LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • 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)
  • FICC-2014-08
  • FICC - GOV
  • Proposed rule change to clarify that Federal Reserve Banks, central counterparties, and central securities depositories shall not be considered either “Mandatory Purchaser Participants” or “Voluntary Purchaser Participants”, and Registered Investment Companies Shall Be Considered “Voluntary Purchaser Participants”.

  • Federal Register:
    Release No. 34-73642; File No. SR-FICC-2014-08

     

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