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NSCC Rulemaking Archive: 2004
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 2004
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
Release No. |
Date |
Details |
Fourth Quarter |
SR-NSCC-2004-10 |
34-50949 |
Dec. 30, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements with Self-Regulatory Organizations
Comments due: January 28, 2005
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SR-NSCC-2003-22 |
34-50797 |
Dec. 6, 2004 |
Notice of Filing of 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: Order: Rel. No. 34-51174
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SR-NSCC-2004-08 |
34-50780 |
Dec. 1, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule for Fixed Income Products
Comments due: December 21, 2004
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SR-NSCC-2004-04 |
34-50652 |
Nov. 10, 2004 |
Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due: December 8, 2004
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SR-NSCC-2004-06 |
34-50596 |
Oct. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the National Securities Clearing Corporation’s Fee Schedule to Eliminate Reference to the PC Data Entry Fee and to Incorporate Fees for its Mutual Fund Profile and Fund/SPEED Service
Comments due: November 24, 2004
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Third Quarter |
SR-NSCC-2004-05 |
34-50398 |
Sep. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the By-Laws of the National Securities Clearing Corporation
Comments due: October 13, 2004
Comments received are available for this notice.
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SR-NSCC-2003-09 |
34-50395 |
Sep. 16, 2004 |
Order Approving Proposed Rule Change to Amend the Procedure for Determining Intraday Mark-to-the-Market Payments |
SR-NSCC-2004-03 |
34-50095 |
Jul. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mutual Fund Profile and Fund/SPEED Service Fees
Comments due: August 24, 2004
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SR-NSCC-2003-05 |
34-50085 |
Jul. 26, 2004 |
Order Granting Approval of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
See also: Notice: Rel. No. 34-49094
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SR-NSCC-2004-01 |
34-50026 |
Jul. 15, 2004 |
Order Granting Approval of a Proposed Rule Change to Modify the National Securities Clearing Corporation’s Continuous Net Settlement System
See also: Notice: Rel. No. 34-49717
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Second Quarter |
SR-NSCC-2004-01 |
34-49717 |
May 17, 2004 |
Notice of Filing of Proposed Rule Change to Modify the National Securities Clearing Corporation's Continuous Net Settlement System
See also: Order: Rel. No. 34-50026
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SR-NSCC-2004-02 |
34-49685 |
May 11, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes
Comments due: June 7, 2004
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SR-NSCC-2003-20 |
34-49598 |
Apr. 22, 2004 |
Order Approving Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services
See also: Notice: Rel. No. 34-49422
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First Quarter |
SR-NSCC-2003-20 |
34-49422 |
Mar. 16, 2004 |
Notice of Filing of Proposed Rule Change to Eliminate the Higher Capital Requirements Imposed on Members for Processing Investment Fund Transactions Through NSCC's Mutual Fund Services
Comments Due: April 12, 2004
See also: Order: Rel. No. 34-49598
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SR-NSCC-2003-05 |
34-49094 |
Jan. 16, 2004 |
Notice of Filing of a Proposed Rule Change Permitting Elimination of All Hard Copies of Important Notices
See also: Order: Rel. No. 34-50085
Comments received are available for this notice.
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NSCC File Number List for 2004 |
Release No. |
Date |
Details |
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-2004-10 |
34-50949 |
Dec. 30, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Regulatory Reporting Transmission Agreements with Self-Regulatory Organizations
Comments due: January 28, 2005
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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-2004-08 |
34-50780 |
Dec. 1, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule for Fixed Income Products
Comments due: December 21, 2004
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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
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34-51035 |
Jan. 13, 2005 |
Notice of Filing of Proposed Rule Change to Amend the Membership Standards Required of Insurance Companies
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SR-NSCC-2004-06 |
34-50596 |
Oct. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the National Securities Clearing Corporation’s Fee Schedule to Eliminate Reference to the PC Data Entry Fee and to Incorporate Fees for its Mutual Fund Profile and Fund/SPEED Service
Comments due: November 24, 2004
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SR-NSCC-2004-05 |
34-50398 |
Sep. 16, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the By-Laws of the National Securities Clearing Corporation
Comments due: October 13, 2004
Comments received are available for this notice.
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SR-NSCC-2004-04 |
34-50652 |
Nov. 10, 2004 |
Notice of Filing and Order Granting Accelerated Approval on a Temporary Basis of a Proposed Rule Change To Establish a Confirmation and Matching Service for Over-The-Counter U.S. Equity Options Transactions
Comments due: December 8, 2004
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SR-NSCC-2004-03 |
34-50095 |
Jul. 27, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mutual Fund Profile and Fund/SPEED Service Fees
Comments due: August 24, 2004
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SR-NSCC-2004-02 |
34-49685 |
May 11, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Non-Standard Settlement Input for Trade Recording Purposes
Comments due: June 7, 2004
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SR-NSCC-2004-01 |
34-50026 |
Jul. 15, 2004 |
Order Granting Approval of a Proposed Rule Change to Modify the National Securities Clearing Corporation’s Continuous Net Settlement System
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34-49717 |
May 17, 2004 |
Notice of Filing of Proposed Rule Change to Modify the National Securities Clearing Corporation's Continuous Net Settlement System
Comments due: June 14, 2004
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2004.shtml
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