mirror of
https://github.com/verymeticulous/wikAPEdia.git
synced 2025-06-07 18:47:49 -05:00
7.6 KiB
7.6 KiB
List of Regulations and their PDFs
Regulations
| Regulation | Description | Date Effective | |
|---|---|---|---|
| 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/withholdingg guides to accomodate 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 previosuly 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 managment, central counterparty services, and a guarantee of completion for certain transactions for virtuall 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 ammendments. | ✅ 2021-05-12 | SR-NSCC-2021-006.pdf |
| Other | |||
| 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 istead 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 tfrom twice per month to daily or weekly. | ⚠️ TBD (Comments accepted until 2021-08-03) | Regulatory-Notice-21-19.pdf |
Sources
- TLDR of Regulations
- Go / No Go Launch Checklist
- FINRA Short Interest Position Reporting Enhancements
Relevant Information/Material
For more information on Regulations, check out wikAPEdia