pdf
Access to DTCC Limit Monitoring Through the Portal (December 5, 2013 - A#7749) 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. The proposed DTCC Limit Monitoring is also described further in Important Notice A#7698, P&S# 7268, dated September 12, 2013.