LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2017-020
  • FICC - GOV, FICC - MBS
  • To adopt the Clearing Agency Securities Valuation Framework.
  • Federal Release:
    (Release No. 34-82006; File Nos. SR-DTC-2017-016; SR-NSCC-2017-016; SR-FICC-2017-020)
    October 31, 2017

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

  • Federal Release:
    (Release No. 34-81745; File Nos. SR-DTC-2017-014; SR-NSCC-2017-013; SR-FICC-2017-017)
    (September 28, 2017)

  • FICC-2017-015
  • FICC - GOV, FICC - MBS
  • Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgaged-Backed Securities Division EPN Rules

  • Federal Release:
    Release No. 34-81002; File No. SR-FICC-2017-015
    (June 22, 2017)

  • FICC-2017-014
  • FICC - GOV, FICC - MBS
  • Adopt the Clearing Agency Model Risk Management Framework.

  • Federal Release:
    (Release No. 34-81485; File Nos. SR-DTC-2017-008; SR-FICC-2017-014; SR-NSCC-2017-008)
    (August 25, 2017)
  • FICC-2017-804
  • FICC - GOV, FICC - MBS
  • Enhance the Credit Risk Rating Matrix.
  • Federal Release:
    Release No. 34-80731; File Nos. SR-DTC-2017-801; SR-FICC-2017-804; SR-NSCC-2017-801
    (May 19, 2017)

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