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NSCC Rulemaking Archive: 2007
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 2007
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-NSCC-2007-06 |
| 34-56865 |
Nov. 29, 2007 |
Notice of Filing of Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
Comments due: December 21, 2007
See also: Order: Rel. No. 34-57404
|
SR-NSCC-2007-13 |
| 34-56678 |
Oct. 19, 2007 |
Order Granting Approval of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
See also: Notice: Rel. No. 34-56372
|
| Third Quarter |
SR-NSCC-2007-11 |
| 34-56468 |
Sep. 19, 2007 |
Order Approving Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
See also: Notice: Rel. No. 34-56250
|
SR-NSCC-2007-13 |
| 34-56372 |
Sep. 7, 2007 |
Notice of Filing of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
Comments due: October 4, 2007
See also: Order: Rel. No. 34-56678
|
SR-NSCC-2007-11 |
| 34-56250 |
Aug. 14, 2007 |
Notice of Filing of Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
Comments due: September 10, 2007
See also: Order: Rel. No. 34-56468
|
SR-NSCC-2007-10 |
| 34-56184 |
Aug. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Charged for Its Positions and Valuations Service
Comments due: August 29, 2007
|
SR-NSCC-2007-09 |
| 34-56125 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due: August 22, 2007
|
| Second Quarter |
SR-NSCC-2007-05 |
| 34-55770 |
May 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Ability to Receive Transaction Data From Trade Reporting Facilities that are Facilities of a Self-Regulatory Organization
Comments due: June 12, 2007
|
| First Quarter |
SR-NSCC-2007-02 |
| 34-55490 |
Mar. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due: April 13, 2007
|
SR-NSCC-2007-03 |
| 34-55478 |
Mar. 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Make Technical and Updating Changes to its Reconfirmation and Pricing Service
Comments due: April 11, 2007
Comments received are available for this notice.
|
SR-NSCC-2007-04 |
| 34-55391 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service
Comments due: March 30, 2007
|
SR-NSCC-2006-05 |
| 34-55366 |
Feb. 27, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Wind-Down of a Member
See also: Notice: Rel. No. 34-54928
|
SR-NSCC-2006-19 |
| 34-55315 |
Feb. 20, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify NSCC’s Fee Schedule
Comments due: March 20, 2007
|
SR-NSCC-2006-16 |
| 34-55267 |
Feb. 9, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Retirement and Other Benefit Plans and Programs Offered By Registered Broker/Dealers to be Processed Through Its Insurance Processing Service
Comments due: March 13, 2007
|
SR-NSCC-2006-18 |
| 34-55259 |
Feb. 8, 2007 |
Order Granting Accelerated Approval of a Proposed Rule Change to Create Service to Facilitate the Exchange of Account Related Information on an Automated Basis between Members
See also: Notice: Rel. No. 34-55082
|
SR-NSCC-2006-12 |
| 34-55157 |
Jan. 23, 2007 |
Order Granting Approval to Proposed Rule Change Relating to Buy-Ins of Municipal Securities
See also: Notice: Rel. No. 34-54900
|
SR-NSCC-2006-11 |
| 34-55095 |
Jan. 12, 2007 |
Order Approving Proposed Rule Change to Amend its Rules and Procedures with Respect to Clearing Fund Collateral
See also: Notice: Rel. No. 34-54822
|
SR-NSCC-2006-18 |
| 34-55082 |
Jan. 10, 2007 |
Notice of Filing of Proposed Rule Change to Create Service to Facilitate the Exchange of Account Related Information on an Automated Basis between Members
Comments due: February 2, 2007
See also: Order: Rel. No. 34-55259
|
| Release No. |
Date |
Details |
SR-NSCC-2007-17 |
| 34-57385 |
Feb. 27, 2008 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee Schedule
Comments due: March 26, 2008
|
SR-NSCC-2007-16 |
| 34-57194 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Provide Clarification with Respect to the Correspondent Clearing Service and to Make Technical Changes to the Rules and Procedures Relative to Trade Recording and Special Representative Services
Comments due: February 20, 2008
Comments received are available for this notice.
|
SR-NSCC-2007-15 |
| 34-58344 |
Aug. 12, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the Admission of Foreign Entities
|
| 34-57391 |
Feb. 27, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the Admission of Foreign Entities
Comments due: March 28, 2008
|
SR-NSCC-2007-14 |
| 34-57901 |
Jun. 2, 2008 |
Order Approving Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Additional File No.: SR-DTC-2007-14
|
| 34-57573 |
Mar. 27, 2008 |
Notice of Filing of Proposed Rule Changes, as amended, to Provide for the Settlement of Institutional Transactions in Conjunction with Each Other Through a Service Called ID Net
Comments due: 21 days after publication in the Federal Register
Additional File No.: SR-DTC-2007-14
|
SR-NSCC-2007-13 |
| 34-56678 |
Oct. 19, 2007 |
Order Granting Approval of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
|
| 34-56372 |
Sep. 7, 2007 |
Notice of Filing of a Proposed Rule Change to Amend its Rules and Procedures with Regard to the Automated Customer Account Transfer Service (ACATS) and ACATS Fund/SERV Processing
Comments due: October 4, 2007
|
SR-NSCC-2007-12 |
| 34-57813 |
May 12, 2008 |
Order Granting Approval of a Proposed Rule Change to Provide a New Alternative Investments Products Service
|
| 34-57461 |
Mar. 10, 2008 |
Notice of Filing of a Proposed Rule Change to Provide a New Alternative Investments Products Service
Comments due: April 7, 2008
|
SR-NSCC-2007-11 |
| 34-56468 |
Sep. 19, 2007 |
Order Approving Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
|
| 34-56250 |
Aug. 14, 2007 |
Notice of Filing of Proposed Rule Change to Allow As-of Fixed Income Trades to be Processed in the Continuous Net Settlement System
Comments due: September 10, 2007
|
SR-NSCC-2007-10 |
| 34-56184 |
Aug. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees Charged for Its Positions and Valuations Service
Comments due: August 29, 2007
|
SR-NSCC-2007-09 |
| 34-56125 |
Jul. 24, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the National Settlement Service
Comments due: August 22, 2007
|
SR-NSCC-2007-08 |
| 34-58123 |
Jul. 9, 2008 |
Notice of Filing of Proposed Rule Change to Amend Membership Disqualification Criteria Rules
Comments due: August 8, 2008
 Submit comments on SR-NSCC-2007-08
|
SR-NSCC-2007-07 |
| 34-58160 |
Jul. 15, 2008 |
Order Approving Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
|
| 34-57667 |
Apr. 15, 2008 |
Notice of Filing of Proposed Rule Change to Restructure its Rules Relating to Fines and to Harmonize Them with Similar Rules of its Affiliates
Comments due: May 13, 2008
|
SR-NSCC-2007-06 |
| 34-57404 |
Feb. 29, 2008 |
Order Approving Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
|
| 34-56865 |
Nov. 29, 2007 |
Notice of Filing of Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates
Comments due: December 21, 2007
|
SR-NSCC-2007-05 |
| 34-55770 |
May 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Ability to Receive Transaction Data From Trade Reporting Facilities that are Facilities of a Self-Regulatory Organization
Comments due: June 12, 2007
|
SR-NSCC-2007-04 |
| 34-55391 |
Mar. 2, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collateral Management Service
Comments due: March 30, 2007
|
SR-NSCC-2007-03 |
| 34-55478 |
Mar. 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule to Make Technical and Updating Changes to its Reconfirmation and Pricing Service
Comments due: April 11, 2007
Comments received are available for this notice.
|
SR-NSCC-2007-02 |
| 34-55490 |
Mar. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees Charged to the CDS Clearing and Depository Services, Inc.
Comments due: April 13, 2007
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http://www.sec.gov/rules/sro/nscc/nsccarchive/nsccarchive2007.shtml
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