LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2018-001
  • FICC - GOV
  • Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook.

  • FICC-2018-801
  • FICC - GOV
  • Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook.

  • DTC-2017-024
  • DTC
  • Proposed rule change to amend the Procedures set forth in the DTC Settlement Service Guide relating to the intra-month collection of Required Participants Fund Deposits.

  • DTC-2017-023
  • DTC
  • The Depository Trust Company is proposing to restore the timeframe for processing credit post-payable adjustments back to one year after the initial payment date.
  • 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.

  • DTC-2017-021
  • DTC
  • To adopt the DTC Recovery and Wind-down Plan and Related Rules.

  • NSCC-2017-805
  • NSCC
  • To adopt the NSCC Recovery and Wind-down Plan and Related Rules.

  • FICC-2017-805
  • FICC - GOV, FICC - MBS
  • To adopt the FICC Recovery and Wind-down Plan and Related Rules.

  • DTC-2017-803
  • DTC
  • To adopt the DTC Recovery and Wind-down Plan and Related Rules.

  • NSCC-2017-806
  • NSCC
  • Amend the loss allocation rules and make other changes.
  • NSCC-2017-018
  • NSCC
  • Amend the loss allocation rules and make other changes.
  • FICC-2017-806
  • FICC - GOV, FICC - MBS
  • Amend the loss allocation rules and make other changes.
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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