Legal & Regulatory

SEC Rule Filings

National Securities Clearing Corporation (NSCC)

SR #	Subject	SEC Approval Notice
Rule Filing SR-NSCC-2011-10	Proposed Rules Change for the creation of a service to provide post-trade information to Members	Release No. 34–66068; File No. SR–NSCC–2011–10 January 5, 2012
Rule Filing SR-NSCC-2011-09	Revise NSCCs fee schedule as it applies to certain hedge fund products within NSCCs Alternative Investment Products Service	Release No. 34-65623; File No. SR-NSCC-2011-09 October 26, 2011
Rule Filing SR-NSCC-2011-08	Revise NSCC's fee schedule as it applies to certain hedge fund products within NSCC's Alternative Investment Products Services. Filing Withdrawn
Rule Filing SR-NSCC-2011-07	Adjustment to settlement timeframe for partial ACATS transfers of mutual fund assets	Release No. 34–65401; File No. SR–NSCC–2011–07 Federal Register / Vol. 76, No. 190 / September 30, 2011
Rule Filing SR-NSCC-2011-06	Revise NSCC's fee schedule to establish the fees aplicable to NSCC's Insurance and Retirement Services new Analytic Reporting Service.	Release No. 34-6500898; File No. SR-NSCC-2011-06 August 8, 2011
Rule Filing SR-NSCC-2011-05	Revise NSCCs fee schedule to include fees for certain services available within NSCCs Obligation Warehouse.	Release No. 34-64798; File No. SR-NSCC-2011-05 July 1, 2011
Rule Filing SR-NSCC-2011-04	Proposed rule change by NSCC to combine several envelope services and effect other rule modifications.	Release No. 34-65032; File No. SR-NSCC-2011-04 August 10, 2011
Rule Filing SR-NSCC-2011-03	Clarify the relationship between the release of IPS Data under the Analytic Reporting Service and the release of Clearing Data under NSCC Rule 49 and to make other technical and clarifying changes	Release No. 34-64666; File No. SR-NSCC-2011-03 June 14, 2011
Rule Filing SR-NSCC-2011-02	Proposed Rule Change to Adjust Haircuts on Security Deposited to the Clearing Fund	Release No. 34-64487; File No. SR-NSCC-2011-02, May 13, 2011
Rule Filing SR-NSCC-2011-01	Revise NSCCs fee schedule to adjust the trade recording fee for bonds to align the fee with the cost of delivering services.	Release No. 34–64065; File No. SR–NSCC–2011–01 Federal Register (Vol. 76, No. 50 ) March 15, 2011