Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule change to modify fee schedule to adopt fee for Stock/Loan Hedge and Market Loan Program transactions 03/06/2009 Certified 03/12/2009 1
LCHLLC Amendments to ticker symbol formats 05/03/2010 Certified 05/17/2010 1
OCC Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. 05/24/2012 Certified 06/09/2012 1
LCHLTD Changes to the LCH Rulebook to include language with respect to the London Deposit Rate ("LDR") and Client Deposit Rate ("CDR")which is paid by LCH on credit cash balances on Clearing Member and Client accounts respectively. 06/27/2016 Certified 07/12/2016 1
EUREX Weekly Notification of Rule Amendments - Week of January 30, 2017 02/03/2017 Notified 02/03/2017 1
LCHLTD LCH Limited is notifying of changes to the London Deposit Rate, FCM London Deposit Rate, RepoClear Deposit Rate and to the Client Deposit Rate. 11/14/2022 Notified 11/14/2022 1
CCORP Definition of Exchange Market in Chapter 1 is amended to add the California Climate Action Registry- Climate Reserve Tons options on futures contract traded on CCFE. 03/11/2009 Certified 03/12/2009 1
ICECC Rule changes related to the time frame under which trades must be accepted or rejected for clearing consistent with Commission Regulations 39.12(b)(7) and 23.506. 09/20/2012 Certified 10/05/2012 1
LCHLLC LCH.Clearnet LLC is extending the eligible maturity of Overnight Index Swaps denominated in USD, EUR and GBP from 2 to 30 years. 06/12/2013 Certified 06/27/2013 1
LCHLTD LCH.Clearnet Limited has submitted for self-certification recently amended committee terms of reference. 05/02/2014 Certified 05/17/2014 1
SGX-DC Self-Certification of Amendments to SGX-DC Clearing Rules in relation to the cessation of clearing of half day forward freight agreements 08/12/2016 Certified 08/25/2016 1
CME Weekly Notification of Rule Amendments - Week of January 23, 2017 02/03/2017 Notified 02/03/2017 1
CME Weekly Notification of Rule Amendments - Week of December 14, 2020 12/21/2020 Notified 12/21/2020 1
OCC OCC is proposing to modify its rules to provide clarification regarding the applicability of certain provisions of OCC's By-Laws and Rules to the clearance and settlement of GLN 10 oz. Gold Futuress, which are proposed to be traded by NFX. SR-OCC-2013-11 07/25/2013 Certified 08/09/2013 1
CME Adoption of CME, CBOT, NYMEX, and COMEX Rule 543 and Amendments to CME, CBOT, NYMEX, and COMEX Rules 930.C. and 960. 01/05/2016 Certified 01/20/2016 1
LCHLTD Change to LCH Rulebook Procedures Section 3 (Financial Transactions) to include the new Australian PPS arrangements. 08/12/2016 Certified 08/25/2016 1
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
CME CME OTC FX Fee Waiver Program, 12-027 01/17/2012 Certified 02/01/2012 1
CME Changes to CDS Manual of Operations; Changes to CDS Price Quality Auction Parameter. 13-299 07/25/2013 Certified 08/09/2013 1
LCHLTD Self-certification relating to implementation of a margin model floor for the EnClear Clearing Service. 05/08/2014 Certified 05/23/2014 1
LCHLTD Self-certification pursuant to Sec. 40.6(a) in respect of corrections to LCH.Clearnet Limited's rules and regulations. 06/13/2014 Certified 06/28/2014 1
ICE NGX Amendment to Definitions, Section 2.6, 7.2, 7.3 and Schedule "C" of the CPA 03/14/2019 Certified 03/28/2019 1
EUREX Weekly Notification of Rule Amendments - Week of March 4, 2024 03/08/2024 Notified 03/08/2024 1
NYMEX Raises Clearing Member Fund Balance Min; Uses Hybrid Formula to Calculate Contributions; Adds Surcharge for Position Limit Exemptions; and Adds MM Mutual Funds to Acceptable Deposits 03/10/2006 Certified 03/10/2006 1
OCC Rule primarily applicable to securities 12/09/2005 Certified 12/09/2005 1
ICLR US New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin 12/15/2009 Certified 12/24/2009 1
CME Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
OCC Modify corporate governance structure of OCC, OCC-2012-01 01/20/2012 Certified 02/04/2012 1
NADEX Amendments to clarify notice of authorized trader resignation, provide for discretionary adjustment of underlying delivery month, amend title of index binary contracts for consistency, and correct typographical error in holiday product schedule guidelines 07/26/2013 Certified 08/10/2013 1
CME Self-certification of CME Clearing Advisory Notice for Performance Bond Collateral Categorization Changes. CME 14-240 06/13/2014 Certified 06/28/2014 1
CME Extension of the CME OTC FX Fee Waiver Program 12/03/2014 Certified 12/17/2014 1
NYMEX Requires Exchange Clearing Members to Own Two Exchange Memberships and 180K Shares of NYMEX Holdings Common Stock 03/13/2006 Certified 03/13/2006 1
OCC Rule primarily applicable to securities 11/09/2005 Certified 11/09/2005 1
LCHLTD LCH submits its Clearing Relationship Agreement (CRA), Termination Agreement (TA) and Tripartite Clearing Membership Agreement (TCMA). Only the latter is not subject to a request for confidential treatment. 09/22/2009 Certified 09/25/2009 1
LCHLLC Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts 12/16/2009 Certified 12/24/2009 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
ICECC Enhancements to margin methodology ("Decomp Model") 11/25/2011 Certified 12/10/2011 1
CME Acceptance for clearing of SEK, DKK and NOK Interest Rate Swaps; OIS Swaps up to 5 years; 1-month Designated Maturity for IRS denominated in EUR, GBP and JPY; 13-047. 02/14/2013 Certified 03/02/2013 1
LCHLTD LCH has amended its rules to reflect that only those clearing members that participate in the General Business services are permitted to vote on the LCH's changes to its General Business default management program. 06/13/2013 Certified 06/28/2013 1
LCHLTD Introduction of wording to set out the requirements of clearing members to participate in business continuity testing planning coordination and testing programs. 07/29/2013 Certified 08/13/2013 1
CME This submission contains product title amendments for two DJ-UBS Commodity Index futures, and for three DJ-UBS Commodity Index Cleared Swaps to reflect a change in the index calculation agent from DJ to Bloomberg. #14-243 06/16/2014 Certified 07/01/2014 1
LCHLTD LCH Limited Self-Certification: SwapClear NZD Clearing, AUD and ZAR tenor extensions 10/30/2019 Certified 11/14/2019 1
OCC Proposed rule change to modify The Options Clearing Corporation's fees for exercise notices submitted after the deadlines and to change the deadline for submitting a late exercise notice on non-expiration dates. 02/11/2020 Certified 02/26/2020 1
CME Weekly Notification of Rule Amendments - Week of May 18, 2020 05/26/2020 Notified 05/26/2020 1
LCHLTD LCH is submitting for self-certification changes to its Rulebook required to implement a new ForexClear proposal to enhance the ForexClear trade registration workflow for eligible products traded on trading venues. 08/31/2023 Certified 09/15/2023 1
OCC Rule primarily applicable to securities 10/13/2005 Certified 10/13/2005 1
OCC Amendment to interp providing guidance relating to new method for adjusting security options for cash dividends and distributions 01/06/2009 Certified 01/15/2009 1
CME Amendments to Rule 8F15 regardiing trade submission to CME Clearport 09/22/2009 Certified 09/22/2009 1
CME Revisions to Chapters 800-805 regarding OTC credit default swap contracts and contract specifications 12/11/2009 Certified 12/24/2009 1
LCHLLC Amend risk management procedures to modify stress test parameters, quarterly risk monitoring, and clarify construction of revaluation curves. 07/13/2011 Certified 07/13/2011 1