LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2018-014
  • FICC - GOV, FICC - MBS
  • Amend the Clearing Agency Investment Policy
  • DTC-2018-012
  • DTC
  • Amend the Clearing Agency Investment Policy
  • FICC-2018-802
  • FICC - GOV
  • Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
  • FICC-2018-013
  • FICC - GOV
  • Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
  • DTC-2018-010
  • DTC
  • Amend DTC Settlement Guide Procedures to Provide Status Information for Institutional Transactions to a Matching Utility.

  • DTC-2018-009
  • DTC
  • Amend the Clearing Agency Frameworks

  • Federal Release:
    Release No. 34-84458; File Nos. SR-DTC-2018-009; SR-FICC-2018-010; SR-NSCC-2018-009
    (October 15, 2018)

  • FICC-2018-010
  • FICC - GOV, FICC - MBS
  • Amend the Clearing Agency Frameworks

  • Federal Release:
    Release No. 34-84458; File Nos. SR-DTC-2018-009; SR-FICC-2018-010; SR-NSCC-2018-009
    (October 15, 2018)

  • NSCC-2018-009
  • NSCC
  • Amend the Clearing Agency Frameworks

  • Federal Release:
    Release No. 34-84458; File Nos. SR-DTC-2018-009; SR-FICC-2018-010; SR-NSCC-2018-009
    (October 15, 2018)

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