LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2020-016
  • FICC - GOV, FICC - MBS
  • Amend the Clearing Agency Operational Risk Management Framework.

  • Federal Release:
    Release No. 34-90626; File Nos. SR-DTC-2020-015; SR-FICC-2020-016; SR-NSCC-2020-019
    (December 10, 2020)

  • FICC-2020-018
  • FICC - GOV, FICC - MBS
  • Amend the Clearing Agency Liquidity Risk Management Framework.

  • Federal Release:
    Release No. 34-90649; File Nos. SR-DTC-2020-018; SR-FICC-2020-018; SR-NSCC-2020-021
    (December 11, 2020)

  • FICC-2020-803
  • FICC - GOV
  • Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes.

  • Federal Release:
    Release No. 34-90931; File No. SR-FICC-2020-803
    (January 14, 2021)
  • FICC-2020-015
  • FICC - GOV
  • Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes.

  • Federal Release:
    Release No. 34-90948; File No. SR-FICC-2020-015
    (January 19, 2021)

  • FICC-2020-013
  • FICC - GOV
  • Amend the Government Securities Division Rulebook to Add a Pre-payment Assessment and Certain Credits in Connection with a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval.

  • Federal Release:
    Release No. 34-90386; File No. SR-FICC-2020-013
    (November 10, 2020)
SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
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