LEGAL & REGULATORY

Important Notices

Doc # Date Business Category Subject
  • a8885
  • Aug 11, 2020
  • Clearing Services, Wealth Management Services
  • NSCC, Membership Updates, Clearing Services - Equities, Insurance and Retirement Services, Wealth Management Services, AIP
  • Decommission of HTTP for PBS and Settlement Web Access
  • CMU10-20
  • Aug 11, 2020
  • Clearing Services, Wealth Management Services
  • FICC - CMU, Service Updates
  • Decommission of HTTP for PBS and Settlement Web Access
  • GOV945-20
  • Aug 11, 2020
  • Clearing Services, Wealth Management Services
  • FICC - GOV, Service Updates
  • Decommission of HTTP for PBS and Settlement Web Access
  • a8852
  • May 29, 2020
  • Wealth Management Services
  • NSCC, Wealth Management Services
  • NSCC Business Continuity and Disaster Recovery – 2020 Testing Dates and Modified Mutual Funds Processing Schedule
  • z0215
  • May 14, 2020
  • Clearing Services, Wealth Management Services, Repository and Derivatives Services, Settlement and Asset Services, Data Services, Institutional-Trade-Processing
  • DTCC
  • Client Connectivity Encryption
  • a8825
  • Mar 10, 2020
  • Wealth Management Services
  • NSCC, Wealth Management Services
  • Mutual Fund Profile Service II – Profile Security Database Enhancements
  • a8678
  • Jan 30, 2020
  • Equities Clearing Services, User Documentation, ACATS, Bulk Transfer, CNS, CBRS, Envelope Settlement Service, The Fully-Paid-for-Account, Obligation Warehouse, Equities Trade Capture, CNS Prime Broker Interface, Correspondent Clearing, DTCC Limit Monitoring, ETF, FSCN, UTC, Alternative Investment Products
  • NSCC, AIP
  • AIP Participant Number Format Change
  • a8791
  • Dec 24, 2019
  • Wealth Management Services, Insurance and Retirement Services
  • NSCC, Insurance and Retirement Services
  • I&RS 2020 March Enhancement Release
  • a8789
  • Dec 19, 2019
  • Wealth Management Services, Mutual Fund Services
  • NSCC, Wealth Management Services
  • Updated Mutual Funds Country Code Listing
  • a8769
  • Nov 06, 2019
  • Wealth Management Services, Mutual Fund Services
  • NSCC, Wealth Management Services
  • MF Info Xchange Service Enhancements
Doc # Date Business Category Subject
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