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-2017-012
  • FICC - MBS
  • Proposed change to the MBSD Rules regarding FICC time of novation, treatment of itself as the settlement counterparty for certain Transaction types, and proposal to implement new processes to promote operational efficiencies for Clearing Members.
  • Federal Release:
    Release No. 34-81051; File No. SR-FICC-2017-012
    (June 29, 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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