LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2020-803
  • FICC - GOV
  • Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes.

  • FICC-2020-015
  • FICC - GOV
  • Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes.

  • FICC-2020-014
  • FICC - GOV, FICC - MBS
  • Modify the Clearance Maintenance Fee, Reduce the End of Day Position Fee of the Government Securities Division, and Describe the Current Rebate Policy

  • FICC-2020-013
  • FICC - GOV
  • Amend the Government Securities Division Rulebook to Add a Pre-payment Assessment and Certain Credits in Connection with a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval.

  • Federal Release:
    Release No. 34-90386; File No. SR-FICC-2020-013
    (November 10, 2020)
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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