NSCC

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 17 Apr 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9752

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

OBLIGATION WAREHOUSE Web Application Upgrade – Updated PSE Release

Wed, 15 Apr 2026 00:00:00 -0500

OBLIGATION WAREHOUSE Web Application Upgrade – Updated PSE Release

Notice: A9750

Summary:

The upgraded OW Web application will be released in the PSE (pre-production) environment on April 29th 2026. Clients can begin testing the new system on this date.

CNS Modernization Client Testing Plan to Begin July 13, 2026 Part II (CSV Reports Available on DTCC Learning)

Wed, 15 Apr 2026 00:00:00 -0500

CNS Modernization Client Testing Plan to Begin July 13, 2026 Part II (CSV Reports Available on DTCC Learning)

Notice: a9751

Summary:

CNS Modernization Client Testing Plan to Begin July 13, 2026 Part II (CSV Reports Available on DTCC Learning)

NSCC BEGINS COLLECTING FEES FOR NYSE

Tue, 14 Apr 2026 00:00:00 -0500

NSCC BEGINS COLLECTING FEES FOR NYSE

Notice: A9748

Summary:

Effective April 2026, National Securities Clearing Corporation (“NSCC”) will begin collecting fees through its consolidated settlement system for NYSE

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 10 Apr 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9747

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

OBLIGATION WAREHOUSE Web Application Upgrade – Updated PSE Release

Tue, 07 Apr 2026 00:00:00 -0500

OBLIGATION WAREHOUSE Web Application Upgrade – Updated PSE Release

Notice: A9746

Summary:

As referenced in Important Notice A9723, NSCC is in the process of enhancing the Obligation Warehouse Web application by migrating it to an upgraded version utilizing a newer Angular framework. This enhancement aims to improve the application's overall appearance and user experience. Note the change to the proposed schedule:

The PSE Release for the upgraded application is now TBD.

ETF Options Clearing Connect Enhancement: SEC Rule Filing Approval and Go-Live date

Thu, 02 Apr 2026 00:00:00 -0500

ETF Options Clearing Connect Enhancement: SEC Rule Filing Approval and Go-Live date

Notice: A9745

Summary:

ETF Options Clearing Connect Enhancement: SEC Rule Filing Approval and Go-Live date

Submission of Rule Filing SR-NSCC-2026-006 – Amend the NSCC Rules to Describe NSCC’s Ability to Support Industry Efforts to Extend Trading Hours for the U.S. Equity Markets

Thu, 02 Apr 2026 00:00:00 -0500

Submission of Rule Filing SR-NSCC-2026-006 – Amend the NSCC Rules to Describe NSCC’s Ability to Support Industry Efforts to Extend Trading Hours for the U.S. Equity Markets

Notice: a9744

Summary:

Submission of Rule Filing SR-NSCC-2026-006 – Amend the NSCC Rules to Describe NSCC’s Ability to Support Industry Efforts to Extend Trading Hours for the U.S. Equity Markets

CHANGES IN THE LIST OF PARTICIPANTS

Thu, 02 Apr 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9743

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

CNS Modernization Client Testing Plan to Begin July 13, 2026

Tue, 31 Mar 2026 00:00:00 -0500

CNS Modernization Client Testing Plan to Begin July 13, 2026

Notice: a9742

Summary:

CNS Modernization Client Testing Plan to Begin July 13, 2026

Clarifications for Fund/SERV Mutual Fund to ETF Share Class Exchange Automated Solution.

Fri, 27 Mar 2026 00:00:00 -0500

Clarifications for Fund/SERV Mutual Fund to ETF Share Class Exchange Automated Solution.

Notice: a9741

Summary:

This notice supplements Important Notices a9680 and a9692 and provides additional guidance and clarification regarding the automated Mutual Fund to ETF share class exchange solution and Fund/SERV record layouts.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 27 Mar 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9740

Summary:

OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS

Mutual Fund to ETF Share Class Exchange – Liquidation of Residual Shares Automated Solution, Accelerated Settlement for Networking Activity Files, and Additional Enhancements to Fund/SERV to Support MF to ETF Share Class Exchanges

Wed, 25 Mar 2026 00:00:00 -0500

Mutual Fund to ETF Share Class Exchange – Liquidation of Residual Shares Automated Solution, Accelerated Settlement for Networking Activity Files, and Additional Enhancements to Fund/SERV to Support MF to ETF Share Class Exchanges

Notice: a9733

Summary:

On July 13, 2026, the National Securities Clearing Corporation (NSCC) will introduce an automated solution to support the liquidation of residual shares resulting from a Mutual Fund to ETF Share Class Exchange. This enhancement represents a key milestone in the NSCC’s continued support of ETF dual share classes through its Fund Solutions offerings.

UNIVERSAL TRADE CAPTURE (UTC) – 24X5 TRADING UPDATE

Mon, 23 Mar 2026 00:00:00 -0500

UNIVERSAL TRADE CAPTURE (UTC) – 24X5 TRADING UPDATE

Notice: A9737

Summary:

Client Testing Requirements for 24x5 initiative

Submission of Rule Filing SR-NSCC-2026-005 – Concerning New Agent Clearing Member Customer Net Margin Accounts for the SFT Clearing Service

Fri, 20 Mar 2026 00:00:00 -0500

Submission of Rule Filing SR-NSCC-2026-005 – Concerning New Agent Clearing Member Customer Net Margin Accounts for the SFT Clearing Service

Notice: a9739

Summary:

Submission of Rule Filing SR-NSCC-2026-005 – Concerning New Agent Clearing Member Customer Net Margin Accounts for the SFT Clearing Service

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 20 Mar 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9738

Summary:

OPERATIONS PARTNER/OFFICER; MANAGER P&S DEPARTMENT; CASHIER; ACATS PARTICIPANTS; FUND/SERV PARTICIPANTS; MUNICIPAL BOND COMPARISON PARTICIPANTS

UNIVERSAL TRADE CAPTURE (UTC) – REPORTING ENHANCEMENTS

Mon, 16 Mar 2026 00:00:00 -0500

UNIVERSAL TRADE CAPTURE (UTC) – REPORTING ENHANCEMENTS

Notice: 9730

Summary:

New service offering being introduced via UTC to allow executing/introducing broker dealers to receive direct trade capture data for activity with their existing clearing firms.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 13 Mar 2026 00:00:00 -0500

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9735

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

ACATS ENHANCEMENTS FOR TRUMP ACCOUNTS

Fri, 13 Mar 2026 00:00:00 -0500

ACATS ENHANCEMENTS FOR TRUMP ACCOUNTS

Notice: a9736

Summary:

ACATS enhancements to support the new Trump Accounts (530A accounts) scheduled for launch on July 5, 2026.

Holiday Schedule: Good Friday 2026

Fri, 06 Mar 2026 00:00:00 -0600

Holiday Schedule: Good Friday 2026

Notice: a9732

Summary:

Holiday Important Notices are intended to provide clients notice of DTCC’s U.S. holiday observance and how it will impact Clearing and Settlement services, depending on exchange and bank closures.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 06 Mar 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9731

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

Action Required: OOB Management Upgrade for SMART

Tue, 03 Mar 2026 00:00:00 -0600

Action Required: OOB Management Upgrade for SMART

Notice: a9728

Summary:

Informs Members / clients who use the SMART network for connectivity of the roll-out of a modernized Out-of-Band Management Solution; asks Members / clients to confirm the contact details for installing the new devices

New York State Stock Transfer Tax

Tue, 03 Mar 2026 00:00:00 -0600

New York State Stock Transfer Tax

Notice: a9729

Summary:

Dates for Q1 Stock Transfer Tax inclusion

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 27 Feb 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9727

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

MF Info Xchange Service Enhancements

Thu, 26 Feb 2026 00:00:00 -0600

MF Info Xchange Service Enhancements

Notice: a9722

Summary:

Effective April 10, 2026, National Securities Clearing Corporation (NSCC) will introduce a new “MF to ETF Share Class Exchange Blackout Period” event notification template to MF Info Xchange. This will allow fund clients to communicate when they are implementing blackout periods; exchanges between the Mutual Fund and ETF Share Class will not be permitted.

Submission of Rule Filing SR-NSCC-2026-004 – Concerning New Transaction Reporting Capability for Members That Maintain Clearing Relationships With Another Member

Thu, 26 Feb 2026 00:00:00 -0600

Submission of Rule Filing SR-NSCC-2026-004 – Concerning New Transaction Reporting Capability for Members That Maintain Clearing Relationships With Another Member

Notice: a9726

Summary:

Submission of Rule Filing SR-NSCC-2026-004 – Concerning New Transaction Reporting Capability for Members That Maintain Clearing Relationships With Another Member

Submission of Rule Filing SR-NSCC-2026-003 – Amend the Clearing Agency Stress Testing Framework

Wed, 25 Feb 2026 00:00:00 -0600

Submission of Rule Filing SR-NSCC-2026-003 – Amend the Clearing Agency Stress Testing Framework

Notice: a9725

Summary:

Submission of Rule Filing SR-NSCC-2026-003 – Amend the Clearing Agency Stress Testing Framework

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 20 Feb 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9724

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

Trump Accounts

Wed, 18 Feb 2026 00:00:00 -0600

Trump Accounts

Notice: a9721

Summary:

Effective May 18, 2026, the National Securities Clearing Corporation (NSCC) will introduce a new social code, “Trump Account”, to support required transparency for intermediaries and asset managers and provide a standard method to identify accounts as Trump Accounts.

OBLIGATION WAREHOUSE - WEB APPLICATION UPGRADE

Wed, 18 Feb 2026 00:00:00 -0600

OBLIGATION WAREHOUSE - WEB APPLICATION UPGRADE

Notice: A9723

Summary:

OW Web is being upgraded to the latest web components (Angular)

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 13 Feb 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9720

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

Submission of Rule Filing SR-NSCC-2026-002 – Make Corrections, Clarifications and Certain Other Changes to the NSCC Rules

Mon, 09 Feb 2026 00:00:00 -0600

Submission of Rule Filing SR-NSCC-2026-002 – Make Corrections, Clarifications and Certain Other Changes to the NSCC Rules

Notice: a9710

Summary:

Submission of Rule Filing SR-NSCC-2026-002 – Make Corrections, Clarifications and Certain Other Changes to the NSCC Rules

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 06 Feb 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9719

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 30 Jan 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9718

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

CNS Modernization Update Functional Change: CNS Modernization Data Input/Output – Format and Channels. Schedule Go Live 11-16-2026

Wed, 28 Jan 2026 00:00:00 -0600

CNS Modernization Update Functional Change: CNS Modernization Data Input/Output – Format and Channels. Schedule Go Live 11-16-2026

Notice: a9717

Summary:

CNS Modernization Update Functional Change: CNS Modernization Data Input/Output – Format and Channels. Schedule Go Live 11-16-2026

Holiday Schedule: Presidents’ Day 2026

Tue, 27 Jan 2026 00:00:00 -0600

Holiday Schedule: Presidents’ Day 2026

Notice: a9715

Summary:

Holiday Important Notices are intended to provide clients notice of DTCC’s U.S. holiday observance and how it will impact Clearing and Settlement services, depending on exchange and bank closures.

Deadline to Apply MQ Encryption Standards –NSCC Secure Connections

Mon, 26 Jan 2026 00:00:00 -0600

Deadline to Apply MQ Encryption Standards –NSCC Secure Connections

Notice: A9712

Summary:

Members must implement the IBM MQ encryption requirements detailed in the Important Notice to ensure compliance

IP Addresses – Attachments and IFT SOAP based APIs over Open Internet

Mon, 26 Jan 2026 00:00:00 -0600

IP Addresses – Attachments and IFT SOAP based APIs over Open Internet

Notice: a9716

Summary:

This notice provides a list of all DTCC IP addresses that Attachments and IFT clients using SOAP‑based APIs over the open internet must allow in order to receive data.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 23 Jan 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9713

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

ETF CREATE/REDEEM ACTIVITY REPORTING FILE

Fri, 16 Jan 2026 00:00:00 -0600

ETF CREATE/REDEEM ACTIVITY REPORTING FILE

Notice: 9708

Summary:

As a systemically important financial market utility, NSCC, has a regulatory obligation to maintain sufficient liquid resources to meet its payment obligations with a high degree of confidence under a wide range of foreseeable stress scenarios. These scenarios include, but are not limited to, the default of the participant family that would generate the largest aggregate payment obligation in extreme, but plausible, market conditions (i.e., maintain a Cover 1 standard).
In June 2025, NSCC published the specifications document for the new ETF Create/Redeem Activity Reporting file (the “11200” file), which will enable ETF Agents to provide projected activity reports systematically to NSCC. This will enhance NSCC’s ability to project its liquidity needs (for both the ETF Agent and the Authorized Participant on the orders) and collect sufficient liquidity resources to meet its regulatory liquidity risk management requirements and mitigate the risk of disruption to the industry following a member default.

Submission of Rule Filing SR-NSCC-2026-001 – Concerning the Clearing of Exchange-Traded Funds with Options as Underlying Components

Fri, 16 Jan 2026 00:00:00 -0600

Submission of Rule Filing SR-NSCC-2026-001 – Concerning the Clearing of Exchange-Traded Funds with Options as Underlying Components

Notice: a9711

Summary:

Submission of Rule Filing SR-NSCC-2026-001 – Concerning the Clearing of Exchange-Traded Funds with Options as Underlying Components

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 16 Jan 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9707

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

NSCC Information for the Confirmation of a Cybersecurity Program / Compliance to Rule File: SR-NSCC-2019-003

Thu, 15 Jan 2026 00:00:00 -0600

NSCC Information for the Confirmation of a Cybersecurity Program / Compliance to Rule File: SR-NSCC-2019-003

Notice: a9699

Summary:

NSCC Members are required to complete and sign DTCC's Cybersecurity Confirmation in compliance to Rule File SR-NSCC-2019-003. The designated Control Officer will receive the Confirmation on January 22, 2026, and have 180 days to complete it electronically via DocuSign.

ACATS CLIENT INTERFACE LEGACY FILES DECOMMISSION – REMINDER!

Tue, 13 Jan 2026 00:00:00 -0600

ACATS CLIENT INTERFACE LEGACY FILES DECOMMISSION – REMINDER!

Notice: a9706

Summary:

ACATS reminder of the upcoming decommission of the legacy file formats as part of the client interface modernization initiative.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 09 Jan 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9705

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

UNIVERSAL TRADE CAPTURE (UTC) – 24X5 TRADING UPDATE

Wed, 07 Jan 2026 00:00:00 -0600

UNIVERSAL TRADE CAPTURE (UTC) – 24X5 TRADING UPDATE

Notice: A9689

Summary:

This is an Important Notices regarding NSCC’s plans to further expand its trade capture capabilities. As part of this initiative, NSCC will be implementing additional controls and changes for 9A/9B and high value threshold validation.

INSURANCE & RETIREMENT SERVICES PRODUCTION PROCESSING CHANGE

Wed, 07 Jan 2026 00:00:00 -0600

INSURANCE & RETIREMENT SERVICES PRODUCTION PROCESSING CHANGE

Notice: a9704

Summary:

INSURANCE & RETIREMENT SERVICES PRODUCTION PROCESSING CHANGE

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 02 Jan 2026 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9703

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 26 Dec 2025 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9702

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.

CHANGES IN THE LIST OF PARTICIPANTS

Fri, 19 Dec 2025 00:00:00 -0600

CHANGES IN THE LIST OF PARTICIPANTS

Notice: a9701

Summary:

Updates/changes impacting DTCC Participant(s)/Member(s) and/or Sponsored Member(s) noted here.