LEGAL & REGULATORY

Latest Important Notices

Use below listing to find important notices posted starting on September 1st, 2020. To find important notices uploaded prior to September 1st, 2020, please check the “Important Notices Archive” located at the bottom of this page. 

Doc # Date Subsidiary Category Subject
  • GOV1005-20
  • Nov 25, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsoring Member of the Government Securities Division of FICC:
    Goldman Sachs & Co. LLC/Omnibus – GSD# 9647
  • GOV1006-20
  • Nov 25, 2020
  • FICC - GOV
  • Service Updates
  • FICC Christmas Day Holiday Schedule
  • GOV1003-20
  • Nov 23, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV1004-20
  • Nov 23, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV1000-20
  • Nov 19, 2020
  • FICC - GOV
  • Service Updates
  • Submission of Rule Filing SR-FICC-2020-015 and Advance Notice Filing SR-FICC-2020-803 – Amendments to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of GSD’s DVP Service, and Make Other Changes
  • GOV1001-20
  • Nov 19, 2020
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV1002-20
  • Nov 19, 2020
  • FICC - GOV
  • Service Updates
  • Submission of Rule Filing SR-FICC-2020-016 – Amendments to the Clearing Agency Operational Risk Management Framework
  • GOV998-20
  • Nov 16, 2020
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV999-20
  • Nov 16, 2020
  • FICC - GOV
  • Service Updates
  • Submission of Rule Filing SR-FICC-2020-014 – Amend the GSD Rules and MBSD Rules to Modify the Clearing Fund Maintenance Fee, Reduce the End of Day Position Fee of GSD, and Describe FICC’s Current Rebate Policy
  • GOV997-20
  • Nov 09, 2020
  • FICC - GOV
  • Membership Updates
  • New Participant in the Netting System of the Government Securities Division of FICC:
    Deutsche Bank AG, New York Branch – GSD# 9973
Doc # Date Subsidiary Category Subject
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Important Notices Archive

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Doc # Date Subsidiary Category Subject
  • 13852-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • TaxRelief – Country: FINLAND CARGOTEC CUSIP: 14179X103
    Record Date: 09/04/2020 Payable Date: 09/18/2020
    Relief at Source CA Web Cut-Off: 09/11/2020 8:00 PM ET
  • 13049-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • Tax Relief Country: Ireland Security: Medtronic PLC CUSIP: G5960L103 Record Date: 9/25/2020 Payable Date: 10/16/2020 Relief at Source CA Web Cut-Off: 10/7/2020 8:00 PM ET Quick Refund CA Web Cut-Off: 10/26/2020 8:00 PM
  • MBS898-20
  • Aug 31, 2020
  • FICC - MBS
  • Service Updates
  • Clearing, Pool Netting, and EPN Services – FNMA/UMBS – Inclusion of New Coupon
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