Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CCORP Reorganization & Proxy Materials 09/24/2003 Certified 09/24/2003 0
CME Cross-Margining Program 11/19/2003 Certified 11/19/2003 0
CME FICC Cross-Margining 11/21/2003 Certified 11/21/2003 0
NYMEX Acceptable Original Margin 12/07/2001 Certified 12/07/2001 0
ECC By-Laws and Rules 06/22/2003 Certified 06/23/2003 0
CME Remote Clearing 10/22/2002 Certified 10/22/2002 0
CCORP Categories of Governors 12/09/2002 Certified 12/09/2002 0
ECC Fraud Insurance 07/18/2002 Certified 07/18/2002 0
CBT New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
ECC Interim Board of Directors 09/10/2002 Certified 09/10/2002 0
NYMEX New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
ECC Product, Member Rules 07/09/2002 Certified 07/09/2002 0
ECC VMAC 10/10/2002 Certified 10/10/2002 0
CME Anti Money Laundering 12/17/2002 Certified 12/17/2002 0
CME Settlements, Settlement Prices 11/01/2002 Certified 11/01/2002 0
CME Protection of ClearingHouse Default 08/09/2002 Certified 08/09/2002 0
CME OCC as Clearinghouse 04/22/2002 Certified 04/22/2002 0
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
LCHLTD SwapClear Members & Dealers 11/25/2002 Certified 11/25/2002 0
LCHLTD Procedural Amendments 11/01/2002 Certified 11/01/2002 0
LCHLTD Collateral Rules 11/08/2002 Certified 11/08/2002 0
LCHLTD SwapClear Fees & Charges 11/01/2002 Certified 11/01/2002 0
LCHLTD Endex Clearing (Dutch Electricity) 12/16/2002 Certified 12/16/2002 0
LCHLTD EnClear Natural Gas 09/12/2002 Certified 09/12/2002 0
ICLR US Default Fund Rule Amendment Approved 08/20/2002 Approved 08/20/2002 0
NYMEX Trade submission deadlines 12/13/2002 Certified 12/13/2002 0
NYMEX Transco Basis SWAPs 11/05/2002 Certified 11/05/2002 0
NYMEX OTC Trade Submission 09/25/2002 Certified 09/25/2002 0
NADEX Trading Members on the Intermediated Market 07/07/2006 Certified 07/07/2006 0
NYMEX Protection of Clearing House Cross Margining 08/08/2002 Certified 08/08/2002 0
NYMEX OTC Energy Options 07/26/2002 Certified 07/26/2002 0
NYMEX Guaranty Fund 07/26/2002 Certified 07/26/2002 0
NYMEX Default Rules 07/15/2002 Certified 07/15/2002 0
NADEX CBOE Merger 02/21/2006 Certified 02/21/2006 0
OCC Assignment Procedures, Exercise Notices 08/14/2002 Certified 08/14/2002 0
LCHLTD General Regulations 01/31/2006 Certified 12/31/2006 0
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
ICLR US Mutual Funds Guaranty Fund 10/03/2006 Certified 10/03/2006 0
OCC Multiple Accounts of Clearing Members 11/19/2002 Certified 11/19/2002 0
LCHLTD Amended Default Rules September 2006 09/14/2006 Certified 09/14/2006 0
OCC Market Makers as Segregated Customers 10/17/2002 Certified 10/17/2002 0
OCC FCM requirements 10/08/2002 Certified 10/08/2002 0
OCC Stocks Hedge Loan Program 10/02/2002 Certified 10/02/2002 0
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 0
ICLR US CLS System 07/13/2006 Certified 07/13/2006 0
NYMEX OTC Floor Member Guarantee 02/03/2006 Certified 02/03/2006 0