LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2018-004
  • FICC - GOV, FICC - MBS
  • Update the Government Securities Division Rulebook and the Mortgage-Backed Securities Division Clearing Rules to introduce a floor to the calculation of the fails charges and make other changes

  • DTC-2018-004
  • DTC
  • Proposed rule change to clarify the DTC Underwriting Service Guide

  • FICC-2018-003
  • FICC - GOV
  • Amend the Fee Structure of the Government Securities Division Rulebook

  • FICC-2017-023
  • FICC - MBS
  • Eliminate the Development Fees from the Mortgage-Backed Securities Division Clearing Rules.

  • Federal Release:
    Release No. 34-82386; File No. SR-FICC-2017-023
    (December 21, 2017)
  • NSCC-2017-017
  • NSCC
  • To adopt the NSCC Recovery and Wind-down Plan and Related Rules.

  • FICC-2017-021
  • FICC - GOV, FICC - MBS
  • To adopt the FICC Recovery and Wind-down Plan and Related Rules.

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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