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2002 Rule Filings
- NSCC Rule Filing (SR-NSCC-2002-15)
- NSCC's proposed rule change, submitted pursuant to Section 19(b)(3)(A) of
the Act, relates to modifications to Rule 15 (Financial Responsibility and
Operational Capability) of NSCC's Rules and Procedures for the purposes of
specifying additional information which participants must file with the Corporation.
- NSCC Rule Filing (SR-NSCC-2002-14)
- The purpose of the proposed rule change is to make a technical correction
to NSCC’s filing number SR-NSCC-2002-06, which was approved by the Commission
on November 25, 2002
- NSCC
Rule Filing (SR-NSCC-2002-13)
- The text
of the proposed rule change adds additional services that Data Services Only
Members of the National Securities Clearing Corporation ("NSCC")
will be permitted to access.
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NSCC Rule Filing (SR-NSCC-2002-12)
- NSCC's proposed rule change, submitted pursuant to Section 19(b)(3)(A)
of the Act, relates to a correction of a typographical error within Rule
50 (Automated Customer Account Transfer Service) of NSCC's Rules and Procedures.
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NSCC Rule Filing (SR-NSCC-2002-11) - NSCC's
proposed rule change, submitted pursuant to Section 19(b)(3)(A) of the Act,
relates to modifications to Versions 1 and 2 of Addendum B (Standards of
Financial Responsibility and Operational Capability) of NSCC's Rules and
Procedures to eliminate all references to Class I and Class II Security
Surveillance.
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NSCC Rule Filing (SR-NSCC-2002-10) - This
filing prepares firms for the new RTTM functionality, which will enable NSCC
to process trades in the efficient manner that is currently utilized by GSCC
and MBSCC in connection with other fixed-income trades; therefore; it is
consistent with the provisions of the Securities Exchange Act of 1934 (the
“Act”), as amended, and the rules and regulations thereunder.
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NSCC Rule Filing (SR-NSCC-2002-09) - The
purpose of the proposed rule filing is to allow the Corporation to take data
in from the Chicago Mercantile Exchange (CME) relating to products traded on
the Exchange that require settlement of equity securities at expiration.
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NSCC Rule Filing (SR-NSCC-2002-08) - NSCC's proposed rule change, pursuant to Section 19(b)(2), relates to modifications to Rule 4 (Clearing Fund) and Procedure XV (Clearing Fund Formula and Other Matters) of NSCC’s Rules and Procedures to permit the Corporation to apply haircuts to securities posted by NSCC participants as Clearing Fund collateral.
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NSCC Rule Filing (SR-NSCC-2002-07) - The
purpose of the proposed rule change is to adjust the fees that NSCC charges
for the Initial Application Information (“APP”) feature of IPS.
- NSCC Rule Filing (SR-NSCC-2002-06) - NSCC's proposed rule change relates to
clarification
of NSCC’s Rules and Procedures with regard to the imposition of fines upon
Member firms, and to more specifically identify the actions (or inactions)
of Member firms that will result in fines being imposed upon them.
- NSCC Rule Filing (SR-NSCC-2002-05) - NSCC's proposed rule
change, pursuant to Section 19(b)(2), relates to increasing the minimum
amount of cash that must be deposited by members (with the exception of
Mutual Fund/Insurance Services Members) to satisfy Clearing Fund
requirements, and to limit the amount of a deposit that may be
collateralized with Letters of Credit.
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NSCC Rule Filing (SR-NSCC-2002-04) - With
the elimination of the use of the Online Comparison System (“OCS”) by the
New York Stock Exchange (the “NYSE”) for debt security trades executed on
the American Stock Exchange (the “Amex”), NSCC is modifying its rules in
order to accept trade input for such trades from members for comparison
processing.
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File No. SR-NSCC-2002-03
- The proposed rule change consists of revisions to National Securities
Clearing Corporation’s (“NSCC” or the “Corporation”) Fee Schedule
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File No. SR-NSCC-2002-02 - The proposed rule change consists
of revisions to National Securities Clearing Corporation’s (“NSCC” or
the “Corporation”) Fee Schedule
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File
No. SR-NSCC-2002-01 - Technical Correction to SR-NSCC-2001-04
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