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In-force Transactions

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Important Notices

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Doc # Date Business Category Subject

a8825
Mar 10, 2020
Wealth-Management-Services
Insurance and Retirement Services
Mutual Fund Profile Service II – Profile Security Database Enhancements

a8791
Dec 24, 2019
Wealth-Management-Services
Insurance and Retirement Services
I&RS 2020 March Enhancement Release

a8789
Dec 19, 2019
Wealth-Management-Services
Insurance and Retirement Services
Updated Mutual Funds Country Code Listing

SEC Rule Filings

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

NSCC-2018-012
NSCC
Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services.
Federal Release:
Release No 34-84771; File No. SR-NSCC-2018-012
(December 10, 2018)

NSCC-2017-808
NSCC
To enhance the calculation of the volatility component of the Clearing Fund formula that utilizes a parametric Value-at- Risk model and eliminate the Market Maker Domination charge

Amendment No. 1 to SR-NSCC-2017-808
Federal Release:
Release No. 34-82780; File No. SR-NSCC-2017-808
February 26, 2018

NSCC-2017-807
NSCC
To increase the authorized amount under the Prefunded Liquidity Program.
Federal Release:
Release No. 34–82676; File No. SR–NSCC–2017–807
(February 15, 2018)

By-Laws, Rules and Procedures

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Subject Description Type Date

Rules & Procedures of National Securities Clearing Corporation
NSCC is regulated by the U.S. Securities and Exchange Commission (SEC).
PDF
Aug 06, 2018

Rules, By-Laws and Organization Certificate of The Depository Trust Company
DTC is a limited-purpose trust company organized under the New York Banking Law, and is a member of the Federal Reserve System.
PDF
Jun 29, 2018

Service Guide: Distributions
The contents of all Service Guides constitute "Procedures" of The Depository Trust Company ("DTC") as defined in the Rules of DTC.
PDF
Jun 28, 2018