Legal & Regulatory

SEC Rule Filings

National Securities Clearing Corporation (NSCC)

SR #	Subject	SEC Approval Notice
Rule Filing SR-NSCC-2009-12	Fee changes effective January 4, 2010	Release No. 34-61413; File No. SR-NSCC-2009-12 Federal Register: January 25, 2010 (Volume 75, Number 15)
Rule Filing SR-NSCC-2009-11	withdrawn
Rule Filing SR-NSCC-2009-10	Proposed rule change to permit NSCCs Board of Directors to delegate certain responsibilities and to permit non-participant directors on the Board	Release No. 34-61215; File No. SR-NSCC-2009-10 Federal Register December 22, 2009 (Volume 74, Number 244)
Rule Filing SR-NSCC-2009-09	To propose rule change by NSCC to remove Appendix 1 from its rules and procedures.	Release No. 34–61089; SR-NSCC-2009-09 Federal Register: Tuesday, December 1, 2009 (Volume 74, Number 229)
Rule Filing SR-NSCC-2009-08	The propose rule change is to revise fees for certain insurance and retirement services provided by NSCC.	Release No. 34-60765; File No. SR-NSCC-2009-08 Federal Register: Friday, October 9, 2009 (Volume 74, Number 195)
Rule Filing SR-NSCC-2009-07	The proposed rule change is being filed by NSCC to amend 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 (Volume 74, Number 182)
Rule Filing SR-NSCC-2009-06	Rule Filing SR-NSCC-2009-06 - The proposed rule change (filed pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934) will revise fees for certain services provided by NSCC to align fees with the costs of delivering services. Withdrawal 9-9-09: File No SR-NSCC-2009-06
Rule Filing SR-NSCC-2009-05	Rule Filing SR-NSCC-2009-05 Rule Filing to modify the range of haicuts currently applied to Eligible Clearing Fund Securities	Release No. 34-60368; File No. SR-NSCC-2009-05 Federal Register: July 28, 2009 (Volume 74, Number 143)
Rule Filing SR-NSCC-2009-04	Rule Filing SR-NSCC-2009-04 The proposed rule change (filed pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934) amends Addendum O to NSCC's rules to make a technical correction to a footnote.	Release No. 34-60234; File No. SR-NSCC-2009-04 Federal Register: July 10, 2009 (Volume 74, Number 131)
Rule Filing SR-NSCC-2009-03	Proposed Rule Change to clarify NSCC's Rules in regards to economic sanctions and embargo programs administered 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 14, 2009 (Volume 74, Number 92)
Rule Filing SR-NSCC-2009-02	Revise the NSCC fee structure.	Release No. 34-59607; File No. SR-NSCC-2009-02 Federal Register: March 26, 2009 (Volume 74, Number 57)
Rule Filing SR-NSCC-2009-01	The proposed rule change (filed pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934) amends Addendum O to NSCC’s rules to allow admission of entities that are organized in a country other than the U.S. (“non-U.S. entities”) for admission as limited members whose use of NSCC services is limited to NSCC Mutual Fund Services and Insurance and Retirement Processing Services.	Release No. 34-59413; File No. SR-NSCC-2009-01 (Federal Register: Volume 74, Number 35)