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Regulation Description Date Effective PDF
DTC The Depository Trust Company is a subsidiary of the DTCC, and was created to reduce costs and provide clearing and settlement efficiencies. [1]   Regulatory Rule Filings
SR-DTC-2021-003 Changes the risk/margin reporting period from monthly to daily. ✅ 2021-03-16 SR-DTC-2021-003-Approval-Notice.pdf
SR-DTC-2021-004 Outlines procedures for asset liquidation in the event of a defaulting member. ✅ 2021-03-16 SR-DTC-2021-004.pdf
SR-DTC-2021-005 Prevents loaned/borrowed shares from being loaned/borrowed more than once. ✅ 2021-06-25 SR-DTC-2021-005.pdf
SR-DTC-2021-006 Removes the old method of asset tracking in favor of SR-DTC-2021-005. ✅ 2021-04-21 SR-DTC-2021-006.pdf
SR-DTC-2021-007 Eliminates the APO system in favor of the Claim Connect system for fee reconciliation between parties. Mandatory 2021-07-09 ✅ 2021-04-30 SR-DTC-2021-007.pdf
SR-DTC-2021-008 Reorganizes existing tax reporting/withholding guides to accommodate for various DTCC procedural changes that have been implemented. ✅ 2021-06-08 SR-DTC-2021-008.pdf
SR-DTC-2021-009 Changes current procedures to clearly define deadlines in order to eliminate existing delay-loop workarounds. ✅ 2021-06-16 SR-DTC-2021-009.pdf
ICC The ICE Clear Credit was founded to digitize markets and provide greater price transparency. [1]   Regulatory Rule Filings
SR-ICC-2021-005 ICC version of SR-DTC-2021-004 to define procedures for asset liquidation in the event of a defaulting member. ✅ 2021-05-10 SR-ICC-2021-005.pdf
SR-ICC-2021-007 Redefines what can and cannot be considered collateral, reducing overall capital on books and lowering acceptable risk ceilings. ✅ 2021-05-13 SR-ICC-2021-007.pdf
SR-ICC-2021-008 Redefines how risky collateral is handled in Credit Default Swaps. Increases initial margin requirements, and lowers ICC exposure. ✅ 2021-05-18 SR-ICC-2021-008.pdf
SR-ICC-2021-009 Charges calculation of risk from using month-to-month averages to using day-to-day-averages. ✅ 2021-05-20 SR-ICC-2021-009.pdf
SR-ICC-2021-014 Defines fee schedules for the 2nd half of 2021; includes reduced fees on CDS (25%) and incentives for risk sharing. ✅ 2021-05-18 SR-ICC-2021-014.pdf
OCC The Office of the Comptroller of the Currency is a federal agency that oversees the execution of laws relating to national banks. [1]   Regulatory Rule Filings
SR-OCC-2021-003 Increases margin requirements for market makers when dealing with options contracts. ✅ 2021-05-27 SR-OCC-2021-003.pdf
SR-OCC-2021-004 Allows previously excluded firms to participate in auctions of assets when a member is liquidated. ✅ 2021-05-19 SR-OCC-2021-004.pdf
NSCC The National Securities Clearing Corporation is a subsidiary of the DTCC, and was created to provide clearing settlement, risk management, central counterparty services, and a guarantee of completion for certain transactions for virtual all broker-to-broker trades. [1]   Regulatory Rule Filings
SR-NSCC-2021-002 Automates the margin call process when daily reports indicate a member is overleveraged. ✅ 2021-06-23 SR-NSCC-2021-002.pdf
SR-NSCC-2021-004 NSCC version of SR-DTC-2021-004 to define procedures for asset liquidation in the event of a defaulting member. ✅ 2021-03-18 SR-NSCC-2021-004.pdf
SR-NSCC-2021-005 Increases the minimum required fund deposit for DTCC members from $10,000 to $250,000 each. ⚠️ TBD (2021-08-12) SR-NSCC-2021-005.pdf
SR-NSCC-2021-006 Removal of the 10-day approval period on proposed rule changes among other numerous amendments. ✅ 2021-05-12 SR-NSCC-2021-006.pdf
Exchange Act Rule 15c3-3 Establishes a requirement for 100% collateral to be held on all positions within six months. ✅ 2021-04-22 Rule-15c3-3.pdf
MSBS978-21: FICC Notice Returns MBSD Intraday Mark-Market Charge to hourly assessment instead of once-per-day for margins. ✅ 2021-05-03 MBSD978-21.pdf
SR-NYSEAMER-2021-29 Provides incentives for brokers to route retail orders through the NYSE instead of through dark pools/off-market exchanges (OTC). ✅ 2021-06-17 SR-NYSEAMER-2021-29.pdf
FINRA Regulatory Notice 21-19 Requires firms to submit synthetic short positions with increased reporting frequency from twice per month to daily or weekly. ⚠️ TBD (Comments accepted until 2021-08-03) Regulatory-Notice-21-19.pdf