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Important Notices

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Doc # Date Subsidiary Category Subject

a8429
Aug 04, 2017
NSCC
Alternative Investment Products - AIP
REVISED - AIP NON-TRADED REIT/BDC ORDER REDEMPTION PROCESSING & ADDITIONAL PRODUCTION OUTBOUND CYCLE ENHANCEMENTS - 2017

a7701
May 15, 2014
NSCC
Wealth Management Services, Clearing Services - Equities
ACATS-Fund/SERV Enhancements REVISED

a7825
Apr 24, 2014
NSCC
Wealth Management Services
MANAGER P&S DEPARTMENT Subject: MFPSII PROFILE SECURITY DATABASE – SOCIAL CODE MODIFICATIONS POSTPONED – NEW EFFECTIVE DATE IS JULY 28, 2014 – INCLUDES ADDITIONAL SOCIAL CODES

SEC Rule Filings

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

NSCC-2017-808
NSCC
To enhance the calculation of the volatility component of the Clearing Fund formula that utilizes a parametric Value-at- Risk model and eliminate the Market Maker Domination charge

Amendment No. 1 to SR-NSCC-2017-808
Federal Release:
Release No. 34-82780; File No. SR-NSCC-2017-808
February 26, 2018

NSCC-2017-807
NSCC
To increase the authorized amount under the Prefunded Liquidity Program.
Federal Release:
Release No. 34–82676; File No. SR–NSCC–2017–807
(February 15, 2018)

NSCC-2017-019
NSCC
Enhance the process for submitting and accepting ETF creations and redemptions.
Federal Release:
Release No. 34-82544; File No. SR-NSCC-2017-019
(January 19, 2018)

By-Laws, Rules and Procedures

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Subject Description Type Date

Rules & Procedures of National Securities Clearing Corporation
NSCC is regulated by the U.S. Securities and Exchange Commission (SEC).
PDF
Aug 06, 2018

Rules, By-Laws and Organization Certificate of The Depository Trust Company
DTC is a limited-purpose trust company organized under the New York Banking Law, and is a member of the Federal Reserve System.
PDF
Jun 29, 2018

Service Guide: Distributions
The contents of all Service Guides constitute "Procedures" of The Depository Trust Company ("DTC") as defined in the Rules of DTC.
PDF
Jun 28, 2018