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-2018-004
  • FICC - GOV, FICC - MBS
  • Update the Government Securities Division Rulebook and the Mortgage-Backed Securities Division Clearing Rules to introduce a floor to the calculation of the fails charges and make other changes

  • Federal Release: 
    Release No. 34-83457; File No. SR-FICC-2018-004
    (June 18, 2018)
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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