LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2018-007
  • DTC
  • The proposal would streamline the process for reducing payment to a Participant of a dividend or interest with respect to an equity or debt security, when such Participant held, on the record date, treasury shares or repurchased debt securities of the issuer.

  • Federal Release:
    Release No. 34-83871; File No. SR-DTC-2018-007
    (August 17, 2018)

  • FICC-2018-008
  • FICC - GOV
  • Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes.

  • FICC-2018-007
  • FICC - MBS
  • Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules

  • FICC-2018-006
  • FICC - MBS
  • Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes.

  • NSCC-2018-004
  • NSCC
  • Proposed rule change to terminate the Commission Billing service and the Commission Billing type of limited membership.
  • FICC-2018-005
  • FICC - MBS
  • Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules.
  • DTC-2018-006
  • DTC
  • The Depository Trust Company is proposing to amend Rule 35 to provide for designated accounts for use with designated collateral management service providers.
  • DTC-2018-002
  • DTC
  • Proposed rule change to (1) amend the Policy Statements on the Admission of Participants and (2) implement fees relating to (a) the submission of membership and pledgee applications and (2) legal opinions relating to foreign applicants.

  • Federal Release:

    Release No. 34-83544; File No. SR-DTC-2018-002
    (June 28, 2018)

  • FICC-2018-004
  • FICC - GOV, FICC - MBS
  • Update the Government Securities Division Rulebook and the Mortgage-Backed Securities Division Clearing Rules to introduce a floor to the calculation of the fails charges and make other changes

  • Federal Release: 
    Release No. 34-83457; File No. SR-FICC-2018-004
    (June 18, 2018)
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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