All SEC Rule Filings https://www.dtcc.com/rss-feeds/all-sec-rule-filing/sec-rule-filingsen{F1F808D7-0ADC-4FE7-ABF7-4AF4A411759A}https://www.dtcc.com/Globals/PDFs/2022/July/26/SR-NSCC-2022-011SR-NSCC-2022-011<p>Enhance National Securities Clearing Corporation Automated Customer Account Transfer Service</p>Tue, 26 Jul 2022 00:00:00 -0500{A0660A6C-2E19-4AC0-8479-19E4197A4C3F}https://www.dtcc.com/Globals/PDFs/2022/July/08/SR-NSCC-2022-010SR-NSCC-2022-010<p>Adopt Fees for the Securities Financing Transaction Clearing Service</p>Fri, 08 Jul 2022 00:00:00 -0500{0CEF8EB0-B2BF-4BF8-9D59-7E6A93F13183}https://www.dtcc.com/Globals/PDFs/2022/June/30/SR-DTC-2022-008SR-DTC-2022-008<p>Amend the DTC Distributions Guide to Enhance the Tax Event Announcements Feature f the Distribution Service and Make Related Clarifying Changes.</p>Thu, 30 Jun 2022 13:55:38 -0500{513845A3-58FD-461D-94F0-E2B3331CA8F7}https://www.dtcc.com/Globals/PDFs/2022/June/29/SR-FICC-2022-005SR-FICC-2022-005<p>Revise the Formula Used to Calculate the VaR Charge for Repo Interest Volatility </p>Wed, 29 Jun 2022 00:00:00 -0500{65D604DA-7402-490E-8297-AC536A53C662}https://www.dtcc.com/Globals/PDFs/2022/June/28/SR-DTC-2022-007SR-DTC-2022-007<p>Amend the Reorganizations Service Guide</p>Tue, 28 Jun 2022 15:32:10 -0500{48190469-6891-414D-9E12-2CD540F794AE}https://www.dtcc.com/Globals/PDFs/2022/June/24/SR-NSCC-2022-009SR-NSCC-2022-009<p>Adopt lntraday Volatility Charge and Eliminate lntraday Backtesting Charge</p>Fri, 24 Jun 2022 00:00:00 -0500{E6C0678E-D3BD-4815-AFB1-0E5D3F47FA32}https://www.dtcc.com/Globals/PDFs/2022/June/23/SR-NSCC-2022-008SR-NSCC-2022-008<p>Decommission the Insurance Profile Service , Adjust Fees for Insurance Information Exchange Service and Make Certain Other Corrections in the Rules</p>Thu, 23 Jun 2022 13:36:25 -0500{3B9DD30D-CA34-4C38-B688-E94EC7550D07}https://www.dtcc.com/Globals/PDFs/2022/June/02/SR-DTC-2022-005SR-DTC-2022-005Proposed Rule Change to Eliminate Certain Fees Charged to ApplicantsThu, 02 Jun 2022 12:55:39 -0500{E3F3E87D-6145-4605-8DE8-A7D5132C6951}https://www.dtcc.com/Globals/PDFs/2022/May/27/SR-NSCC-2022-007SR-NSCC-2022-007<p>Revise the Voluntary Termination Provisions of the NSCC Rules for Limited Members</p>Fri, 27 May 2022 00:00:00 -0500{E04A3FEB-2EB5-4D70-B8D0-182252DD8932}https://www.dtcc.com/Globals/PDFs/2022/May/26/SR-NSCC-2022-006SR-NSCC-2022-006<p>Amend Stress Testing Framework and Liquidity Risk Management Framework.</p>Thu, 26 May 2022 14:58:30 -0500{ED513E87-32EE-41A3-9149-9B3B0364CAB2}https://www.dtcc.com/Globals/PDFs/2022/May/26/SR-FICC-2022-004SR-FICC-2022-004<p>Amend Stress Testing Framework and Liquidity Risk Management Framework.</p>Thu, 26 May 2022 14:55:48 -0500{5A2D2D96-4F1C-4F6E-A423-FC13C8DA6554}https://www.dtcc.com/Globals/PDFs/2022/May/26/SR-DTC-2022-006SR-DTC-2022-006<p>Amend Stress Testing Framework and Liquidity Risk Management Framework.</p>Thu, 26 May 2022 14:50:00 -0500{96FB77D1-5E7C-4ECE-AD94-6A49FD552A42}https://www.dtcc.com/Globals/PDFs/2022/May/24/SR-DTC-2022-005SR-DTC-2022-005<p>Eliminate Certain Fees Charged to Applicants</p>Tue, 24 May 2022 13:10:16 -0500{AEC5A4E1-87D4-44EB-981A-EDACCC4822E1}https://www.dtcc.com/Globals/PDFs/2022/May/20/SR-NSCC-2022-005SR-NSCC-2022-005Revise the Excess Capital Premium ChargeFri, 20 May 2022 13:23:13 -0500{CBEFB545-DBF0-46EA-9589-4A64C699027C}https://www.dtcc.com/Globals/PDFs/2022/May/20/SR-FICC-2022-003SR-FICC-2022-003Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology.Fri, 20 May 2022 12:58:30 -0500{930F99E8-FB9F-43BB-BE15-FF05F2ABDF04}https://www.dtcc.com/Globals/PDFs/2022/May/11/SR-DTC-2022-004SR-DTC-2022-004Require Applicants and Members to Maintain or Upgrade Their Network or Communications Technology.Wed, 11 May 2022 00:00:00 -0500{72598C39-2D08-46A2-AAAA-C091F656027D}https://www.dtcc.com/Globals/PDFs/2022/May/11/SR-NSCC-2022-004NSCC-2022-004<p>Require Applicants and Members to Maintain or Upgrade Their Network or Communication Technology .</p>Wed, 11 May 2022 00:00:00 -0500{B0563732-791C-4504-9500-66D9A55F457B}https://www.dtcc.com/Globals/PDFs/2022/April/14/DDR-Amendment-1-2022DDR Amendment #1 2022<p>A New fee schedule for DDR is schedule to be effective on May 1, 2022. </p>Thu, 14 Apr 2022 11:58:29 -0500{E9A74E67-88B8-4E0F-ADB4-99E2D3829654}https://www.dtcc.com/Globals/PDFs/2022/April/11/SR-DTC-2022-003SR-DTC-2022-003Proposed Rule Change to Amend the Reorganizations Service Guide and the Operational Arrangements.Mon, 11 Apr 2022 13:12:20 -0500{C09A5F1C-7AF4-4900-B39A-A087DC8FCAB8}https://www.dtcc.com/Globals/PDFs/2022/April/08/SR-FICC-2022-002SR-FICC-2022-002Move Certain DRC Items (Mark-to-Market Items, Cash Obligation Items and Accrued Principal and Interest) from the Required Fund Deposit Calculation to Cash Settlement, Revise Certain Thresholds and Parameters in the Intraday Mark-to-Market Charge, Establish a New Intraday VaR Charge and Make Certain Other Clarifications.Fri, 08 Apr 2022 16:38:40 -0500{AC9C2697-6358-4AC1-8F49-E79BBE9131AC}https://www.dtcc.com/Globals/PDFs/2022/March/28/SR-DTC-2022-002DTC-2022-002<p>Provide Settlement Services for Transactions Entered into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation.</p>Mon, 28 Mar 2022 00:00:00 -0500{0A43CBE2-D444-4782-AFF7-3C7CA3166C07}https://www.dtcc.com/Globals/PDFs/2022/March/28/SR-NSCC-2022-801NSCC-2022-801<p>Establish the Securities Financing Transaction Clearing Service and Make Other Changes.</p>Mon, 28 Mar 2022 00:00:00 -0500{B43C6B00-5A2D-4ADF-9728-345AB3DD731B}https://www.dtcc.com/Globals/PDFs/2022/March/28/SR-NSCC-2022-003NSCC-2022-003<p>Establish the Securities Financing Transaction Clearing Service and Make Other Changes.</p>Mon, 28 Mar 2022 00:00:00 -0500{FBA6A691-2E9D-4990-A021-E772971895F1}https://www.dtcc.com/Globals/PDFs/2022/March/24/SR-NSCC-2022-002NSCC-2022-002<p>Make Certain Changes to Rule 52 to Support Processing of Interval Fund Repurchase Orders, Remove Underwriting Tender Offer Provisions and Make Certain Other Clarifications. </p>Thu, 24 Mar 2022 14:33:25 -0500{B36339F7-3079-4119-961E-6BE74C90F25D}https://www.dtcc.com/Globals/PDFs/2022/February/11/SR-NSCC-2022-001NSCC-2022-001<p>Amend the Clearing Agency Model Risk Management Framework</p>Fri, 11 Feb 2022 14:29:46 -0600{ABA2DAAB-8159-4977-AA11-C3F7AAFEAC28}https://www.dtcc.com/Globals/PDFs/2022/February/11/SR-FICC-2022-001SR-FICC-2022-001<p>Amend the Clearing Agency Model Risk Management Framework</p>Fri, 11 Feb 2022 14:23:47 -0600{08FAB60F-3B7F-457B-822E-D3A7121BC5D8}https://www.dtcc.com/Globals/PDFs/2022/February/11/SR-DTC-2022-001DTC-2022-001<p>Amend the Clearing Agency Model Risk Management Framework</p>Fri, 11 Feb 2022 14:19:41 -0600{FA577FB7-F804-4343-BC0B-C33970BFB7EA}https://www.dtcc.com/Globals/PDFs/2021/December/29/SR-DTC-2021-018DTC-2021-018<p>Amend the Reorganizations Guide and the Fee Guide.</p>Wed, 29 Dec 2021 00:00:00 -0600{0C95C019-972B-49B9-97F0-19CB041F2EE6}https://www.dtcc.com/Globals/PDFs/2021/December/27/SR-NSCC-2021-017NSCC-2021-017<p>Add Fees for NSCC's MF Info Xchange Service, Modify Fees for NSCC's AIP Service and Make Certain Other Clarification Changes to Addendum A of the NSCC Rules.</p>Mon, 27 Dec 2021 00:00:00 -0600{A3053A8D-7501-4237-9340-186440A8E7BD}https://www.dtcc.com/Globals/PDFs/2021/December/13/SR-NSCC-2021-016NSCC-2021-016<p>Enhanced Capital Requirements and Make Other Changes. </p>Mon, 13 Dec 2021 16:01:14 -0600{A2519FBE-D301-4032-8099-75617B798F3C}https://www.dtcc.com/Globals/PDFs/2021/December/13/SR-FICC-2021-009FICC-2021-009<p>Enhanced Capital Requirements and Make Other Changes. </p>Mon, 13 Dec 2021 15:55:41 -0600{A06D6DC2-F112-4A03-80DF-5CA2B7A097B5}https://www.dtcc.com/Globals/PDFs/2021/December/13/SR-DTC-2021-017DTC-2021-017<p>Enhanced Capital Requirements and Make Other Changes. </p>Mon, 13 Dec 2021 15:51:58 -0600{1A45847D-8B10-4CDB-87A9-E0F23E2FC791}https://www.dtcc.com/Globals/PDFs/2021/December/02/SR-NSCC-2021-015NSCC-2021-015<p>Modify NSCC Rules to Remove Mutual Fund Deposit Requirements and Remove Certain Other Provisions Relating to Clearing Fund Requirements for Limited Members</p>Thu, 02 Dec 2021 11:38:21 -0600{733102CC-6B0A-4ED4-8ACE-8CD2269DA7E3}https://www.dtcc.com/Globals/PDFs/2021/November/23/SR-NSCC-2021-014NSCC-2021-014Proposed Rule Change to Enhance the Transparency of the Calculation of the Backtesting ChargeTue, 23 Nov 2021 00:00:00 -0600{D5DD68AE-5135-48C2-89DC-F948B5F47FA0}https://www.dtcc.com/Globals/PDFs/2021/November/18/SR-NSCC-2021-013NSCC-2021-013<p>Provide for a passive acknowledgement process, codify certain settlement processes and make technical, clarifying and conforming changes to the NSCC Rules.</p>Thu, 18 Nov 2021 00:00:00 -0600{90F62021-2F60-4D0F-882D-5EB306B3A46E}https://www.dtcc.com/Globals/PDFs/2021/November/15/SR-DTC-2021-016DTC-2021-016<p>Make Certain Revisions and Clarifications to Rules</p>Mon, 15 Nov 2021 00:00:00 -0600{600806E3-C933-4AF7-9F5B-320F2E94A1C4}https://www.dtcc.com/Globals/PDFs/2021/November/15/SR-NSCC-2021-012NSCC-2021-012<p>Make Certain Revisions and Clarifications to Rules</p>Mon, 15 Nov 2021 00:00:00 -0600{4ABA17D4-76BE-48F9-AA9F-B50366740199}https://www.dtcc.com/Globals/PDFs/2021/November/15/SR-FICC-2021-008FICC-2021-008<p>Make Certain Revisions and Clarifications to Rules</p>Mon, 15 Nov 2021 00:00:00 -0600{3472F59D-3B1E-43F9-832E-69061487D9F0}https://www.dtcc.com/Globals/PDFs/2021/October/18/SR-DTC-2021-015DTC-2021-015<p>Amend DTC's Procedures and Make Clarifying to the DTC Rules</p>Mon, 18 Oct 2021 15:32:12 -0500{DD9A83EC-99B6-4DBE-A69F-D22CDE632277}https://www.dtcc.com/Globals/PDFs/2021/September/07/DDR-Amendment-2---2021DDR Amendment #2 - 2021<p>DDR Rule Certification in conjunction with amendments to DDR Rulebook.</p>Tue, 07 Sep 2021 00:00:00 -0500{682481A2-59D9-4D8C-B0A8-44660CDC3356}https://www.dtcc.com/Globals/PDFs/2021/August/13/SR-FICC-2021-007FICC-2021-007<p>Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes</p>Fri, 13 Aug 2021 14:28:07 -0500{B1C638F2-983A-4726-99EB-1510F485A33F}https://www.dtcc.com/Globals/PDFs/2021/July/27/SR-NSCC-2021-011NSCC-2021-011<p>Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules</p>Tue, 27 Jul 2021 13:16:23 -0500{8FD40D64-C25B-4A37-8F44-1A78040EB01A}https://www.dtcc.com/Globals/PDFs/2021/July/14/SR-NSCC-2021-009NSCC-2021-009<p>Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986</p>Wed, 14 Jul 2021 00:00:00 -0500{9CBE0FD3-3C8C-45A7-A64C-F884A5FF2BE3}https://www.dtcc.com/Globals/PDFs/2021/July/12/SR-DTC-2021-012DTC-2021-012<p>Proposed Rule Change Consisting of Modifications to the Text of the Rules and the Procedures, of the Service Guide for the DTC Canadian-Link Service and the DTC Operational Arrangements Relating to the Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service</p>Mon, 12 Jul 2021 00:00:00 -0500{BEE9A834-8B5C-4E02-B55D-256E2086EE05}https://www.dtcc.com/Globals/PDFs/2021/July/07/SR-NSCC-2021-008NSCC-2021-008<p>Amend the Clearing Agency Model Risk Management Framework</p>Wed, 07 Jul 2021 15:11:04 -0500{F7695AD3-DBD3-47AC-931C-84B72B765EC3}https://www.dtcc.com/Globals/PDFs/2021/July/07/SR-FICC-2021-006FICC-2021-006<p>Amend the Clearing Agency Model Risk Management Framework</p>Wed, 07 Jul 2021 15:08:16 -0500{DD27D754-B78C-4ED6-B364-2850C0B80A4D}https://www.dtcc.com/Globals/PDFs/2021/July/07/SR-DTC-2021-013DTC-2021-013<p>Amend the Clearing Agency Model Risk Management Framework</p>Wed, 07 Jul 2021 15:05:57 -0500{6D970A19-D26C-4949-A8B4-02273F66C7AA}https://www.dtcc.com/Globals/PDFs/2021/July/01/SR-DTC-2021-010DTC-2021-010<p>Amend the Reorganizations Service Guide</p>Thu, 01 Jul 2021 13:26:58 -0500{6D91BA98-80F8-4C55-B26D-823AB252933A}https://www.dtcc.com/Globals/PDFs/2021/June/30/SR-FICC-2021-005FICC-2021-005<p>Modify the FICC Government Securities Division Rulebook, FICC Mortgage-Backed Securities Division Clearing Rules, and FICC Mortgage-Backed Securities Division EPN Rules</p>Wed, 30 Jun 2021 14:35:41 -0500{2913FC26-7154-47F0-B9C8-1B895066DBB6}https://www.dtcc.com/Globals/PDFs/2021/June/25/SR-NSCC-2021-007NSCC-2021-007<p>Relating to Confidential Information, Market Disruption Events, and Other Changes.</p>Fri, 25 Jun 2021 15:15:13 -0500