LEGAL & REGULATORY

Important Notices

Doc # Date Business Category Subject
  • a8863
  • Jul 01, 2020
  • Clearing Services
  • NSCC, Clearing Services - Equities
  • ETF PHASE 1 PCF ENHANCEMENTS DEPLOYMENT DATE AND PLAN
  • GOV912-20
  • Jun 23, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • New Sponsored Member
  • 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
  • GOV891-20
  • May 08, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • Sponsored Member - Name Change
  • a8843
  • May 06, 2020
  • Clearing Services
  • NSCC, Clearing Services - Equities
  • ETF PCF Enhancements Deployment Date Postponement
  • MBS843-20
  • May 04, 2020
  • FICC-GOV
  • FICC - MBS, Membership Updates
  • CF SECURED, LLC [CSBB] - Intent to Retire
  • GOV888-20
  • May 01, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • Delete Sponsored Member
  • GOV874-20
  • Apr 07, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • FICC Information for the Confirmation of a Cybersecurity Program / Compliance to Rule File: SR-FICC-2019-005 - REVISED
  • GOV872-20
  • Apr 06, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • New Sponsoring Member of the Government Securities Division of FICC: Royal Bank of Canada, New York Branch-Omnibus – GSD# 9140
  • a8835
  • Apr 03, 2020
  • Clearing Services
  • NSCC, Executive Notices
  • GOOD FRIDAY HOLIDAY SCHEDULE
Doc # Date Business Category Subject
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