LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2017-010
  • DTC
  • Proposed rule change to clarify and update the text of the DTC Operational Arrangements.

  • NSCC-2017-010
  • NSCC
  • To expand the application of the Family Issued Securities Charge.
  • NSCC-2017-804
  • NSCC
  • To expand the application of the Family Issued Securities Charge
  • DTC-2017-013
  • DTC
  • To adopt the Clearing Agency Risk Management Framework.

  • DTC-2017-011
  • DTC
  • The Depository Trust Company is proposing to amend the Reorganizations Service Guide and the Operational Arrangements to establish the requirement that tabulation agents use ATOP to process ATOP-eligible consent solicitation events for BEO Securities.

  • Federal Release:
    Release No. 34- 81096; File No. SR-DTC-2017-011
    (July 7, 2017)
  • NSCC-2017-012
  • NSCC
  • To adopt the Clearing Agency Risk Management Framework.

  • FICC-2017-016
  • FICC - GOV
  • To adopt the Clearing Agency Risk Management Framework.


  • NSCC-2017-804
  • NSCC
  • To expand the application of the Family Issued Securities Charge.

  • NSCC-2017-010
  • NSCC
  • To expand the application of the Family Issued Securities Charge.

  • FICC-2017-015
  • FICC - GOV
  • Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgaged-Backed Securities Division EPN Rules

  • Federal Release:
    Release No. 34-81002; File No. SR-FICC-2017-015
    (June 22, 2017)

  • DTC-2017-008
  • DTC
  • Adopt the Clearing Agency Model Risk Management Framework.

  • FICC-2017-014
  • FICC - GOV
  • Adopt the Clearing Agency Model Risk Management Framework.


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