LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • GOV617-19
  • Mar 19, 2019
  • FICC - GOV
  • Membership Updates
  • New Participant in the Netting of the Government Securities Division of FICC:
    RBC Dominion Securities Inc. #9969
  • GOV616-19
  • Mar 18, 2019
  • FICC - GOV
  • Membership Updates
  • New Participant in the Netting of the Government Securities Division of FICC:
    Ronin Capital LLC/Funding, #9937
  • GOV615-19
  • Mar 18, 2019
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV612-19
  • Mar 15, 2019
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV613-19
  • Mar 14, 2019
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV611-19
  • Mar 14, 2019
  • FICC - GOV
  • Service Updates
  • Federal Reserve Bank to Enhance the Automated Claim Adjustment Process (“ACAP”)
  • GOV610-19
  • Mar 13, 2019
  • FICC - GOV
  • Membership Updates
  • New Participant in the Netting of the Government Securities Division of FICC: Standard Chartered Bank, New York Branch, #9519
  • GOV609-19
  • Mar 12, 2019
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV608-19
  • Mar 12, 2019
  • FICC - GOV
  • Membership Updates
  • New Sponsored Members
  • GOV607-19
  • Mar 07, 2019
  • FICC - GOV
  • Membership Updates
  • Executing Firm Master File Update – Pershing LLC / 9585
Doc # Date Subsidiary Category Subject
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