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SEC Rule Filings

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SEC Rule Filings

SR # Subject SEC Approval Notice
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)
Rule Filing SR-NSCC-2009-02

Revise the NSCC fee structure.

Release No. 34–59607; File No. SR–NSCC–
2009–02
(Federal Register: Volume. 74, No. 57)
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

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.