LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • NSCC-2020-801
  • NSCC
  • Enhance the Calculation of the Family-Issued Securities Charge.
  • NSCC-2020-002
  • NSCC
  • Enhance the Calculation of the Family-Issued Securities Charge.
  • FICC-2020-801
  • FICC - MBS
  • Amend the Mortgage-Backed Securities Division Stress Testing Methodology

  • FICC-2018-007
  • FICC - MBS
  • Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection with the Mortgage-Backed Securities Division Electronic Pool Notification Rules

  • Federal Release:
    Release No. 34-84278; File No. SR-FICC-2018-007
    (September 25, 2018)

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