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DTCC Limit Monitoring Access and Risk-Entity Pre-populating (11/21/2013 A#7738)  Published Popular #

As previously announced in the Important Notice A#7734, P&S# 7304, dated November 15, 2013, National Securities Clearing Corporation (“NSCC”) filed a proposed rule change with the SEC which proposed to provide NSCC Members with a risk management tool that would allow those Members to monitor trading activity and would deliver to them notifications when pre-set trading limits are reached, as more fully described in the proposed rule change available on the DTCC website.