Legal & Regulatory

SEC Rule Filings

National Securities Clearing Corporation (NSCC)

SR #	Subject	SEC Approval Notice / Federal Register Notice
Rule Filing SR-NSCC-2012-11	The purpose of the proposed rule change is to revise NSCC's fee schedule as it relates to certain Insurance and Retirement Services and to remove reference to and the fees related to FundSPEED, a previously discontinued service.	Release No. 34-68562; File No. SR-NSCC-2012-11 Federal Register (Wednesday, January 2, 2013)
Rule Filing SR-NSCC-2012-10	The proposed rule change will eliminate the offset of NSCC obligations with institutional delivery (ID) transactions that settle at The Depository Trust Company (DTC) for the purpose of calculating NSCC Clearing Fund under to Procedure XV of the Rules.	SECURITIES AND EXCHANGE COMMISSION - Release No. 34-69302; File No. SR-NSCC-2012-10 (April 4, 2013)
Advance Notice SR-NSCC-2012-810	The proposed rule change will eliminate the offset of NSCC obligations with institutional delivery (ID) transactions that settle at The Depository Trust Company (DTC) for the purpose of calculating NSCC Clearing Fund under to Procedure XV of the Rules.	No Objection notice to NSCC’s Advance Notice AN-NSCC-2012-810
Rule Filing SR-NSCC-2012-09	Modify Addendum A (NSCC's Fee Structure) with regard to Fund/SERV fees	SECURITIES AND EXCHANGE COMMISSION (Release No. 34-68269; File No. SR-NSCC-2012-09) November 20, 2012
Rule Filing SR-NSCC-2012-08	Modifications with regard to Rule 52 (Mutual Fund Services) and Addendum A (NSCCs Fee Structure)	SECURITIES AND EXCHANGE COMMISSION (Release No. 34-68159; File No. SR-NSCC-2012-08) November 05, 2012
Rule Filing SR-NSCC-2012-07	Modify the rules with regard to discontinuing the netting of index receipt transactions prior to entering NSCCs Accounting Operation	Release No. 34–67850; File No. SR–NSCC–2012–07, Federal Register Volume 77, Number 182 (Wednesday, September 19, 2012)
Rule Filing SR-NSCC-2012-06	Enhance the default pricing methodology used by NSCCs Automated Customer Account Transfer Service (ACATS)	Release No. 34-67947; File No. SR-NSCC-2012-06 Federal Register (Friday, September 28, 2012)
Rule Filing SR-NSCC-2012-05	Revise NSCCs fee schedule as it applies to NSCCs Mutual Fund Profile Service	SECURITIES AND EXCHANGE COMMISSION (Release No. 34-67390; File No. SR-NSCC-2012-05) July 10, 2012
Rule Filing SR-NSCC-2012-04	Amendment to Rule 53 of NSCCs Rules and Procedures relating to the Alternative Investment Product Services to standardize and automate the method by which registered AIP broker-dealer members meet their good control location obligations for uncertificated securities	Release No. 34-66635; File No. SR-NSCC-2012-04, Federal Register Volume 77, Number 59 (Tuesday, March 27, 2012)
Rule Filing SR-NSCC-2012-03	Amendments to NSCCs Rules and Procedures relating to messaging and settlement enhancements to the In Force Transactions product service of NSCCs Insurance and Retirement Services and the establishment of the fees in connection therewith.	Release No. 34-66539; File No. SR-NSCC-2012-03, Federal Register Volume 77, Number 50 (Wednesday, March 14, 2012)
Rule Filing SR-NSCC-2012-02	Enhance NSCCs margining methodology as applied to municipal and corporate bonds	Release No. 34-66731; File No. SR-NSCC-2012-02, April 4, 2012
Rule Filing SR-NSCC-2012-01	This rule filing consists of technical corrections to the Rules and Procedures of NSCC.	Release No. 34-66399; File No. SR-NSCC-2012-01, Federal Register Volume 77, Number 35 (Wednesday, February 22, 2012)