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Universal Trade Capture (UTC)

Home / Clearing Services / Equities Clearing - Trade Capture / Universal Trade Capture (UTC)

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Important Notices

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Doc # Date Business Category Subject

a8818
Feb 28, 2020
UTC
Equities-Trade-Capture
CHANGES IN THE LIST OF PARTICIPANTS

a8817
Feb 26, 2020
UTC
Equities-Trade-Capture
NSCC BEGINS COLLECTING FEES FOR IEX EXCHANGE

a8816
Feb 21, 2020
UTC
Equities-Trade-Capture
CHANGES IN THE LIST OF PARTICIPANTS

SEC Rule Filings

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

NSCC-2020-008
NSCC
Proposed amendment to Clearing Agency Model Risk Management Framework

DTC-2020-008
DTC
Proposed amendment to Clearing Agency Model Risk Management Framework

FICC-2020-001
FICC - MBS, FICC - GOV
To Adopt the Interpretive Guidance With Respect to Settlement Finality
Federal Release:
Release No. 34-88277; File No. SR-FICC-2020-001
February 25, 2020

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

FICC - Mortgage-Backed Securities Division Clearing Rules
FICC is registered with and regulated by the U.S. Securities and Exchange Commission (SEC).
PDF
Jul 02, 2018

FICC - Government Securities Division Rulebook
FICC is registered with and regulated by the U.S. Securities and Exchange Commission (SEC).
PDF
Jul 02, 2018