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DTCC Limit Monitoring Advance Access and Risk-Entity Pre-populating (11/29/2013 - A#7743)  Published Popular #

As previously announced in Important Notice A#7734, P&S#7304 dated, November 15, 2013, on that date NSCC filed a proposed rule change with the SEC, SR-NSCC-2013-12 (“Rule Filing”), to amend NSCC’s Rules 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 (“DTCC Limit Monitoring”), as more fully described in the Rule Filing.