Legal & Regulatory

SEC Rule Filings

National Securities Clearing Corporation (NSCC) SEC Rule Filings

SR #	Subject	SEC Approval Notice
Rule Filing SR-NSCC-2005-17	The proposed rule change was filed with the Securities and Exchange Commission on December 29, 2005, pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934. The filing consists of modifications to NSCC's Rules & Procedures with regard to the collection of commission payments (Rule 16 - Settlement of Commissions). Amendment No. 1 to SR-NSCC-2005-17 (Submitted on February 3, 2006)	Release No. 34-53811; File No. SR-NSCC-2005-17 Federal Register: May 23, 2006 (Volume 71, Number 99)
Rule Filing SR-NSCC-2005-16	Proposed Rule Filing to amend the fee structure of NSCC.	Release No. 34-53099; File No. SR-NSCC-2005-16 Federal Register: January 18, 2006 (Vol. 71, No. 11)
Rule Filing SR-NSCC-2005-15	The proposed rule change (filed pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934) consists of modifications to NSCC's Rules (specifically, Rule 11 (CNS System) and Procedures VII (CNS Accounting Operation) and X (Execution of CNS Buy-Ins)) to create a new buy-in retransmittal procedure that may be utilized by NSCC Members receiving buy-in notices initiated outside of the CNS System (a "Buy-In Retransmittal Notice").	Release No. 34-53528 File No. SR-NSCC-2005-15 Federal Register: March 28, 2006 (Volume 71, N0. 59)
Rule Filing SR-NSCC-2005-14	The proposed rule change would require that Members of National Securities Clearing Corporation ("NSCC") other than Mutual Fund/Insurance Services Members purchase shares of the common stock of the Depository Trust & Clearing Corporation ("DTCC Common Shares").	Release No. 34-52922; File No. SR-NSCC-2005-14 Federal Register: December 14, 2005 (Vol. 70, No. 239)
Rule Filing SR-NSCC-2005-13	The purpose of this filing is to modify Procedure XV (Clearing Fund Formula and Other Matters) and make related technical changes to the Rules and Procedures of NSCC. Amendment No. 1 to SR-NSCC-2005-13 (submitted on October 21, 2005)	Release No. 34-52772; File No. SR-NSCC-2005-13 Federal Register: November 22, 2005 (Vol. 70, No. 224)
Rule Filing SR-NSCC-2005-12	The proposed rule change (filed pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934) consists of a modification to the Rule 50 (Automated Customer Account Transfer Service, ("ACATS")) with regard to Delivering Member initiated partial account transfers for Custody Redeliveries.	Release No. 34-52397; File No. SR-NSCC-2005-12 Federal Register: September 14, 2005 (Vol. 70, No. 177)
Rule Filing SR-NSCC-2005-11	This rule change, which is effective immediately, consists of an interpretation of the definition of "Insurance Company" under NSCC's Rules & Procedures (the "Rules") in the context of insurance company applicants.	Release No. 34-52394; File No. SR-NSCC-2005-11 Federal Register: September 14, 2005 (Vol. 70, No. 177)
Rule Filing SR-NSCC-2005-10	The purpose of the proposed rule change is to amend Section C of Rule 52 of NSCC's Rules regarding NSCC's Mutual Fund Commission Settlement service, in order to permit a Rule 2 Member to submit instructions in respect of commission and fee payments to another Rule 2 Member of NSCC.	Release No. 34-52458; File No. SR-NSCC-2005-10 Federal Register: September 26, 2005 (Vol. 70, No. 185)
Rule Filing SR-NSCC-2005-09	The proposed rule change (filed with the SEC pursuant to Section 19(b)(3) of the Securities Exchange Act of 1934) consists of 1) a description of additional types of IPS Data that may be transmitted through National Securities Clearing Corporation under Rule 57 (Insurance Processing Service) and 2) revisions to Addendum A (Fee Structure) of NSCC's Rules & Procedures. Amendment No. 1 to SR-NSCC-2005-09 (submitted on August 22, 2005)	Release No. 34-52343; File No. SR-NSCC-2005-09 Federal Register: September 2, 2005 (Vol. 70, No. 170)
Rule Filing SR-NSCC-2005-08	Amendments to NSCC's Rules to Consolidate and Codify NSCC's Membership Requirements	Release No. 34-52445; File No. SR-NSCC-2005-08 Federal Register: September 21, 2005 (Vol. 70, No. 182)
Rule Filing SR-NSCC-2005-07	NSCC is filing the proposed rule change to notify NSCC Participants of the Corporation's intention to assess additional fees to those Participants who have not successfully migrated from legacy communications networks by such deadline as established by the Corporation.	Release No. 34-51954; File No. SR-NSCC-2005-07 Federal Register: July 11, 2005 (Vol. 70, No. 131)
Rule Filing SR-NSCC-2005-06	This proposed rule change relates to the expansion of the number of settlement days for fixed income securities.	Release No. 34-51882; File No. SR-NSCC-2005-06 Federal Register: June 27, 2005 (Vol. 70, No. 122)
Rule Filing SR-NSCC-2005-05	The purpose of this filing is to modify NSCC's rules to provide that NSCC may impose a fine on any participant that is required to conduct connectivity testing for business continuity purposes and fails to do so.	Release No. 34-52446; File No. SR-NSCC-2005-05 Federal Register: September 21, 2005 (Vol. 70, No. 182)
Rule Filing SR-NSCC-2005-04	The proposed rule change relates permanent approval of the NSCC Equity Options Service.	Release No. 34-51745; File No. SR-NSCC-2005-04 Federal Register: June 8, 2005 (Vol. 70, No. 109)
Rule Filing SR-NSCC-2005-03	The proposed rule change relates to the collection of fees charged to participants by certain third parties.	Release No. 34-51871; File No. SR-NSCC-2005-03 Federal Register: June 24, 2005 (Vol. 70, No. 121)
Rule Filing SR-NSCC-2005-02	The proposed rule change enhances NSCC's Automated Customer Account Transfer Service to permit the automated notification of changes in the broker/dealer of record for applicable insurance products. Amendment No. 1 to SR-NSCC-2005-02 (submitted on April 12, 2005)	Release No. 34-51753; File No. SR-NSCC-2005-02 Federal Register: April 28, 2005 (Vol. 70, No. 81)
Rule Filing SR-NSCC-2005-01	The proposed rule change consists of changes to NSCC's Rules regarding Operational Capability.	Release No. 34-51600; File No. SR-NSCC-2005-01 Federal Register: April 28, 2005 (Vol. 70, No. 81)