2003 Rule
Filings |
SR # |
Subject |
SEC Notice |
|
NSCC Rule Filing (SR-NSCC-2003-23) |
The proposed rule change consists
of revisions to National Securities Clearing Corporation's
("NSCC" or the "Corporation") Fee Schedule. |
Rule
Filing Approval Notice (Release No. 34-49122; Release No.
SR-NSCC-2003-23) - From the Federal Register (Vol. 69,
No. 22 - February 3, 2004) |
|
NSCC Rule Filing (SR-NSCC-2003-22) |
The proposed rule change, pursuant to Section
19(b)(2) of the Act, amends Addendums B and I of NSCC’s Rules
to change the standards of financial responsibility required
of applicants and members that are banks, trust companies and
broker/dealers using certain of NSCC’s non-guaranteed services
(i.e., as a Mutual Fund/Insurance Services member under Rule
2, or as a Fund Member under Rule 51 of NSCC’s Rules).
|
Rule
Filing Approval Notice (Release No. 34-51174; Release No. SR-NSCC-2003-22)
- From the Federal Register (Vol. 70, No. 32 - February 17,
2005) |
|
NSCC Rule Filing (SR-NSCC-2003-21)
Withdrawal:
File No SR-NSCC-2003-21
|
The proposed rule change, pursuant to Section
19(b)(2) of the Act, amends NSCC’s Rules to establish
an information messaging system called the Separately Managed
Accounts Service (“SMAS” or the “SMA Service”). |
|
|
NSCC Rule Filing (SR-NSCC-2003-20) |
Proposed rule change by National Securities
Clearing Corporation ("NSCC") consisting of changes to the
standards of financial responsibility required for certain
NSCC applicants and members using NSCC's Mutual Fund and Insurance
Services.
- Amendment No. 1 to SR-NSCC-2003-20 (amended
via e-mail on October 22, 2003) - At this time, the request
for
accelerated approval was withdrawn. In all other respects,
the rule filing and exhibits remain as originally submitted.
|
Rule
Filing Approval Notice (Release No. 34-49598; File No. SR-NSCC-2003-20) -
From the Federal Register (Vol. 69, No. 82 - April 28,
2004) |
|
NSCC Rule Filing (SR-NSCC-2003-19) |
The proposed rule change consists
of amendments to the Rules & Procedures of National Securities
Clearing Corporation (“NSCC” or the “Corporation”) relating
to end-of-day money settlement, and are annexed hereto as
Exhibit A.
|
Rule
Filing Approval Notice (Release No. 34-48744; File No. SR-NSCC-2003-19) -
From the Federal Register (Vol. 68, No. 217 - November 10,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-18) |
The proposed rule change consists
of an enhancement to the Insurance Processing Service ("IPS")
of the National Securities Clearing Corporation ("NSCC").
The enhancement will allow Members, Insurance Carrier Members
and Data Services Only Members of NSCC to transmit data and
information relating to life insurance and annuities applications
and, where applicable, settle payments relating thereto,
all as further described below. |
Rule
Filing Approval Notice (Release No. 34-48896; File No. SR-NSCC-2003-18) -
From the Federal Register (Vol. 68, No. 243 - December 18,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-17) |
The proposed rule change, pursuant
to Section 19(b)(3)(A) of the Act, modifies Rule 16 (Settlement
of Commissions) and Addendum P (Fine Schedule) of NSCC’s
Rules & Procedures to provide that fines may be imposed upon
Members and Non-Clearing Members utilizing the Commission
Settlement service, when they fail to timely pay all or part
of their monthly Commission Settlement obligations to NSCC. |
Rule
Filing Approval Notice (Release No. 34-48290; File No. SR-NSCC-2003-17) -
From the Federal Register (Vol. 68, No. 154 - August 11,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-16) |
The proposed rule change adds a new
Rule 31 to NSCC's Rules and amends miscellaneous other provisions
of NSCC's Rules as they pertain to Data Services Only Members.
|
Rule
Filing Approval Notice (Release No. 34-48909; File No. SR-NSCC-2003-16) -
From the Federal Register (Vol. 68, No. 247 - December 24, 2003) |
|
NSCC Rule Filing (SR-NSCC-2003-15) |
The purpose of the proposed rule
change is to modify NSCC’s Rules & Procedures (the “Rules”)
to allow implementation of a real-time trade matching system
("RTTM") for certain NSCC-eligible corporate bonds, municipal
bonds and unit investment trusts (the "NSCC debt securities"). |
Rule
Filing Approval Notice (Release No. 34-49294; File No. SR-NSCC-2003-15)
-
From the Federal Register (Vol. 69, No. 40 - March 1, 2004) |
|
NSCC Rule Filing (SR-NSCC-2003-14) |
This proposed rule change, pursuant
to Section 19(b)(2) of the Act, is to modify NSCC's procedures
to accommodate the reporting of trades done on a system that
provides trading on anonymity and needs to be approved concurrent
with NASD 2003-85.
|
Rule
Filing Approval Notice (Release No. 34-48526; File No. SR-NSCC-2003-14) -
From the Federal Register (Vol. 68, No. 189 - September 30,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-13) |
The purpose of the proposed rule
change is to adjust the fees that NSCC charges for the Initial
Application Information (“APP”) feature of IPS. |
Rule
Filing Approval Notice (Release No. 34-48284; File No. SR-NSCC-2003-13) -
From the Federal Register (Vol. 68, No. 156 - August 13,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-12) |
NSCC's proposed rule change, pursuant
to Section 19(b)(3)(A) of the Act, modifies NSCC’s Rules & Procedures
in part, to make technical changes to the procedures to reflect
the ways in which output is made available to members for
listed and OTC processing, and to eliminate reference to
NSCC’s performance of comparison processing for NYSE and
AMEX exchange trades, as this service is now being performed
by those exchanges.
|
Rule
Filing Approval Notice (Release No. 34-48141; File No. SR-NSCC-2003-12) -
From the Federal Register (Vol. 68, No. 136 - July 16,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-11) |
The purpose of the proposed rule
change is to modify NSCC’s Rules & Procedures (the “Rules”)
with regard to methodology used by the Corporation when performing
the surveillance/monitoring of its participants, and to eliminate
all participant/applicant questionnaires in their present
form.
|
Rule
Filing Approval Notice (Release No. 34–51362; File No.
SR-NSCC-2003–11) - From the Federal Register (Vol.
70, No. 53 - March 21, 2005) |
|
NSCC Rule Filing (SR-NSCC-2003-10) |
NSCC's proposed rule change (which
is being made pursuant to Section 19(b)(3)(A) of the Act)
effects technical corrections to Rule 7 (Comparison and Trade
Recording Operation), Addendum A ( Fee Structure), eliminating
references to Demand Withhold and Demand As-Of processing
with regard to Over the Counter (“OTC”) equity securities,
and eliminating reference to Demand As-Of processing with
regard to debt securities, as these functions are no longer
available. |
Rule
Filing Approval Notice (Release No. 34-48285; File No. SR-NSCC-2003-10) -
From the Federal Register (Vol. 68, No. 156 - August 13,
2003) |
|
NSCC Rule Filing (SR-NSCC-2003-09) |
NSCC's proposed rule change (which
is being made pursuant to Section 19(b)(3)(A) of the Act)
modifies Procedure XV (Clearing Fund Formula and Other Matters)
of NSCC’s Rules & Procedures to delete the specific criteria
used for determining which securities meet classifications
for additional mark-to-the-market payments, and provide for
a more generalized provision.
- Amendment No. 1 to
SR-NSCC-2003-09 - NSCC's proposed rule change (which
is now being made pursuant to Section 19(b)(2) of the Act
and includes additional information) modifies Versions
1 and 2 of Procedure XV (Clearing Fund Formula and Other
Matters) of NSCC’s Rules & Procedures to delete the specific
criteria used for determining which securities meet classifications
for additional mark-to-the-market payments, and provide
for a more generalized provision.
|
Rule
Filing Approval Notice, (Release No. 34-50395, File No. SR-NSCC-2003-09)
From the Federal Register (Vol. 69, No. 183 - September 22,
2004) |
|
NSCC Rule Filing (SR-NSCC-2003-08) |
The proposed rule change being filed
by NSCC consists of a modification of NSCC’s Rule 4, Section
12. In order to accommodate NSCC’s lenders, the language
of the rule itself is being modified to make clear NSCC’s
right to pledge its participants’ actual deposits to one
or more lenders for the purposes enumerated in the Rule. |
Rule
Filing Approval Notice (Release No. 34-48131; File No. SR-NSCC-2003-08) -
From the Federal Register (Vol. 68, No. 134 - July 14, 2003)
|
|
NSCC Rule Filing (SR-NSCC-2003-07) |
As part of National Securities Clearing
Corporation’s (“NSCC” or the “Corporation”) straight-through
processing development efforts, the Corporation is revising
its CNS and Balance Order processing. As part of this initiative,
it has determined to modify the manner in which it reports
Balance Order transaction data to participants, so as to
make such information more readily available in a more efficient
and cost effective manner. |
Rule
Filing Approval Notice (Release No. 34-47935 ; File No. SR-NSCC-2003-07) -
From the Federal Register (Vol. 68, No. 107 - June 4, 2003) |
|
NSCC Rule Filing
(SR-NSCC-2003-06)
|
The proposed rule change (which is
being made pursuant to Section 19(b)(3)(A) of the Act) modifies
Rule 4 (Clearing Fund) of NSCC’s Rules & Procedures to eliminate
reference to “bearer” bonds, since only registered bonds
are eligible for Clearing Fund purposes.
|
Rule
Filing Approval Notice (Release No. 34-47767; File No. SR-NSCC-2003-06) -
From the Federal Register (Vol. 68, No. 89 - May 8, 2003)
|
|
NSCC Rule Filing (SR-NSCC-2003-05) |
The purpose of the proposed rule
filing is to modify NSCC's Rules and Procedures such that
notices via electronic format meet the Corporation's notification
obligations.
|
Rule
Filing Approval Notice (Release No. 34-50085; File No. SR-NSCC-2003-05)
- From the Federal Register (Vol. 69, No. 146 - July 30, 2004)
|
|
NSCC Rule Filing (SR-NSCC-2003-04) |
The proposed rule change consists
of an enhancement to the Insurance Processing Service ("IPS")
of the National Securities Clearing Corporation ("NSCC")
that will provide information about insurance products to
distributors of those products.
|
Rule
Filing Approval Notice (Release No. 34-47644; File No. SR-NSCC-2003-04) -
From the Federal Register (Vol. 68, No. 70 - April 11, 2003) |
|
NSCC Rule Filing (SR-NSCC-2003-03) |
NSCC's proposed rule change (which is being
made pursuant to Section 19(b)(2) of the Act) will modify NSCC’s
Rules and Procedures with regard to the execution time of CNS
Buy-Ins.
|
Rule
Filing Approval Notice (Release No. 34-49352; File No. SR-NSCC-2003-03) -
From the Federal Register (Vol. 69, No. 45 - March 8, 2004) |
|
NSCC Rule Filing (SR-NSCC-2003-02) |
NSCC's proposed rule change (which
is being made pursuant to Section 19(b)(2) of the Act) will
create a new service, Cost Basis Reporting Service (“CBRS”),
which will facilitate the automated exchange of cost basis
information regarding a customer account transfer.
|
Rule
Filing Approval Notice (Release No. 34-47603; File No. SR-NSCC-2003-02) -
From the Federal Register (Vol. 68, No. 67 - April 8, 2003) |
|
NSCC Rule Filing (SR-NSCC-2003-01) |
The text of the proposed rule change
adds a new Rule 59 to NSCC's Rules which authorizes NSCC
to offer information services for investment products.
|
Notice
of Withdrawal of a Proposed Rule Change (Release No. 34-48819;
File No. SR-NSCC-2003-01) - From the Federal Register
(Vol. 69, No. 232 - December 3, 2003) |