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Notice2025-17815

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the CNS Fails Charge in the NSCC Rules

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Published
September 16, 2025

Issuing agencies

Securities and Exchange Commission

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<title>Federal Register, Volume 90 Issue 177 (Tuesday, September 16, 2025)</title>
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[Federal Register Volume 90, Number 177 (Tuesday, September 16, 2025)]
[Notices]
[Pages 44735-44739]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2025-17815]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-103952; File No. SR-NSCC-2025-013]


Self-Regulatory Organizations; National Securities Clearing 
Corporation; Notice of Filing of Proposed Rule Change To Amend the CNS 
Fails Charge in the NSCC Rules

September 11, 2025.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that 
on September 5, 2025, National Securities Clearing Corporation 
(``NSCC'') filed with the Securities and Exchange Commission 
(``Commission'') the proposed rule change as described in Items I, II 
and III below, which Items have been prepared by the clearing agency. 
The Commission is publishing this notice to solicit comments on the 
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Clearing Agency's Statement of the Terms of Substance of the 
Proposed Rule Change

    The proposed rule change consists of amendments to provisions in 
the NSCC Rules & Procedures (``Rules'') regarding the margin charge 
that is applied when a Member fails to settle a Short Position or a 
Long Position by the applicable settlement date (``CNS Fails 
Charge'').\3\ Specifically, the proposed changes would (i) discontinue 
the application of the CNS Fails Charge on Long Positions (i.e., fails 
to receive), (ii) eliminate the

[[Page 44736]]

Credit Risk Rating Matrix (``CRRM'') \4\ from the calculation, and 
(iii) assess the charge based on the duration that the failed Short 
Positions remains outstanding.\5\
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    \3\ The CNS Fails Charge is currently imposed by NSCC pursuant 
to Procedure XV (Clearing Fund Formula and Other Matters), Section 
I.(A)(1)(d). Id.
    \4\ The CRRM is a credit risk rating model NSCC utilizes to 
evaluate and rate the credit risk of NSCC's U.S. bank, foreign bank, 
and U.S. broker-dealer Members, and rate such Members based upon 
qualitative and quantitative information. See definition of Credit 
Risk Rating Matrix in Rule 1 (Definitions and Descriptions), infra 
note 5.
    \5\ Terms not defined herein are defined in the Rules, available 
at <a href="http://www.dtcc.com/legal/rules-and-procedures">www.dtcc.com/legal/rules-and-procedures</a>.
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II. Clearing Agency's Statement of the Purpose of, and Statutory Basis 
for, the Proposed Rule Change

    In its filing with the Commission, the clearing agency included 
statements concerning the purpose of and basis for the proposed rule 
change and discussed any comments it received on the proposed rule 
change. The text of these statements may be examined at the places 
specified in Item IV below. The clearing agency has prepared summaries, 
set forth in sections A, B, and C below, of the most significant 
aspects of such statements.

(A) Clearing Agency's Statement of the Purpose of, and Statutory Basis 
for, the Proposed Rule Change

1. Purpose
    The proposed rule change would amend provisions in the Rules 
regarding the CNS Fails Charge. Specifically, the proposed changes 
would (i) discontinue the application of the CNS Fails Charge on Long 
Positions (i.e., fails to receive), (ii) eliminate the CRRM from the 
calculation, and (iii) assess the charge based on the duration that the 
failed Short Positions remains outstanding.
(i) Overview of the Required Fund Deposit and the CNS Fails Charge
    As part of its market risk management strategy, NSCC manages its 
credit exposure to Members by calculating the appropriate Required Fund 
Deposits to the Clearing Fund and monitoring the Clearing Fund's 
sufficiency, as provided for in the Rules.\6\ The Required Fund Deposit 
serves as each Member's margin.
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    \6\ See Rule 4 (Clearing Fund) and Procedure XV, supra note 5. 
NSCC's market risk management strategy is designed to comply with 
Rule 17ad-22(e)(4) under the Act, where these risks are referred to 
as ``credit risks.'' 17 CFR 240.17ad-22(e)(4).
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    The objective of an NSCC Member's deposit is to mitigate potential 
losses to NSCC associated with a default by an NSCC Member. Each NSCC 
Member's Required Fund Deposit is comprised of several risk-based 
component charges, including the CNS Fails Charge, which is calculated 
and assessed daily. The aggregate of all Members' Required Fund 
Deposits constitutes the Clearing Fund of NSCC. NSCC would access its 
Clearing Fund should a defaulting Member's own Required Fund Deposit be 
insufficient to satisfy losses to NSCC caused by the liquidation of 
that Member's portfolio. The Clearing Fund reduces the risk that NSCC 
would need to mutualize any losses among non-defaulting members during 
the liquidation process.
    When a Member does not either deliver a Short Position or receive a 
Long Position due by the applicable Settlement Date, NSCC, as a central 
counterparty, is exposed to credit and market risks. To offset the risk 
exposures to NSCC and to incentivize Members to satisfy their 
obligations relating to their outstanding trades on Settlement Date, 
NSCC currently calculates and collects the CNS Fails Charge from 
Members with Short Positions and Long Positions that did not settle on 
the Settlement Date (``CNS Fails Positions''). The amount of the CNS 
Fails Charge imposed on a Member varies based on the Member's credit 
rating derived from the CRRM.
    The CNS Fails Charge is calculated by multiplying the Current 
Market Value for such Member's aggregate CNS Fails Positions by a 
percentage. For a Member that is not rated on the CRRM and for a Member 
that is rated 1 through 4 on the CRRM, the CNS Fails Charge is 5% of 
the Member's aggregate CNS Fails Positions. For a Member that is rated 
5 or 6 on the CRRM, the CNS Fails Charge is 10% of the Member's 
aggregate CNS Fails Positions. For a Member that is rated 7 on the 
CRRM, the CNS Fails Charge is 20% of the Member's aggregate CNS Fails 
Positions.
(ii) Proposed Changes to the CNS Fails Charge
    NSCC regularly assesses its margining methodologies to evaluate 
whether margin levels are commensurate with the particular risk 
attributes of each relevant product, portfolio, and market. In 
connection with such reviews, NSCC is proposing to enhance the CNS 
Fails Charge by (a) discontinuing the application of the CNS Fails 
Charge on Long Positions, (b) eliminating the CRRM from the 
calculation, and (c) assessing the charge based on the duration that 
the Short Position has been failing to be delivered as discussed below.
(a) Discontinue CNS Fails Charge on Long Positions
    NSCC's Continuous Net Settlement System (``CNS'') is an automated 
accounting and securities settlement system that centralizes and nets 
the settlement of compared and recorded securities transactions and 
maintains an orderly flow of security and money balances.\7\ Within 
CNS, all eligible compared and recorded transactions for a particular 
Settlement Date are netted by issue into one position per Member. The 
position can be a net Long Position (receive), net Short Position 
(deliver) or flat. As a continuous net system, those positions are 
further netted with positions of the same CNS Security that remain open 
after their original scheduled settlement date (usually one business 
day after the trade date or T+1), so that transactions scheduled to 
settle on any day are netted with CNS Fails Positions (i.e., positions 
that have failed in delivery or receipt on the Settlement Date), which 
results in a single deliver or receive obligation for each Member for 
each CNS Security in which the Member has activity.
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    \7\ See NSCC Rule 11 (CNS System) and Procedure VII (CNS 
Accounting Operation), supra note 5.
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    CNS is a net flat system and allocates shares received via an 
algorithm to those who are set to receive. CNS can only allocate shares 
if a Member with a Short Position makes the delivery into CNS on the 
Settlement Date. Members have limited control \8\ on whether they will 
receive shares from CNS if the corresponding Members set to deliver do 
not deliver shares in their entirety to CNS. Given this limited ability 
to control if they are allocated shares that they are set to receive, 
NSCC believes it is not appropriate to assess a CNS Fails Charge on 
Members who fail to receive an allocation from CNS for a Long Position.
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    \8\ NSCC provides a ``Buy-In'' process which enables receiving 
Members to (i) submit a Buy-In Intent and receive priority on 
allocation of receipt of securities and (ii) allow Members that have 
failed to receive securities by settlement date the ability to 
purchase the securities in the market to cover their fails position. 
See Section J of Procedure VII and Procedure X (Execution of Buy-
Ins), supra note 5.
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    In addition, CNS Fails Positions, including Long Positions where 
the Member failed to receive, are currently subject to NSCC's normal 
risk margining procedures and risk associated with these positions is 
accounted for in the existing risk calculations. Fail positions are re-
netted into Members' unsettled guaranteed portfolios, which is subject 
to NSCC's full margin methodology. The CNS Fails Charge, while part of 
that methodology, is an additive charge on

[[Page 44737]]

top of the model-based components and any Market-to-Market collected.
    As part of its ongoing review of risk management programs--and in 
conjunction with other proposed changes to the CNS Fails Charge 
outlined below--NSCC is proposing to eliminate the application of the 
CNS Fails Charge on failed Long Positions.
(b) Eliminate CRRM From CNS Fails Charge Calculation
    The CNS Fails Charge is currently calculated using a percentage 
based on each Member's CRRM rating. The risk posed from the fail to 
deliver is specific to the individual position that is failing, and 
NSCC believes that a better measure of the risk related to the CNS 
Fails Position is how long the position has been outstanding. As the 
risk posed by the failed position is less influenced by the Member that 
failed to make delivery, NSCC believes that the CNS Fails Charge should 
not be scaled to Member specific criteria such as CRRM and is therefore 
proposing to eliminate CRRM from the CNS Fails Charge calculation and 
replacing it with a charge based on the length of time that the CNS 
Fails Position remains outstanding.
(c) Assess Charge Based on Length Outstanding
    While any position specific risk from a failed position is 
addressed by NSCC's existing margin methodology, a position for which a 
Member has been failing to deliver for an extended period may be 
indicative of additional risk associated with the position. To 
encourage timely delivery of settlement obligations and address this 
additional risk, NSCC is proposing to assess the CNS Fails Charge using 
a percentage ranging from 5% to 100% based on the length of time a 
Member has been failing to deliver a position. The percentages 
initially will be (i) 5% for CNS Fails Positions that have remained 
outstanding 1 to 4 Business Days, (ii) 15% for CNS Fails Positions that 
have remained outstanding 5 to 10 Business Days, (iii) 20% for CNS 
Fails Positions that have remained outstanding 11 to 20 Business Days, 
and (iv) 100% for CNS Fails Positions that have remained outstanding 
longer than 20 Business Days. If a Member delivers a position for a CNS 
Fails Position in the night cycle following the applicable settlement 
date, NSCC will account for the delivery amount and offset the failed 
quantity by the quantity delivered in the night cycle. Additionally, if 
a Member's start of day position in a CUSIP that failed to be delivered 
the prior settlement date is net long for the portion of that position 
settling on the current business date, a fails charge will not be 
assessed.
    The proposed percentages are designed to provide a mechanism to 
reduce fails and protect NSCC from potentially incurring higher costs 
in sourcing the CNS Fails Positions in a Member default event, where 
the haircut applied increases the longer the CNS Fails Position remains 
outstanding. NSCC determined the proposed percentages by using the 
existing haircut range of 5-20% for the current CNS Fails Charge as a 
baseline for charges under the new proposal. NSCC then escalated the 
charge to 100% for fails aged over 20 Business Days, which is grounded 
in both risk sensitivity and behavioral incentives. NSCC determined 
that the risk associated with a failed position increases the longer it 
remains unsettled. While short-term fails may reflect operational 
delays, extended fails, especially those exceeding 20 Business Days, 
might signal a reduced or impaired market liquidity that increases 
market price risk to NSCC. The proposed 100% charge is intended to 
reflect this elevated risk exposure and ensure NSCC is adequately 
protected. By escalating the charge to 100% after 20 Business Days, 
NSCC aims to discourage prolonged settlement failures and promote 
market discipline.
    In connection with its regular assessment of its margining 
methodologies, NSCC would review the CNS Fails Charge haircut 
percentages to determine the effects on the Members and whether the 
percentages continue to be adequate.
    NSCC will post the applicable percentages for CNS Fails Positions 
on its website and provide reports to Members detailing their open 
positions, including their CNS Fails Positions and associated CNS Fails 
Charges for each.
(iii) Detailed Description of the Proposed Rule Changes
    NSCC is proposing to revise the definition of CNS Fails Position in 
Rule 1 to remove Long Position.
    NSCC is also proposing to amend Procedure XV, Section I.(A)(1)(d) 
to remove the references to CRRM and provide that Members would be 
charged percentages for CNS Fails Position ranging from 5% to 100% 
based on the number of Business Days that the CNS Fails Positions have 
remained outstanding. The proposed changes would provide that NSCC 
shall post the applicable percentages on the NSCC website, and the 
percentages may be updated from time to time as announced by Important 
Notice.
(iv) Member Impact of Proposed Changes
    NSCC conducted an impact study of the proposed changes based on 
data from January 2, 2024 through April 30, 2025 (``Impact Study''). 
The Impact Study indicated that if the proposed changes had been in 
place during the Impact Study period, the proposed changes would have 
led to an aggregate reduction in CNS Fails Charges by approximately 
56.1% or $238.5 million. This reduction was primarily due to the 
removal of the charge on Long Positions. NSCC observed a charge 
decrease of 16.9%, or $35.6 million, in failure to deliver positions 
during the Impact Study. This was primarily due to increases in the CNS 
Fails Charge on older CNS Fails Positions which offset the reduction in 
charge on positions failing for only a few days. The Impact Study also 
revealed that NSCC level backtest coverage remained above 99%, and no 
Member level coverage fell below 99%, with the proposed changes.
    The Impact Study indicated that the largest increase in CNS Fails 
Charges for any Member would have been $12.7 million on average, and 
the largest decrease in CNS Fails Charges for any Member would have 
been $41.1 million on average had the proposed changes been in place 
during the Impact Study period.
(v) Implementation Timeframe
    NSCC would implement the proposed rule changes by no later than 60 
Business Days after the approval of the proposed rule change by the 
Commission. NSCC would announce the effective date of the proposed 
changes by an Important Notice posted to its website.
2. Statutory Basis
    NSCC believes that the proposed rule change is consistent with the 
requirements of the Act and the rules and regulations thereunder 
applicable to a registered clearing agency. Specifically, NSCC believes 
that the proposed rule change is consistent with Section 17A(b)(3)(F) 
of the Act \9\ and Rules 17ad-22(e)(4) and (e)(6)(i),\10\ each as 
promulgated under the Act, for the reasons described below.
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    \9\ 15 U.S.C. 78q-1(b)(3)(F).
    \10\ 17 CFR 240.17ad-22(e)(4) and (e)(6)(i).
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    Section 17A(b)(3)(F) of the Act requires that the Rules be designed 
to promote the prompt and accurate clearance and settlement of 
securities transactions and to assure the safeguarding of securities 
and funds which are in the custody or control of

[[Page 44738]]

NSCC or for which it is responsible.\11\ The proposed rule changes to 
modify the assessment and collection of the CNS Fails Charge would 
enable NSCC to more appropriately and accurately calculate a CNS Fails 
Charge based on the risk failed positions pose to NSCC. First, the 
proposed changes would provide a more appropriate and effective 
incentive for Members to limit outstanding fails positions. The removal 
of the charge on Long Positions is appropriate as Members have limited 
control on whether they will receive shares from CNS if the 
corresponding Members do not deliver their shares in their entirety to 
CNS, and risk associated with these positions is adequately accounted 
for in the existing risk calculations. In addition, providing an 
increasing CNS Fails Charge based on how long the CNS Fails Position 
has been outstanding would provide a greater incentive to Members to 
deliver on aged CNS Fails Positions. Second, the proposed changes would 
provide for a charge that more accurately reflects the risk of the CNS 
Fails Positions. Replacing the CRRM criteria with percentages based on 
the age of the CNS Fails Positions would lead to a more accurate 
calculation of the CNS Fails Charge because the risk associated with 
the fail to deliver is specific to the individual position that is 
failing. Therefore, a better measure of the risk related to the CNS 
Fails Position is the duration the position has been outstanding, 
rather than a Member's CRRM rating that failed to deliver the position 
into CNS. More accurately and effectively mitigating NSCC's risk 
exposure from CNS Fails Positions would promote the prompt and accurate 
clearance and settlement of securities transactions, consistent with 
Section 17A(b)(3)(F) of the Act.
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    \11\ 15 U.S.C. 78q-1(b)(3)(F).
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    Rule 17ad-22(e)(4) under the Act requires NSCC to establish, 
implement, maintain and enforce written policies and procedures 
reasonably designed to effectively identify, measure, monitor and 
manage its credit exposures to participants and those exposures arising 
from its payment, clearing and settlement processes.\12\ The CNS Fails 
Charge is being imposed on Members with CNS Fails Positions in order to 
reduce credit exposures to NSCC resulting from those positions. As 
proposed, it is designed to obtain from such Members financial 
resources commensurate with the credit exposures posed to NSCC by such 
Member's CNS Fails Positions. The proposed changes would result in a 
more appropriate and accurate assessment and calculation of CNS Fails 
positions based on the risk exposure to NSCC. Removing the charge for 
Long Positions is appropriate as Members have limited control on the 
ability to receive and risk associated with these positions is 
adequately accounted for in the existing risk calculations. Replacing 
the CRRM criteria with percentages based on the age of the CNS Fails 
Positions would lead to a more accurate calculation of the CNS Fails 
Charge because the risk associated with the fail to deliver is specific 
to the individual position that is failing. A better measure of the 
risk related to the CNS Fails Position is the duration the position has 
been outstanding, rather than a Member's CRRM rating that failed to 
deliver the position into CNS. Therefore, NSCC believes that management 
of its credit exposures to its Members through a more appropriate and 
accurate CNS Fails Charge is consistent with Rule 17ad-22(e)(4) under 
the Act.
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    \12\ 17 CFR 240.17ad-22(e)(4).
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    Rule 17ad-22(e)(6)(i) under the Act requires NSCC to establish, 
implement, maintain and enforce written policies and procedures 
reasonably designed to cover its credit exposures to its Members by 
establishing a risk-based margin system that, at a minimum, considers, 
and produces margin levels commensurate with, the risks and particular 
attributes of each relevant product, portfolio and market.\13\ When 
applicable, the CNS Fails Charge is a component of a Member's Required 
Fund Deposit and is designed to cover NSCC's credit exposures to 
Members with CNS Fails Positions. As described above, the CNS Fails 
Charge would be determined based on the amount of time that a fails 
position remains outstanding which would be more commensurate with the 
risk of such positions and provide a greater incentive to timely 
deliver settlement obligations. Therefore, NSCC believes the coverage 
of its credit exposures to its Members through the CNS Fails Charge is 
consistent with Rule 17ad-22(e)(6)(i) under the Act.
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    \13\ 17 CFR 240.17ad-22(e)(6)(i).
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(B) Clearing Agency's Statement on Burden on Competition

    NSCC believes that the proposed rule change could have an impact on 
competition. The proposed rule change could burden competition because 
it could result in increased margin charges for certain Members and a 
decrease for others depending on their individual portfolios and their 
CNS Fails Positions. When the proposed rule change results in a larger 
Required Fund Deposit, the proposed change could burden competition for 
Members that have lower operating margins or higher costs of capital 
compared to other Members. NSCC does not believe that the proposed rule 
change would impose any burden on competition that is not necessary or 
appropriate in furtherance of the Act.\14\ NSCC believes that the CNS 
Fails Charge is necessary for NSCC to limit its exposures to potential 
losses from defaults by Members with CNS Fails Positions. Additionally, 
NSCC believes that the proposed changes to the CNS Fails Charge are 
appropriate because the charge would be imposed on Members on an 
individualized basis and is reasonably calculated based on the amount 
of time that the fails remain outstanding as well as the risks posed to 
NSCC by the Members' CNS Fails Positions. In addition, the increase in 
Required Fund Deposit would be in direct relation to the specific risks 
presented by each Member's Net Unsettled Positions, and each Member's 
Required Fund Deposit would continue to be calculated with the same 
parameters and at the same confidence level for each Member. Therefore, 
Members that present similar Net Unsettled Positions, regardless of the 
type of Member, would have similar impacts on their Required Fund 
Deposit amounts. Therefore, NSCC believes any burden on competition 
imposed by the CNS Fails Charge would be necessary and appropriate in 
furtherance of the Act in order to limit NSCC's exposures to the risks 
being mitigated by such charge.
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    \14\ 15 U.S.C. 78q-1(b)(3)(I).
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(C) Clearing Agency's Statement on Comments on the Proposed Rule Change 
Received From Members, Participants, or Others

    NSCC has not received or solicited any written comments relating to 
this proposal. If any written comments are received by NSCC, they will 
be publicly filed as an Exhibit 2 to this filing, as required by Form 
19b-4 and the General Instructions thereto.
    Persons submitting comments are cautioned that, according to 
Section IV (Solicitation of Comments) of the Exhibit 1A in the General 
Instructions to Form 19b-4, the Commission does not edit personal 
identifying information from comment submissions. Commenters should 
submit only information that they wish to make available publicly, 
including their name, email address, and any other identifying 
information.
    All prospective commenters should follow the Commission's 
instructions on

[[Page 44739]]

how to submit a comments, available at <a href="http://www.sec.gov/rules-regulations/how-submit-comment">www.sec.gov/rules-regulations/how-submit-comment</a>. General questions regarding the rule filing process 
or logistical questions regarding this filing should be directed to the 
Main Office of the Commission's Division of Trading and Markets at 
<a href="/cdn-cgi/l/email-protection#2a5e584b4e43444d4b444e474b58414f5e596a594f49044d455c"><span class="__cf_email__" data-cfemail="65111704010c0b02040b010804170e001116251600064b020a13">[email&#160;protected]</span></a> or 202-551-5777.
    NSCC reserves the right to not respond to any comments received.

III. Date of Effectiveness of the Proposed Rule Change, and Timing for 
Commission Action

    Within 45 days of the date of publication of this notice in the 
Federal Register or within such longer period up to 90 days (i) as the 
Commission may designate if it finds such longer period to be 
appropriate and publishes its reasons for so finding or (ii) as to 
which the self-regulatory organization consents, the Commission will:
    (A) by order approve or disapprove such proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule 
change should be disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether the proposed rule 
change is consistent with the Act. Comments may be submitted by any of 
the following methods:

Electronic Comments

    <bullet> Use the Commission's internet comment form (<a href="https://www.sec.gov/rules/sro.shtml">https://www.sec.gov/rules/sro.shtml</a>); or
    <bullet> Send an email to <a href="/cdn-cgi/l/email-protection#0775726b622a64686a6a626973744774626429606871"><span class="__cf_email__" data-cfemail="7604031a135b15191b1b131802053605131558111900">[email&#160;protected]</span></a>. Please include 
file number SR-NSCC-2025-013 on the subject line.

Paper Comments

    <bullet> Send paper comments in triplicate to Secretary, Securities 
and Exchange Commission, 100 F Street NE, Washington, DC 20549.

All submissions should refer to file number SR-NSCC-2025-013. This file 
number should be included on the subject line if email is used. To help 
the Commission process and review your comments more efficiently, 
please use only one method. The Commission will post all comments on 
the Commission's internet website (<a href="https://www.sec.gov/rules/sro.shtml">https://www.sec.gov/rules/sro.shtml</a>). Copies of the filing will be available for inspection and 
copying at the principal office of NSCC and on DTCC's website 
(<a href="http://www.dtcc.com/legal/sec-rule-filings">www.dtcc.com/legal/sec-rule-filings</a>). Do not include personal 
identifiable information in submissions; you should submit only 
information that you wish to make available publicly. We may redact in 
part or withhold entirely from publication submitted material that is 
obscene or subject to copyright protection. All submissions should 
refer to File Number SR-NSCC-2025-013 and should be submitted on or 
before October 7, 2025.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\15\
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    \15\ 17 CFR 200.30-3(a)(12).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2025-17815 Filed 9-15-25; 8:45 am]
BILLING CODE 8011-01-P


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