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Important Notices

View All
Doc # Date Business Category Subject
  • a8429
  • Aug 04, 2017
  • Wealth-Management-Services
  • REVISED - AIP NON-TRADED REIT/BDC ORDER REDEMPTION PROCESSING & ADDITIONAL PRODUCTION OUTBOUND CYCLE ENHANCEMENTS - 2017
  • a7701
  • May 15, 2014
  • Mutual Fund Services
  • ACATS-Fund/SERV Enhancements REVISED
  • a7825
  • Apr 24, 2014
  • Mutual Fund 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
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