We encourage the public to submit comments on the following 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.

Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-97247 SEC Issue Date:Apr 4, 2023 File Number:SR-FICC-2023-005 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change to Make Administrative Updates to FICC’s GSD Rules, MBSD Rules, EPN Rules, and Restated Certificate of Incorporation
Comments Due: May 1, 2023
See Also - Exhibit 5
Submit a Comment on SR-FICC-2023-005
Release Number:34-97001 SEC Issue Date:Mar 1, 2023 File Number:SR-FICC-2023-003 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing of Proposed Rule Change To Revise the Description of the Stressed Period Used To Calculate the Value-at-Risk Charge and Make Other Changes
Comments Due: 21 days after publication in the Federal Register
See Also - Exhibit 5
Submit a Comment on SR-FICC-2023-003
Release Number:34-96938 SEC Issue Date:Feb 15, 2023 File Number:SR-FICC-2023-002 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the FICC Government Securities Division Rulebook
Comments Due: March 15, 2023
See Also - Exhibit 5
Submit a Comment on SR-FICC-2023-002
Release Number:34-96800 SEC Issue Date:Feb 3, 2023 File Number:SR-FICC-2023-001 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Risk Management Framework
Comments Due: March 2, 2023
See Also - Exhibit 5
Submit a Comment on SR-FICC-2023-001
Release Number:34-96575 SEC Issue Date:Dec 22, 2022 File Number:SR-FICC-2022-009 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain MBSD Fees
Comments Due: 21 days after publication in the Federal Register
See Also - Exhibit 3, Exhibit 5
Submit a Comment on SR-FICC-2022-009
Release Number:34-96555 SEC Issue Date:Dec 20, 2022 File Number:SR-NSCC-2022-013, SR-FICC-2022-008, SR-DTC-2022-011 SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) Details: Order Granting Proposed Rule Changes To Amend Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Release Number:34-96345 SEC Issue Date:Nov 17, 2022 File Number:SR-NSCC-2022-006, SR-FICC-2022-004, SR-DTC-2022-006 SRO Organization:National Securities Clearing Corporation, Fixed Income Clearing Corporation (FICC), The Depository Trust Company (DTC) Details: Order Granting Proposed Rule Changes To Amend the Stress Testing Framework and Liquidity Risk Management Framework
Release Number:34-96210 SEC Issue Date:Nov 2, 2022 File Number:SR-FICC-2022-008 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing of Proposed Rule Change To Amend the Clearing Agency Liquidity Risk Management Framework To Include a New Section Describing the Process by Which FICC Would Designate Uncommitted Resources as Qualifying Liquid Resources and Make Other Changes
Comments Due: November 29, 2022
See Also - Exhibit 3, Exhibit 5
Submit a Comment on SR-FICC-2022-008
Release Number:34-96136 SEC Issue Date:Oct 24, 2022 File Number:SR-FICC-2022-006 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Order Granting Approval of Proposed Rule Change To Increase the Minimum Required Fund Deposit for Government Securities Division Netting Members and Sponsoring Members, and Make Other Changes
Comments Due: 21 days after publication in the Federal Register
Submit a Comment on SR-FICC-2022-006
Release Number:34-96061 SEC Issue Date:Oct 13, 2022 File Number:SR-FICC-2022-007 SRO Organization:Fixed Income Clearing Corporation (FICC) Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify and Update GSD Rules, MBSD Rules and EPN Rules
Comments Due: November 9, 2022
See Also - Exhibit 5
Submit a Comment on SR-FICC-2022-007
Displaying 31 - 40 of 436