LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • 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.
  • NSCC-2017-016
  • NSCC
  • To adopt the Clearing Agency Securities Valuation Framework.
  • Federal Release:
    (Release No. 34-82006; File Nos. SR-DTC-2017-016; SR-NSCC-2017-016; SR-FICC-2017-020)
    October 31, 2017

  • FICC-2017-020
  • FICC - GOV, FICC - MBS
  • To adopt the Clearing Agency Securities Valuation Framework.
  • Federal Release:
    (Release No. 34-82006; File Nos. SR-DTC-2017-016; SR-NSCC-2017-016; SR-FICC-2017-020)
    October 31, 2017

  • DTC-2017-016
  • DTC
  • To adopt the Clearing Agency Securities Valuation Framework.

  • Federal Release:
    (Release No. 34-82006; File Nos. SR-DTC-2017-016; SR-NSCC-2017-016; SR-FICC-2017-020)
    October 31, 2017

  • NSCC-2017-013
  • NSCC
  • To adopt the Clearing Agency Operational Risk Management Framework.

  • Federal Release:
    (Release No. 34-81745; File Nos. SR-DTC-2017-014; SR-NSCC-2017-013; SR-FICC-2017-017)
    (September 28, 2017)

  • FICC-2017-017
  • FICC - GOV, FICC - MBS
  • To adopt the Clearing Agency Operational Risk Management Framework.

  • Federal Release:
    (Release No. 34-81745; File Nos. SR-DTC-2017-014; SR-NSCC-2017-013; SR-FICC-2017-017)
    (September 28, 2017)

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