LEGAL & REGULATORY

Regulatory Rule Filings

SR # Subsidiary Subject/Amendment SEC Approval Notice/Federal Register Notice
  • FICC-2020-001
  • FICC - MBS, FICC - GOV
  • To Adopt the Interpretive Guidance With Respect to Settlement Finality

  • FICC-2019-007
  • FICC - GOV
  • Close-Out and Funds-Only Settlement Processes Associated with the Sponsoring Member, Sponsored Member Service

  • FICC-2018-802
  • FICC - GOV
  • Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
  • File No. SR-FICC-2018-802 

    (February 13, 2018)

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