LEGAL & REGULATORY

Regulatory Rule Filings

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

  • 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-2018-007
  • 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

  • Federal Release:
    Release No. 34-84278; File No. SR-FICC-2018-007
    (September 25, 2018)

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