LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2017-016
  • NSCC
  • To adopt the Clearing Agency Securities Valuation Framework.
  • FICC-2017-020
  • FICC - GOV, FICC - MBS
  • To adopt the Clearing Agency Securities Valuation Framework.
  • DTC-2017-016
  • DTC
  • To adopt the Clearing Agency Securities Valuation Framework.

  • NSCC-2017-015
  • NSCC
  • Amend and clarify a margin charge relating to CNS Fails Position.

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

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

  • DTC-2017-014
  • DTC
  • To adopt the Clearing Agency Operational Risk Management Framework.

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