2004 Rule
Filings |
SR # |
Subject |
SEC Notice |
|
NSCC Rule Filing
(SR-NSCC-2004-11) |
The proposed rule change consists of revisions
to NSCC's Fee Schedule.
|
Rule
Filing Approval Notice, (Release No. 34-51177; File No. SR-NSCC-2004-11) -
From the Federal Register (Vol. 70, No. 31 - February 16, 2005) |
|
NSCC Rule Filing
(SR-NSCC-2004-10) |
The proposed rule change amends NSCC’s
Rules in order to specifically reference NSCC’s entering
into regulatory reporting arrangements with other self-regulatory
organizations to the extent not otherwise covered by the rules.
|
Rule
Filing Approval Notice, (Release No. 34-50949;
File No. SR-NSCC-2004-10) -
From the Federal Register (Vol. 70, No. 5 - January 7,
2005) |
|
NSCC Rule Filing
(SR-NSCC-2004-09) |
With this proposed rule change, NSCC is seeking
to establish a comprehensive standard of care and limitation
of liability.
|
Rule
Filing Approval Notice, (Release No. 34-49376, File No. SR-NSCC-2004-038) -
From the Federal Register (Vol. 69, No. 50 - March 15,
2004) |
|
NSCC Rule Filing
(SR-NSCC-2004-08) |
The purpose of the proposed rule change is
to amend the trade comparison
and trade recording fees relating to the National Securities
Clearing Corporation ("NSCC")
fixed income products. The proposed fee changes will become effective
on January 1, 2005. |
Rule
Filing Approval Notice, (Release No. 34-50780, File No. SR-NSCC-2004-08)
- From the Federal Register (Vol. 69, No. 235 - December 8,
2004) |
|
NSCC Rule Filing
(SR-NSCC-2004-07) |
The proposed rule change amends NSCC’s Rules
regarding the membership standards required of Insurance Companies.
As a general matter, the current membership standards for Insurance
Companies are based in part on ratings provided by rating agencies.
The proposed rule replaces these standards in relevant part
by a measure based on Risk-Based Capital ("RBC") ratios. |
Rule
Filing Approval Notice, (Release No. 34-51359, File No. SR-NSCC-2004-07)
- From the Federal Register (Vol. 70, No. 51- March 17,
2005) |
|
NSCC Rule Filing
(SR-NSCC-2004-06) |
The proposed rule change consists
of revisions to Addendum A to the Rules of NSCC relating to
(i) the deletion of fees for PC Data Entry, a web interface
that is no longer offered by NSCC, and (ii) the incorporation
of revised Mutual Fund Service fees that were previously approved
by the Commission. |
Rule
Filing Approval Notice, (Release No. 34-50596, File No. SR-NSCC-2004-06) -
From the Federal Register (Vol. 69, No. 212 - November 3, 2004)
|
|
NSCC Rule Filing
(SR-NSCC-2004-05) |
National Securities Clearing Corporation (“NSCC”) filed a rule change with the Securities and Exchange Commission (“SEC”), pursuant to paragraph (A) of Section 19(b)(3) of the Securities Exchange Act of 1934. This rule change, which is effective immediately, will clarify the indemnification provisions within NSCC’s By-Laws with respect to Non-Director members of NSCC Board committees. |
Rule
Filing Approval Notice, (Release No. 34-50398, File No.
SR-NSCC-2004-05) -
From the Federal Register (Vol. 69, No. 183 - September 22,
2004)
|
|
NSCC Rule Filing
(SR-NSCC-2004-04) |
The proposed rule change relates to amending
NSCC’s Rules to establish an equity options service. |
Rule
Filing Approval Notice, (Release No. 34-50652, File No. SR-NSCC-2004-04) - From the Federal Register
(Vol. 69, No. 221 - November 17, 2004)
|
|
NSCC Rule Filing
(SR-NSCC-2004-03) |
The proposed rule change consists
of revisions to National Securities Clearing Corporation’s
fees for its Mutual Fund Profile and its Fund/SPEEDSM services,
effective September 1, 2004
|
Rule Filing Approval Notice, (Release No.
34-50095, File No. SR-NSCC-2004-03)
From the Federal Register (Vol. 69, No. 148 - August 3, 2004) |
|
NSCC Rule Filing
(SR-NSCC-2004-02) |
This rule change, which will take effect on April 16, 2004, will modify NSCC’s Procedure II and Procedure IV to provide for the acceptance by NSCC of cash, next day and sellers-option transactions, for recording purposes, from Members who are Special Representatives, and Self-Regulatory Organizations submitting on behalf of Members, for Over-the-Counter (OTC) equity, Regional Exchange (RIO) and Correspondent Clearing (CORR) transactions. |
Rule
Filing Approval Notice (Release No. 34-49685; File No.
SR-NSCC-2004-02) - From the Federal Register (Vol. 69, No. 95 - May 17, 2004) |
|
NSCC Rule Filing
(SR-NSCC-2004-01) |
NSCC's proposed rule change
relates to modifications to NSCC’s Continuous Net Settlement
System.
|
Rule
Filing Approval Notice (Release No. 34-50026; File No. SR-NSCC-2004-01)
From the Federal Register (Vol. 69, No. 139 - July 21, 2004)
|