Legal & Regulatory
SEC Rule Filings
Fixed Income Clearing Corporation (FICC) SEC Rule Filings
| SR # | Subject | SEC Approval Notice |
|---|---|---|
| Rule Filing SR-FICC-2006-20 |
Fee Structure for New Messaging Capabilities for Participants using the MBSD EPN Service |
Release No. 34-55164; File No. SR FICC-2006-20
Federal Register / Vol. 72, No. 21 / Thursday, February 1, 2007 |
| Rule Filing SR-FICC-2006-19 |
Restructuring of Membership Rules |
Release No. 34-56182; File No. SR-FICC-2006-19
Federal Register: August 8, 2007 (Volume 72, Number 152) |
| Rule Filing SR-FICC-2006-18 |
Amendment to Certain Administrative Provisions of the Rules of the GSD and MBSD |
Release No. 34-54794; File No. SR-FICC-2006-18
Federal Register / Vol. 71, No. 229 / Wednesday, November 29, 2006 |
| Rule Filing SR-FICC-2006-17 |
Timeframe for Clearing Fund Deficiency Calls |
Release No. 34-55136; File No. SR-FICC-2006-17
Federal Register: January 26, 2007 (Volume 72, Number 17) |
| Rule Filing SR-FICC-2006-16 |
GSD Value-at-Risk Clearing Fund Methodology |
Release No. 34-55217; File No. SR-FICC-2006-16
December 27, 2006 |
| Rule Filing SR-FICC-2006-15 |
Diversification of Clearing Fund Collateral |
Release No. 34-54969; File No. SR-FICC-2006-15
Federal Register / Vol. 71, No. 248 / Wednesday, December 27, 2006 |
| Rule Filing SR-FICC-2006-14 |
Requests for Return of Excess Clearing Fund Collateral |
Release No. 34-55134; File No. SR-FICC-2006-14
Federal Register / Vol. 72, No. 16 / Thursday, January 25, 2007 |
| Rule Filing SR-FICC-2006-13 |
Cash Settlement Payment Processing via the Fed's National Settlement System |
Release No. 34-54821; File No. SR-FICC-2006-13
October 26, 2006 |
| Rule Filing SR-FICC-2006-12 |
Assurances of Financial Responsibility and Cease to Act Clarifications |
Release No. 34-54879; File No. SR-FICC-2006-12
Federal Register: December 14, 2006 (Volume 71, Number 240) |
| Rule Filing SR-FICC-2006-11 |
MBSD Specified Pool Trades |
Release No. 34-54899; File No. SR-FICC-2006-11
Federal Register: December 14, 2006 (Volume 71, Number 240)] |
| Rule Filing SR-FICC-2006-10 |
Unregistered Investment Pools |
Release No. 34-55037; File No. SR-FICC- 2006-10 Federal Register / Vol. 72, No. 6 / Wednesday, January 10, 2007 |
| Rule Filing SR-FICC-2006-09 |
Amendment to FICC By-laws |
Release No. 34-54173; File Nos. SR-DTC-2006-10, SR-FICC-2006-09, and SR-NSCC-2006-08
Federal Register: July 28, 2006 (Volume 71, Number 145) |
| Rule Filing SR-FICC-2006-08 |
EPN Reports |
Release No. 34-54162; File No. SR-FICC-2006-08
[Federal Register] |
| Rule Filing SR-FICC-2006-07 |
FICC's Financial Reports |
Release No. 34-54957; File No. SR-FICC- 2006-07 Federal Register / Vol. 71, No. 248 / Wednesday, December 27, 2006 |
| Rule Filing SR-FICC-2006-06 |
GSD Funds-only Settling Bank Members |
Release No. 34-53863; No. SR-FICC-2006- 06 Federal Register / Vol. 71, No. 105 / Thursday, June 1, 2006 |
| Rule Filing SR-FICC-2006-05 |
Wind-Down Rule |
Release No. 34-55364; File No. SR-FICC-2006-05
December 20, 2006 |
| Rule Filing SR-FICC-2006-04 |
GCF Forward Mark Component of the Funds-only Settlement Process |
Release No. 34-53852; File No. SR-FICC- 2006-04 Federal Register / Vol. 71, No. 103 / Tuesday, May 30, 2006 |
| Rule Filing SR-FICC-2006-03 |
Clearing Fund Premium Relating to a Member's Ratio of Clearing Fund Requirement to Capital |
Release No. 34-54457; File Nos. SR-FICC-2006-03 and SR-NSCC-2006-03
Federal Register: September 21, 2006 (Volume 71, Number 183) |
| Rule Filing SR-FICC-2006-02 |
FICC's Financial Reports Withdrawn
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| Rule Filing SR-FICC-2006-01 |
Foreign CSD's Exclusion as "Mandatory Shares Purchaser Participants" |
Release No. 34-53395; File Nos. SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01
Federal Register: March 2, 2006 |