2008 |
6236 |
Rule Change SR-NSCC-2008-06 |
| a6665 |
July 25, 2008 |
6235 |
Changes in the List of Participants |
| a6664 |
July 25, 2008 |
6234 |
Reminder SMART/Track for Buy-ins MRO |
| a6663 |
July 22, 2008 |
6233 |
RULE CHANGE SR-NSCC-2008-07 (Processing
Enhancements for Exchange-Traded Funds) |
| a6662 |
July 22, 2008 |
6232 |
IPS 2008 September Enhancement Release |
| a6661 |
July 22, 2008 |
6231 |
Rule Change SR-NSCC-2008-06 (see A#6666) REVISED |
| a6660 |
July 18, 2008 |
6230 |
NSCC Enhances its Exchange Traded Fund (ETF) Process to Support both Cash Components and Shortened Settlement Processing REVISED |
| a6659 |
July 18, 2008 |
6229 |
Changes in the List of Participants |
| a6658 |
July 11, 2008 |
6228 |
Mutual Funds Investment Manager/Agent Member |
| a6657 |
July 11, 2008 |
6227 |
Changes in the List of Participants |
| a6656 |
July 07, 2008 |
6226 |
Revised Effective Date - PROGRAM AND SYSTEMATIC INDICATOR FRAMEWORK: ENHANCEMENTS TO FUND/SERV® FOR DTCC (WEBDIRECT AND MAINFRAME) |
| a6655 |
July 07, 2008 |
6225 |
Revised Effective Date - EDIT MODIFICATIONS TO NETWORKING STANDARDIZED DATA REPORTING & SHARE-AGING PLUS FUND/SERV® EXCHANGES |
| a6654 |
July 07, 2008 |
6224 |
NSCC Intraday Output Schedule |
| a6653 |
July 07, 2008 |
6223 |
ACATS Mutual Fund Transfer Service |
| a6652 |
July 03, 2008 |
6222 |
Changes in the List of Participants |
| a6651 |
June 30, 2008 |
6221 |
Commission Bill Settlement July 15, 2008 |
| a6650 |
June 30, 2008 |
6220 |
Reminder - Enhancements To Mutual
Fund Profile Service II (Profile
Security) for DTCC Webdirect and
Mainframe |
| a6649 |
June 30, 2008 |
6219 |
Rule Change SR-NSCC-2008-05 (2008 Fee Revisions) |
| a6648 |
June 30, 2008 |
6218 |
Holiday Processing for Positions and Values |
| a6647 |
June 27, 2008 |
6217 |
Changes in the List of Participants |
| a6646 |
June 26, 2008 |
6216 |
ACATS Enhancements Modifications for Auction Rate Securities |
| a6645 |
June 25, 2008 |
6215 |
Withdrawal of Rule Filing SR-NSCC-2008-02 |
| a6644 |
June 25, 2008 |
6214 |
Rule Change - Mutual Funds Investment Manager/Agent Member (SR-NSCC-2008-04) |
| a6643 |
June 25, 2008 |
6213 |
*** Implementation Date Changed - see A#6656.*** Program and Systematic Indicator Framework: Enhancement to Fund/SERV for DTCC (Webdirect and Mainframe) |
| a6642 |
June 25, 2008 |
6212 |
*** Implementation Date Changed - see A#6655.*** Edit Modifications to Networking Standardized Data Reporting & Shareaging Plus Fund/SERV Exchanges |
| a6641 |
June 24, 2008 |
6211 |
Mid-Year Fee Reductions for NSCC Services |
| a6640 |
June 20, 2008 |
6210 |
Enhancements to Mutual Fund Profile Service II (Profile Security Database ) for DTCC Webdirect and Mainframe |
| a6639 |
June 20, 2008 |
6209 |
Change In Schedule (Montreal/Toronto/Vancouver) |
| a6638 |
June 20, 2008 |
6208 |
Changes in the List of Participants |
| a6637 |
June 20, 2008 |
6207 |
Rule Change Insurance Services (Funds Transfer Service) REVISED |
| a6636 |
June 18, 2008 |
6206 |
CNS Equity Master File Modifications Postponed Indefinitely |
| a6635 |
June 17, 2008 |
6205 |
Independence Day Holiday Schedule |
| a6634 |
June 13, 2008 |
6204 |
Automated Customer Account Transfer Service (ACATS) New Website |
| a6633 |
June 13, 2008 |
6203 |
Changes in the List of Participants |
| a6632 |
June 11, 2008 |
6202 |
Alternative Investment Products (AIP) Service SEC Approval |
| a6631 |
June 11, 2008 |
6201 |
NSCC File Formats Move to DTCC.com |
| a6630 |
June 06, 2008 |
6200 |
Changes in the List of Participants |
| a6629 |
June 05, 2008 |
6199 |
NEW SERVICE ANNOUNCEMENT - INSTITUTIONAL DELIVERY (ID) NET |
| a6628 |
June 05, 2008 |
6198 |
Rule Change - Mutual Funds Investment Manager/Agent Member |
| a6627 |
May 30, 2008 |
6197 |
Changes in the List of Participants |
| a6626 |
May 29, 2008 |
6196 |
New Hours of Availability For Fund/SPEED |
| a6625 |
May 27, 2008 |
6195 |
NSCC Ceases To Act For North American Clearing,
Inc. (Member No. 0297) |
| a6624 |
May 23, 2008 |
6194 |
NSCC CEASES TO ACT North American Clearing, Inc.
MEMBER #0297 |
| a6623 |
May 23, 2008 |
6193 |
Changes in the List of Participants |
| a6622 |
May 21, 2008 |
6192 |
North American Clearing, Inc. (NSCC Member No. 0297) |
| a6621 |
May 21, 2008 |
6191 |
Final Mutual Fund Services Documents
Move to www.dtcc.com; (http://funds.dtcc.com
Decommissioned) |
| a6620 |
May 20, 2008 |
6190 |
New Service Announcement ACATS Mutual Fund Transfer Service |
| a6619 |
May 19, 2008 |
6189 |
RECAPS June 2008 |
| a6618 |
May 19, 2008 |
6188 |
New York State Stock Transfer Tax Rebate Program |
| a6617 |
May 16, 2008 |
6187 |
Important Reporting Requirements |
| a6616 |
May 16, 2008 |
6186 |
Changes in the List of Participants |
| a6615 |
May 14, 2008 |
6185 |
Time Change to 1st Intra-day Machine Readable Output (MRO)
from NSCC for NYSE Data. |
| a6614 |
May 14, 2008 |
6184 |
Enhancements To Mutual Fund Profile
Service II (Profile Security) for DTCC
Webdirect and Mainframe REVISED |
| a6613 |
May 12, 2008 |
6183 |
Change in Schedule - Toronto |
| a6611 |
May 12, 2008 |
6181 |
Commission Bill Settlement May 15, 2008 |
| a6610 |
May 09, 2008 |
6180 |
Changes in the List of Participants |
| a6612 |
May 08, 2008 |
6182 |
Memorial Day Holiday Schedule |
| a6609 |
May 08, 2008 |
6179 |
FUND/SERV® SECURITY ISSUE ID ADD FORM
CHANGES |
| a6608 |
May 02, 2008 |
6178 |
Changes in the List of Participants |
| a6607 |
April 30, 2008 |
6177 |
CNS PBS Screens for CNS Buy-ins |
| a6606 |
April 25, 2008 |
6176 |
Changes in the List of Participants |
| a6605 |
April 21, 2008 |
6175 |
Implementation Schedule Change for the Regional Interface Operations (RIO) Print Image Contact Output Modification |
| a6604 |
April 18, 2008 |
6174 |
Changes in the List of Participants |
| a6603 |
April 16, 2008 |
6173 |
New York Stock Exchange C2L Migration Revised Effective
Date |
| a6602 |
April 11, 2008 |
6172 |
Changes in the List of Participants |
| a6601 |
April 11, 2008 |
6171 |
New York Stock Exchange C2L Migration REVISED |
| a6600 |
April 07, 2008 |
6170 |
Implementation of SMART/Track for Buy-ins Enhancements |
| a6599 |
April 04, 2008 |
6169 |
Changes in the List of Participants |
| a6598 |
April 01, 2008 |
6168 |
Commission Bill Settlement April 15, 2008 |
| a6597 |
March 31, 2008 |
6167 |
Wm. V. Frankel & Co., Incorporated (NSCC Member No. 623) |
| a6596 |
March 28, 2008 |
6166 |
Changes in the List of Participants |
| a6595 |
March 26, 2008 |
6165 |
ACATS Modifications Options Symbology Initiative (Revised Dates) |
| a6594 |
March 26, 2008 |
6164 |
Cost Basis Reporting Service (CBRS) Modifications Options Symbology Initiative (Revised Dates) |
| a6593 |
March 24, 2008 |
6163 |
Automated Account Transfer Service (ACATS) |
| a6592 |
March 20, 2008 |
6162 |
Changes in the List of Participants |
| a6591 |
March 18, 2008 |
6161 |
RULE CHANGE SR-NSCC-2008-01 (NSCCs Automated Stock
Borrow Program) |
| a6590 |
March 17, 2008 |
6160 |
Guaranty of Obligations of Bear, Stearns by JPMorgan Chase &
Co. |
| a6589 |
March 17, 2008 |
6159 |
Bear, Stearns Securities Corp. (Account #0352, and additional
accounts #0351, #0363, #2424, #3809, #3827, #3837 and
#3887) Bear, Stearns & Co. Inc. (Account #5865) |
| a6588 |
March 14, 2008 |
6158 |
Changes in the List of Participants |
| a6587 |
March 13, 2008 |
6157 |
Approval of Rule Filing SR-NSCC-2007-06 Modifications to Hearing Procedures |
| a6586 |
March 13, 2008 |
6156 |
CNS Equity Master File Modifications |
| a6585 |
March 11, 2008 |
6155 |
Changes to NSCC's Value-AT-Risk (VaR) Methodology - Parallel Reports Available Starting March 17, 2008 - Implementation Monday, March 31, 2008 |
| a6584 |
March 11, 2008 |
6154 |
Good Friday Holiday Schedule |
| a6583 |
March 07, 2008 |
6153 |
Modification to the Regional Interface Operations (RIO) Print Image Contact Output |
| a6582 |
March 07, 2008 |
6152 |
Year-End Refund for 2007 |
| a6581 |
March 07, 2008 |
6151 |
Changes in the List of Participants |
| a6580 |
March 04, 2008 |
6150 |
Standardized Underlying Firm Symbol (UFS) Networking Service |
| a6579 |
February 29, 2008 |
6149 |
Changes in the List of Participants |
| a6578 |
February 29, 2008 |
6148 |
Cost Basis Reporting Service (CBRS) Modifications Options Symbology Initiative |
| a6577 |
February 29, 2008 |
6147 |
Commission Bill Settlement March 14, 2008 |
| a6576 |
February 22, 2008 |
6146 |
Changes in the List of Participants |
| a6575 |
February 15, 2008 |
6145 |
Changes in the List of Participants |
| a6574 |
February 08, 2008 |
6144 |
Changes in the List of Participants |
| a6573 |
February 06, 2008 |
6143 |
SMART/Track for Buy-Ins - Enhancements |
| a6572 |
February 04, 2008 |
6142 |
New York State Stock Transfer Tax Rebate Program |
| a6571 |
February 04, 2008 |
6141 |
RECAPS March 2008 |
| a6570 |
February 04, 2008 |
6140 |
Washington's Birthday (Presidents Day) Holiday Schedule |
| a6569 |
February 04, 2008 |
6139 |
ACATS Transaction Activity History Inquiry Function |
| a6568 |
February 01, 2008 |
6138 |
Commission Bill Settlement February 15, 2008 |
| a6567 |
February 01, 2008 |
6137 |
Changes in the List of Participants |
| a6566 |
January 30, 2008 |
6136 |
Clarification of Correspondent Clearing Serivice (Rule Change SR-NSCC-2007-16) REVISED |
| a6565 |
January 25, 2008 |
6135 |
Changes in the List of Participants |
| a6564 |
January 23, 2008 |
6134 |
REMINDER -- Enhancement to the Clearing Fund Management System and Implementation of NSCC Rule Filing SR-NSCC-2006-11 |
| a6563 |
January 18, 2008 |
6133 |
Changes in the List of Participants |
| a6562 |
January 17, 2008 |
6132 |
NYSE Group Anonymous Trade Reporting On RIO Output |
| a6561 |
January 14, 2008 |
6131 |
Martin Luther King, Jr. Day |
| a6560 |
January 11, 2008 |
6130 |
Changes in the List of Participants |
| a6559 |
January 09, 2008 |
6129 |
IPS 2008 March Enhancement Release |
| a6558 |
January 04, 2008 |
6128 |
Changes in the List of Participants REVISED |
| a6557 |
January 03, 2008 |
6127 |
Commission Bill Settlement January 10, 2008 |
