LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2020-001
  • NSCC
  • Enhance National Securities Clearing Corporation’s Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 50.

  • DTC-2020-002
  • DTC
  • Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes.

  • FICC-2020-801
  • FICC - MBS
  • Amend the Mortgage-Backed Securities Division Stress Testing Methodology

  • FICC-2019-007
  • FICC - GOV
  • Close-Out and Funds-Only Settlement Processes Associated with the Sponsoring Member, Sponsored Member Service

  • NSCC-2019-802
  • NSCC
  • Proposal to Issue Term Debt as Part of NSCC’s Liquidity Risk Management

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

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