Legal & Regulatory
SEC Rule Filings
National Securities Clearing Corporation (NSCC)
| SR # | Subject | SEC Approval Notice |
|---|---|---|
| Rule Filing SR-NSCC-2008-13 |
This rule change will modify fees to selected NSCC product lines. Unless otherwise noted within the rule filing, fee changes will be effective January 2, 2009, for billing in February 2009. |
Release No. 34-59285; File No. SR-NSCC-2008-13
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| Rule Filing SR-NSCC-2008-12 |
The proposed rule change modifies NSCCs Rules regarding the registration of mutual fund positions between brokers banks and fund companies that are NSCC participants to allow the transfer and re-registration of Fund/SERV Eligible Fund positions to and from a broker/dealer or other financial intermediary and a mutual fund company. |
Release No. 34-59302; File No. SR-NSCC-2008-12
Federal Register: February 2, 2009 (Volume 74, Number 20) |
| Rule Filing SR-NSCC-2008-11 |
Proposed rule change to reflect the combination of input sent to NSCC by the New York Stock Exchange and NYSE Alternext and to make other technical changes. |
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| Rule Filing SR-NSCC-2008-10 |
The proposed rule change is an enhancement to NSCC's insurance and retirement services ("IPS") that allows for the electronic exchange of attachements to IPS messages. |
Release No. 34-59252; File No. SR-NSCC-2008-10
Federal Register January 15, 2009 (Volume 74, Number 10) |
| Rule Filing SR-NSCC-2008-09 |
Amendment No. 2 to NSCC/OCC Accord |
Release No. 34-58988; File Nos. SR-OCC-2008-18 and SR-NSCC-2008-09
Federal Register: November 20, 2008 |
| Rule Filing SR-NSCC-2008-08 |
The proposed rule change amends NSCC's Rule regarding Mutual Fund Profile Service |
Release No. 34-59105; File No. SR-NSCC-2008-08
Federal Register: December 29, 2008 (Volume 73, Number 249) |
| Rule Filing SR-NSCC-2008-07 |
Proposed rule change to enhance processing of exchange-traded funds. |
Release No. 34-58694; File No. SR-NSCC-2008-07
Published for comment in the Federal Register on August 12, 2008 |
| Rule Filing SR-NSCC-2008-06 |
Modify NSCC rules to enhance the equity option service to include bond options |
Release No. 34-58300; File No. SR-NSCC-2008-06
Federal Register: August 12, 2008 (Volume 73, Number 156) |
| Rule Filing SR-NSCC-2008-05 |
The purpose of the proposed rule change is to amend certain participant fees. |
Release No. 34–58104; File No. SR–NSCC–2008–05
Federal Register: July 10, 2008 (Vol. 73, No. 133) |
| Rule Filing SR-NSCC-2008-04 |
The proposed rule change amends the rules of the National Securities Clearing Corporation regarding membership and use of NSCC's mutual fund services to allow an investment manager in a managed account program to access NSCC's mutual fund services without money settlement. |
Release No. 34-58126; File No. SR-NSCC-2008-04
Federal Register: July 16, 2008 (Volume 73, Number 137) |
| Rule Filing SR-NSCC-2008-03 |
Proposed rule change with the Securities and Exchange Commission pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934 - enhancement to an insurance service of the NSCC that supports the processing of instructions for the transfer or reallocation of underlying investment options within a variable insurance contract. The enhancement is referred to as Fund Transfers. |
Release No. 34-58053; File No. SR-NSCC-2008-03
Federal Register: July 7, 2008 (Volume 73, Number 130) Correction of SEC Approval Notice |
| Rule Filing SR-NSCC-2008-02 |
The proposed rule change amends the rules of the National Securities Clearing Corporation regarding membership and use of NSCC's mutual fund service to allow an investment manager in a managed account program to access NSCC's mutual fund services without money settlement. Withdrawal 6/20/2008: File No SR-NSCC-2008-02
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| Rule Filing SR-NSCC-2008-01 |
The purpose of the proposed rule change is to modify Addendum C of NSCC's Rules & Procedures (NSCC Automated Stock Borrow Procedures) with respect to the formula used to determine the order of priority among Members from whom NSCC will borrow securities made available by those Members. |
Release No. 34–57609; File No. SR–NSCC–2008–01
Federal Register: April 11, 2008 (Vol. 73, No. 71) |