LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • a8379
  • Apr 25, 2017
  • NSCC
  • Clearing Services - Equities
  • OBLIGATION WAREHOUSE RECAPS PROCESS TEST
  • a8378
  • Apr 21, 2017
  • NSCC
  • Membership Updates
  • CHANGE IN THE LIST OF PARTICIPANTS
  • a8377
  • Apr 17, 2017
  • NSCC
  • Wealth Management Services
  • UPDATED NETWORKING OMNI/SERV® RECORD LAYOUTS AVAILABLE ONLINE
  • a8376
  • Apr 13, 2017
  • NSCC
  • Membership Updates
  • CHANGE IN THE LIST OF PARTICIPANTS
  • a8370
  • Apr 10, 2017
  • NSCC
  • Wealth Management Services
  • Mutual Fund Profile Service II – Profile Security Enhancements: Participant Services Environment Testing REVISED
  • a8374
  • Apr 07, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC PROPOSED RULE CHANGE FILING – CLEARING AGENCY
    STRESS TESTING FRAMEWORK (MARKET RISK) (SR-NSCC-2017-006)
  • a8375
  • Apr 07, 2017
  • NSCC
  • Membership Updates
  • CHANGE IN THE LIST OF PARTICIPANTS
  • a8373
  • Apr 06, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC PROPOSED RULE CHANGE FILING – CLEARING AGENCY
    CAPITAL REQUIREMENT POLICY AND CAPITAL REPLENISHMENT
    PLAN (SR-NSCC-2017-004)
  • a8372
  • Apr 06, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC PROPOSED RULE CHANGE FILING – CLEARING AGENCY
    LIQUIDITY RISK MANAGEMENT FRAMEWORK (SR-NSCC-2017-005)
  • a8371
  • Apr 05, 2017
  • NSCC
  • Clearing Services - Equities
  • NSCC ADVANCE NOTICE FILING – RENEWAL OF NSCC’S EXISTING
    END-OF-DAY CREDIT FACILITY, AND FUTURE RENEWALS OF SUCH
    CREDIT FACILITY (SR-NSCC-2017-802)
Doc # Date Subsidiary Category Subject
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