LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • a8583
  • Jul 09, 2018
  • NSCC
  • Clearing Services - Equities
  • NSCC PROPOSED RULE CHANGE – CLARIFY AND ENHANCE THE CNS REORGANIZATION PROCESSING SYSTEM AND AUTHORITY TO REVEAL IDENTITIES OF COUNTERPARTIES
  • a8582
  • Jul 06, 2018
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • A8581
  • Jul 02, 2018
  • NSCC
  • Executive Notices
  • Commission Bill Settlement July 13, 2018
  • A8580
  • Jul 02, 2018
  • NSCC
  • Executive Notices
  • YEAR 2018 OBLIGATION WAREHOUSE RECAPS SCHEDULE
  • a8579
  • Jun 29, 2018
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • 8577
  • Jun 28, 2018
  • NSCC
  • Executive Notices
  • AMENDMENT NO. 1 TO NSCC PROPOSED RULE CHANGE AND ADVANCE NOTICE FILINGS – RECOVERY AND WIND-DOWN PLAN AND RELATED RULES (SR-NSCC-2017-017 AND SR-NSCC-2017-805)
  • A8578
  • Jun 28, 2018
  • NSCC
  • Clearing Services - Equities
  • ENHANCEMENTS TO THE LOSS ALLOCATION RULES (SUBMISSION OF AMENDMENT NO. 1 TO FILINGS SR-NSCC-2017-018 AND SR-NSCC-2017-806)
  • a8575
  • Jun 27, 2018
  • NSCC
  • Alternative Investment Products - AIP
  • AIP ELECTRONIC DOCUMENTATION FUNCTIONALITY & ADDITIONAL INDUSTRY ENHANCEMENTS - 2018
  • a8576
  • Jun 22, 2018
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a8574
  • Jun 15, 2018
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
Doc # Date Subsidiary Category Subject
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