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NSCC Rulemaking Archive: 2005
We encourage the public to submit comments on the following National Securities Clearing Corporation (NSCC) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
NSCC File Number List for 2005
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
Release No. |
Date |
Details |
Fourth Quarter |
SR-NSCC-2005-15 |
34-52976 |
Dec. 19, 2005 |
Notice of Filing of Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
Comments due: January 17, 2006
See also: Notice: Rel. No. 34-53528
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SR-NSCC-2005-14 |
34-52922 |
Dec. 7, 2005 |
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.: SR-DTC-2005-16 and SR-FICC-2005-19
See also:
See also: Notice: Rel. No. 34-52664
|
SR-NSCC-2005-13 |
34-52772 |
Nov. 14, 2005 |
Order Approving Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
See also: Notice: Rel. No. 34-52552
Comments received are available for this notice.
|
SR-NSCC-2005-14 |
34-52664 |
Oct. 25, 2005 |
Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
See also: Order: Rel. No. 34-52922
|
SR-NSCC-2005-13 |
34-52552 |
Oct. 3, 2005 |
Notice of Filing of Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
Comments due: November 1, 2005
See also: Order: Rel. No. 34-52772
Comments received are available for this notice.
|
Third Quarter |
SR-NSCC-2005-10 |
34-52458 |
Sep. 16, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mutual Fund Commission Settlement Service
Comments due: October 17, 2005
|
SR-NSCC-2005-05 |
34-52446 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.: SR-DTC-2005-04 and SR-FICC-2005-10
See also: Notice: Rel. No. 34-52043
|
SR-NSCC-2005-08 |
34-52445 |
Sep. 15, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules
Comments due: October 12, 2005
|
SR-NSCC-2005-12 |
34-52397 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Automated Customer Account Transfer Service Rules and Procedures
Comments due: October 5, 2005
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SR-NSCC-2005-11 |
34-52394 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of "Insurance Company" Under its Rules and Procedures
Comments due: October 5, 2005
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SR-NSCC-2005-09 |
34-52343 |
Aug. 26, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Insurance Processing Service and Revisions to Fee Schedule
Comments due: September 23, 2005
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SR-NSCC-2005-05 |
34-52043 |
Jul. 15, 2005 |
Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due: August 5, 2005
See also: Order: Rel. No. 34-52446
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Second Quarter |
SR-NSCC-2005-07 |
34-51954 |
Jun. 30, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due: August 1, 2005
|
SR-NSCC-2005-06 |
34-51882 |
Jun. 20, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Number of Extended Settlement Days for Fixed Income Securities
Comments due: July 18, 2005
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SR-NSCC-2005-03 |
34-51871 |
Jun. 17, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Fees for Services Provided by Other Entities
See also: Notice: Rel. No. 34-51674
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SR-NSCC-2005-02 |
34-51753 |
May 27, 2005 |
Order Approving Proposed Rule Change to Enhance the Automated Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
See also: Notice: Rel. No. 34-51541
|
SR-NSCC-2005-04 |
34-51745 |
May 26, 2005 |
Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Confirmation and Matching Service for Over-the-Counter U.S. Equity Options Transactions
See also: Notice: Rel. No. 34-51649
|
SR-NSCC-2005-03 |
34-51674 |
May 9, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
See also: Order: Rel. No. 34-51871
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SR-NSCC-2004-09 |
34-51669 |
May 9, 2005 |
Order Approving Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability to its Members
See also: Notice: Rel. No. 34-51458
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SR-NSCC-2005-04 |
34-51649 |
May 3, 2005 |
Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
See also: Order: Rel. No. 34-51745
|
SR-NSCC-2005-01 |
34-51600 |
Apr. 22, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend its Operational Capability Requirement for Membership
See also: Notice: Rel. No. 34-51363
|
SR-NSCC-2005-02 |
34-51541 |
Apr. 13, 2005 |
Notice of Filing of Proposed Rule Change to Enhance Automated Customer Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
See also: Order: Rel. No. 34-51753
|
First Quarter |
SR-NSCC-2004-09 |
34-51458 |
Mar. 31, 2005 |
Notice of Filing of Proposed Rule Change To Establish a Comprehensive Standard of Care and Limitation of Liability to its Members
See also: Order: Rel. No. 34-51669
|
SR-NSCC-2005-01 |
34-51363 |
Mar. 11, 2005 |
Notice of Filing of Proposed Rule Change to Amend its Operational Capability Requirement for Membership
See also: Order: Rel. No. 34-51649
|
SR-NSCC-2003-11 |
34-51362 |
Mar. 11, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend the Criteria Used to Place Members on Surveillance Status and to Eliminate Member and Applicant Financial Responsibility and Operational Capability Questionnaires
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SR-NSCC-2004-07 |
34-51359 |
Mar. 11, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies
See also: Notice: Rel. No. 34-51035
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SR-NSCC-2004-11 |
34-51177 |
Feb. 9, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending the Fee Schedule of the Insurance Processing Service
Comments due: March 9, 2005
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SR-NSCC-2003-22 |
34-51174 |
Feb. 9, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend the Standards of Financial Responsibility Required of Mutual Fund and Insurance Services Applicants and Members that Are Banks, Trust Companies, or Broker-Dealers
See also: Notice: Rel. No. 34-50797
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SR-NSCC-2003-21 |
34-51154 |
Feb. 8, 2005 |
Notice of Withdrawal of a Proposed Rule Change Relating to the Separately Managed Accounts Service
See also: Notice: Rel. No. 34-48846
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SR-NSCC-2004-07 |
34-51035 |
Jan. 13, 2005 |
Notice of Filing of Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies
See also: Order: Rel. No. 34-51359
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Release No. |
Date |
Details |
SR-NSCC-2005-17 |
34-53811 |
May 16, 2006 |
Order Approving Proposed Rule Change To Modify Its Rules and Procedures Related to the Collection of Commission Payments
|
34-53424 |
Mar. 6, 2006 |
Notice of Filing of Proposed Rule Change To Modify Its Rules and Procedures Related to the Collection of Commission Payments
Comments due: April 3, 2006
|
SR-NSCC-2005-16 |
34-53099 |
Jan. 11, 2006 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise the Fee Structure of NSCC
Comments due: February 8, 2006
|
SR-NSCC-2005-15 |
34-53528 |
Mar. 21, 2006 |
Order Approving Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
|
34-52976 |
Dec. 19, 2005 |
Notice of Filing of Proposed Rule Change Relating To Buy-Ins in Its Continuous Net Settlement System
Comments due: January 17, 2006
|
SR-NSCC-2005-14 |
34-52922 |
Dec. 7, 2005 |
Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Additional File Nos.: SR-DTC-2005-16 and SR-FICC-2005-19
See also:
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34-52664 |
Oct. 25, 2005 |
Notice of Filing of Proposed Rule Change to Require Members To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation
Comments due: November 21, 2005
|
SR-NSCC-2005-13 |
34-52772 |
Nov. 14, 2005 |
Order Approving Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
|
34-52552 |
Oct. 3, 2005 |
Notice of Filing of Proposed Rule Change to Modify and Consolidate Clearing Fund Rules
Comments due: November 1, 2005
Comments received are available for this notice.
|
SR-NSCC-2005-12 |
34-52397 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Automated Customer Account Transfer Service Rules and Procedures
Comments due: October 5, 2005
|
SR-NSCC-2005-11 |
34-52394 |
Sep. 8, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Interpretation of the Definition of "Insurance Company" Under its Rules and Procedures
Comments due: October 5, 2005
|
SR-NSCC-2005-10 |
34-52458 |
Sep. 16, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Mutual Fund Commission Settlement Service
Comments due: October 17, 2005
|
SR-NSCC-2005-09 |
34-52343 |
Aug. 26, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Insurance Processing Service and Revisions to Fee Schedule
Comments due: September 23, 2005
|
SR-NSCC-2005-08 |
34-52445 |
Sep. 15, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Codify, Consolidate, and Clarify Financial Responsibility and Operational Capability Rules
Comments due: October 12, 2005
|
SR-NSCC-2005-07 |
34-51954 |
Jun. 30, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Charges for Communications Fees to Continue Operating Legacy Communication Networks
Comments due: August 1, 2005
|
SR-NSCC-2005-06 |
34-51882 |
Jun. 20, 2005 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Number of Extended Settlement Days for Fixed Income Securities
Comments due: July 18, 2005
|
SR-NSCC-2005-05 |
34-52446 |
Sep. 15, 2005 |
Order Approving Proposed Rule Change To Establish a Fine for Members Failing to Conduct Connectivity Testing
Additional File Nos.: SR-DTC-2005-04 and SR-FICC-2005-10
|
34-52043 |
Jul. 15, 2005 |
Notice of Filing of Proposed Rule Changes To Establish a Fine for Members Failing to Conduct Connectivity Testing
File Nos.: SR-DTC-2005-04, SR-FICC-2005-10, and SR-NSCC-2005-05
Comments due: August 5, 2005
|
SR-NSCC-2005-04 |
34-51745 |
May 26, 2005 |
Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Confirmation and Matching Service for Over-the-Counter U.S. Equity Options Transactions
|
34-51649 |
May 3, 2005 |
Notice of Filing of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due: May 25, 2005
|
SR-NSCC-2005-03 |
34-51871 |
Jun. 17, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Fees for Services Provided by Other Entities
|
34-51674 |
May 9, 2005 |
Notice of Filing of a Proposed Rule Change Relating to the Collecting of Fees for Services Provided by Other Entities
Comments due: June 3, 2005
|
SR-NSCC-2005-02 |
34-51753 |
May 27, 2005 |
Order Approving Proposed Rule Change to Enhance the Automated Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
|
34-51541 |
Apr. 13, 2005 |
Notice of Filing of Proposed Rule Change to Enhance Automated Customer Account Transfer Service to Permit the Automated Notification of Changes to the Broker-Dealer of Record for Applicable Insurance Products
Comments due: May 11, 2005
|
SR-NSCC-2005-01 |
34-51600 |
Apr. 22, 2005 |
Order Granting Approval of a Proposed Rule Change to Amend its Operational Capability Requirement for Membership
|
34-51363 |
Mar. 11, 2005 |
Notice of Filing of Proposed Rule Change to Amend its Operational Capability Requirement for Membership
Comments due: April 7, 2005
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2005.shtml
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