LEGAL & REGULATORY

Latest Important Notices

Use below listing to find important notices posted starting on September 1st, 2020. To find important notices uploaded prior to September 1st, 2020, please check the “Important Notices Archive” located at the bottom of this page. 

Doc # Date Product & Services Subsidiary,Category Subject
  • MBS923-20
  • Oct 16, 2020
  • FICC - MBS, Membership Updates
  • 2020 EPN Sub-Account Name Changes
  • a8912
  • Oct 15, 2020
  • NSCC, Clearing Services - Equities
  • SCHEDULING CHANGE TO THE DISTRIBUTION TIME OF THE CNS EQUITY MASTER FILE
  • a8914
  • Oct 15, 2020
  • NSCC, Clearing Services - Equities
  • Implementation Date of the Margin Liquidity Adjustment Charge and Bid-Ask Risk Charge in the VaR Charge
  • GOV983-20
  • Oct 15, 2020
  • FICC - GOV, Service Updates
  • Implementation Date of the Margin Liquidity Adjustment Charge and Bid-Ask Risk Charge in the VaR Charge
  • MBS922-20
  • Oct 15, 2020
  • FICC - MBS, Service Updates
  • Implementation Date of the Margin Liquidity Adjustment Charge and Bid-Ask Risk Charge in the VaR Charge
  • CMU13-20
  • Oct 13, 2020
  • FICC - CMU, Membership Updates
  • DUNDEE TWP PK DIST IL SER 20A, SER 20B
  • MBS920-20
  • Oct 12, 2020
  • FICC - MBS, Service Updates
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
  • GOV980-20
  • Oct 12, 2020
  • FICC - GOV, Service Updates
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
  • a8907
  • Oct 12, 2020
  • NSCC, Clearing Services - Equities
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
  • GOV977-20
  • Oct 09, 2020
  • FICC - GOV, Service Updates
  • Foreign affiliate trading reporting requirement – Reminder
Doc # Date Product & Services Subsidiary,Category Subject
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Important Notices Archive

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Doc # Date Subsidiary Category Subject
  • 13852-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • TaxRelief – Country: FINLAND CARGOTEC CUSIP: 14179X103
    Record Date: 09/04/2020 Payable Date: 09/18/2020
    Relief at Source CA Web Cut-Off: 09/11/2020 8:00 PM ET
  • 13049-20
  • Aug 31, 2020
  • DTC
  • Dividends, International
  • Tax Relief Country: Ireland Security: Medtronic PLC CUSIP: G5960L103 Record Date: 9/25/2020 Payable Date: 10/16/2020 Relief at Source CA Web Cut-Off: 10/7/2020 8:00 PM ET Quick Refund CA Web Cut-Off: 10/26/2020 8:00 PM
  • MBS898-20
  • Aug 31, 2020
  • FICC - MBS
  • Service Updates
  • Clearing, Pool Netting, and EPN Services – FNMA/UMBS – Inclusion of New Coupon
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