Legal & Regulatory
SEC Rule Filings
Fixed Income Clearing Corporation (FICC)
| SR # | Subject | SEC Approval Notice / Federal Register Notice |
|---|---|---|
| SR-FICC-2009-11 |
To adopt changes to the Government Securities Division fee schedule. |
Release No. 34–61395; File No. SR–FICC–2009–11
Federal Register: January 27, 2010 (Vol. 75, No. 17) |
| SR-FICC-2009-10 |
Proposed Rule Change by FICC to permit the Board of Directors to delegate certain responsibilities and to permit non-participant directors on the Board |
Release No. 34-61214; File No. SR-FICC-2009-10
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Fixed Income Clearing Corporation’s Board of Directors Election Process and Delegation Authority, December 22, 2009 |
| SR-FICC-2009-09 |
The Fixed Income Clearing Corporation (FICC) is filing the proposed rule change in order to modify the language contained within the Confirmation of an OFAC Program Letter. |
Release No. 34–60660; File Nos. SR–DTC– 2009–14, SR–NSCC–2009–07, SR–FICC– 2009–09 Federal Register: September 22, 2009 (Vol. 74, No. 182) |
| SR-FICC-2009-08 |
Amendment of the rules regarding calculation of the clearing fund deposit for IDB's |
Release No. 34–60510; File No. SR–FICC–2009-08
Federal Register: August 24, 2009 (Vol. 74, No. 162) |
| SR-FICC-2009-07 |
Rule Filing to modify the range of haircuts currently applied to the Eligible Clearing Fund Securities and Eligible Participants Fund Securities |
Release No. 34-60421; File No. SR-FICC-2009-07
Federal Register August 3, 2009 (Volume 74, Number 147) |
| SR-FICC-2009-06 |
The proposed FICC rule change for immediate effectiveness is being filed to clarify the MBSD and the GSD rules with regard to economic sanctions and embargo programs administered and enforced by the Office of Foreign Assets Control. |
Release No. 34–59917; File Nos. SR–DTC–2009–07, SR–FICC–2009–06, SR–NSCC–2009–03
Federal Register: May 21, 2009 (Vol. 74, No. 97) |
| SR-FICC-2009-05 |
This rule filing makes technical changes to the rules of both divisions of FICC. |
Release No. 34–59622; File No. SR-FICC-2009-05
Federal Register: March 30, 2009 (Vol. 74, No. 59) |
| SR-FICC-2009-04 |
The filing amends the rules of the Government Securities Division to add FDIC-insured notes to the GCF Repo service. |
Release No. 34–59558; File No. SR–FICC– 2009–04 Federal Register: March 17, 2009 (Volume 74, Number 50) |
| SR-FICC-2009-03 |
The purpose of the rule filing is to amend the rules of the Government Securities Division to impose a charge on failed Treasury positions. |
Release No. 34–59802; File No. SR–FICC– 2009–03 Federal Register: April 28, 2009 (Volume 74, Number 80) |
| SR-FICC-2009-02 |
For accelerated immediate effectiveness to allow a direct membership for non-domestic entities in the GSD of FICC. |
Release No. 34-59463; File No. SR-FICC-2009-02
Federal Register: March 4, 2009 (Volume 74, Number 41) |
| SR-FICC-2009-01 |
To amend the rules of FICC to amend the appendix of a cross margining agreement, delete an inactive cross margining agreement and to make technical changes and corrections |
Release No. 34-59498; File No. SR-FICC-2009-01
Federal Register: March 10, 2009 (Volume 74, Number 45) |