Legal & Regulatory
SEC Rule Filings
National Securities Clearing Corporation (NSCC)
| SR # | Subject | SEC Approval Notice |
|---|---|---|
| Rule Filing SR-NSCC-2010-01 |
The proposed rule change eliminates the NSCC payment guarantee for physical deliveries through the Envelope Settlement Service and any related clearing fund deposit. |
Release No. 34-61618; File No. SR-NSCC-2010-01
Federal Register: March 1, 2010 (Volume 75, Number 39) |
| Rule Filing SR-NSCC-2010-02 |
Proposed Rule Change by NSCC to amend its Rules and Procedures to provide for the aggregation of certain trade for trade recieve and deliver orders |
Release No. 34-61762; File No. SR-NSCC-2010-02
Federal Register: March 29, 2010 (Volume 75, Number 59) |
| Rule Filing SR-NSCC-2010-03 |
Proposed Rule Change by National Securities Clearing Corporation to allow expanded elligibility with respect to securities processed through the ID Net service. |
Release No. 34-61783; File No. SR-NSCC-2010-03
Federal Register: March 31, 2010 (Volume 75, Number 61) |
| Rule Filing SR-NSCC-2010-04 |
Proposed Rule Change to set the effective date for the elimination of the guaranty of payment with respect to the Envelope Settlement Service of NSCC. |
Release No. 34-61798; File No. SR-NSCC-2010-04
Federal Register: April 2, 2010 (Volume 75, Number 63) |
| Rule Filing SR-NSCC-2010-05 |
Proposed processing enhancements with respect to transfers processed through NSCCs Automated Customer Account Transfer Service |
|
| Rule Filing SR-NSCC-2010-06 |
Amend NSCC Rules regarding Mutual Fund and Membership Services |
Release No. 34-62435; File No. SR-NSCC-2010-06
Federal Register: July 1, 2010 (Volume 75, Number 65) |
| Rule Filing SR-NSCC-2010-07 |
Amend Addendum C of NSCCs Rules and Procedures to implement risk enhancements to its Stock Borrow Program. |