LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • DTC-2020-008
  • DTC
  • Proposed amendment to Clearing Agency Model Risk Management Framework

  • FICC-2020-004
  • FICC - GOV, FICC - MBS
  • Proposed Amendment to the Clearing Agency Model Risk Management Framework

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

  • NSCC-2020-007
  • NSCC
  • Revise the Clearing Agency Investment Policy

  • FICC-2020-003
  • FICC - GOV, FICC - MBS
  • Revise the Clearing Agency Investment Policy

  • DTC-2020-007
  • DTC
  • Revise the Clearing Agency Investment Policy

  • SR-FICC-2020-002
  • FICC - GOV
  • Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement.

  • NSCC-2020-003
  • NSCC
  • Enhance National Securities Clearing Corporation’s Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV

  • NSCC-2020-802
  • NSCC
  • Enhance National Securities Clearing Corporation’s Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV

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