LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2020-010
  • FICC - MBS
  • Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program

  • NSCC-2020-804
  • NSCC
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge

  • NSCC-2020-016
  • NSCC
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge

  • FICC-2020-802
  • FICC - GOV, FICC - MBS
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges

  • FICC-2020-009
  • FICC - GOV, FICC - MBS
  • Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges

  • FICC-2020-006
  • FICC - GOV, FICC - MBS
  • Provide for a Passive Acknowledgement Process and Make Other Change

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