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Limit Monitoring Important Notices

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Rule Filing (SR-NSCC-2013-12) - DTCC Limit Monitoring (November 15, 2013 - A#7734)  Published Popular #

On November 15, 2013, National Securities Clearing Corporation (“NSCC”) filed a proposed rule change (SR-NSCC-2013-12) (“Rule Filing”) with the Securities and Exchange Commission (“SEC”) pursuant to Section 19(b)(2) of the Securities Exchange Act of 1934, as amended.


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DTCC Limit Monitoring Webinars and DTCC Learning Center (October 31, 2013 - A#7725)  Published Popular #

As previously announced in the Important Notice A#7698, P&S#7268, dated September 12, 2013, subject to regulatory approval, NSCC will provide its members with a risk management tool to monitor trading activity against pre-set trading limits.


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Proposed DTCC Limit Monitoring Risk Management Tool (September 12, 2013 - A#7698)  Published Popular #

Subject to regulatory approval, NSCC will provide its Members with a risk management tool to monitor trading activity against pre-set trading limits. NSCC is publishing this Important Notice to provide more information about the proposed DTCC Limit Monitoring risk management tool and the expected time frame for its launch.