LEGAL & REGULATORY

Important Notices

Doc # Date Business Category Subject
  • a8882
  • Aug 07, 2020
  • Clearing Services
  • NSCC, Clearing Services - Equities
  • SECURITIES FINANCING TRANSACTION (SFT) SERVICE TESTING
  • MBS886-20
  • Aug 07, 2020
  • Clearing Services
  • FICC - MBS, Service Updates
  • FICC Labor Day Holiday Schedule
  • 8883
  • Aug 07, 2020
  • Clearing Services
  • NSCC, Clearing Services - Equities
  • UNIVERSAL TRADE CAPTURE EXCHANGE TESTING FOR MEMBERS EXCHANGE (MEMX)
  • GOV938-20
  • Jul 29, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • New Sponsored Member
  • GOV935-20
  • Jul 27, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • New Sponsoring Member of the Government Securities Division of FICC:
    National Bank of Canada, New York Branch/Omnibus – GSD# 9987
  • MBS873-20
  • Jul 22, 2020
  • FICC-GOV
  • FICC - MBS, Membership Updates
  • J.P. Morgan Securities, LLC [JSAY, JSAZ] – Activation
  • GOV932-20
  • Jul 21, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • New Sponsored Member
  • GOV922-20
  • Jul 13, 2020
  • FICC-GOV
  • FICC - GOV, Membership Updates
  • Name Change: BANCA IMI SECURITIES CORP.
  • 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
Doc # Date Business Category Subject
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