LEGAL & REGULATORY

Regulatory Rule Filings

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

  • 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-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)

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