LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • a8436
  • Aug 01, 2017
  • NSCC
  • Executive Notices
  • Obligation Warehouse RECAPS Schedule August 2017
  • 8435
  • Aug 01, 2017
  • NSCC
  • Clearing Services - Equities
  • EFFECTIVE DATE OF NEW STOCK OPTIONS AND FUTURES SETTLEMENT AGREEMENT BETWEEN NSCC AND OCC
  • a8434
  • Jul 31, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC SUBMISSION OF RULE FILING (SR-NSCC-2017-014) – ESTABLISHMENT OF EFFECTIVE DATE FOR T+2 RULE CHANGES
  • a8433
  • Jul 28, 2017
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a8432
  • Jul 25, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC PROPOSED RULE CHANGE FILING – CLEARING AGENCY OPERATIONAL RISK MANAGEMENT FRAMEWORK (SR-NSCC-2017-013)
  • a8431
  • Jul 21, 2017
  • NSCC
  • Membership Updates
  • CHANGE IN THE LIST OF PARTICIPANTS
  • a8430
  • Jul 14, 2017
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a8428
  • Jul 11, 2017
  • NSCC
  • Clearing Services - Equities
  • UNIVERSAL TRADE CAPTURE EXCHANGE TESTING FOR NYSE/AMERICAN
  • a8427
  • Jul 07, 2017
  • NSCC
  • Membership Updates
  • CHANGES IN THE LIST OF PARTICIPANTS
  • a8426
  • Jul 05, 2017
  • NSCC
  • Clearing Services - Equities
  • OBLIGATION WAREHOUSE RECAPS PROCESS TEST ON JULY 13, 2017
Doc # Date Subsidiary Category Subject
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