LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2019-004
  • NSCC
  • Proposed Rule Change to enhance the haircut volatility charge applicable to municipal bonds.

  • NSCC-2019-801
  • NSCC
  • Advance Notice of proposed change to enhance the haircut volatility charge applicable to municipal bonds. 

  • DTC-2019-011
  • DTC
  • Amend the Distributions Guide and the Fee Guide Relating to Tax Events

  • DTC-2019-009
  • DTC
  • Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions.

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