Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYMEX Changes to NYMEX Rule 984 governing Give Up Trades (now entitled Clearing Member Acceptance of Executed Customer Trades) 11-443 11/28/2011 Certified 12/13/2011 1
CME Emergency actions taken as a result of Hurricane Sandy; 12-363. 10/29/2012 Certified 10/29/2012 1
CME Change to the Collateral Categorization for Treasury Inflation Protected Securities; 13-049. 02/14/2013 Certified 03/02/2013 1
CCH Change to rules in relation to Participant Clearing Accounts to reflect that funds are Member Property, and to prevent confusion as the current term ("segregation") implies customer property. 04/08/2013 Certified 04/23/2013 1
NADEX Rulebook amendments to identify contracts as "swaps" as defined under 17 USC 1a(47), to accommodate swaps, and reflect appropriate language. 06/14/2013 Certified 06/29/2013 1
LCHLTD Self-certification pursuant to 40.6(a) notifying of the extension of the ForexClear Client Clearing fees waiver program. 06/16/2014 Certified 07/01/2014 1
CME Implementation of the OTC (Over-The-Counter) CDS (Credit Default Swap) Fee Waiver Program 09/15/2017 Certified 09/29/2017 1
CME Weekly Notification of Rule Amendments - Week of December 25, 2017 01/03/2018 Notified 01/03/2018 1
CME Termination of the U.S. Dollar Swaptions Incentive Program 07/09/2018 Certified 07/23/2018 1
CME Weekly Notification of Rule Amendments - Week of March 30, 2020 04/08/2020 Notified 04/08/2020 1
CME Weekly Notification of Rule Amendments - Week of July 5, 2021 07/12/2021 Notified 07/12/2021 1
CME Amendments to CME Chapters 900 ("Interest Rate Products") and 901 ("Interest Rate Swaps Contract Terms") in Connection with the Implementation of 2021 ISDA Definitions for Over-the-Counter Interest Rate Swap Products 09/17/2021 Certified 10/01/2021 1
LCHLTD LCH is submitting for self-certification changes to its Rulebook required to implement a new ForexClear initiative called "Smart Clearing", that will introduce a workflow to enable selective bulk clearing of FX Forwards transactions. 08/31/2023 Certified 09/15/2023 1
EUREX Weekly Notification of Rule Amendments - Week of December 4, 2023 12/08/2023 Notified 12/08/2023 1
OCC OCC-2006-19 OCC Bankruptcy Procedures 10/12/2006 Certified 10/12/2006 1
OCC Rule primarily applicable to securities 09/29/2005 Certified 09/29/2005 1
CCORP Definition of Exchange Market is amended to add ten index futures contracts that will be traded on USFE 09/27/2007 Certified 10/04/2007 1
OCC Rule change clarifying that an individual may occupy more than one Exchange directorship and if so, would count as separate director for each for all bylaw purposes 01/12/2009 Certified 01/15/2009 1
CME Amendments to add COMEX clearing members to the definition of OTC Clearing Member and to expand the application of capital requirements with respect to additional OTC cleared-only products. 06/24/2009 Certified 06/30/2009 1
CME Rule changes to CME/CBOT/NYMEX Rules 802, 813, 816, 817, 818, 827, 913, and 930 and to CME Rule 8B04 and to various provisions in Rules 8F01 - 8F25 related to the clearing of OTC credit default swaps and to make various conforming rule changes 12/11/2009 Certified 12/24/2009 1
NYMEX Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
CME Emergency actions taken as a result of Hurricane Sandy; 12-370. 10/31/2012 Certified 10/31/2012 1
CMECE Change to Minimum IRS Clearing Member IRS Guarantee Fund Contribution 02/07/2017 Certified 02/22/2017 1
LCHLTD LCH Limited Self-Certification: Rule changes concerning the early termination rights of LCH Clearing Members 03/15/2019 Certified 03/28/2019 1
ICE NGX Amendments regarding CP Affiliates, Set-Off, Cross-Default and non-significant changes. 04/09/2021 Certified 04/23/2021 1
OCC Rule primarily applicable to securities 08/16/2005 Certified 08/16/2005 1
CCORP The definition of Exchange Market in Chapter 1 of The Clearing Corporations rules is amended to add the following product to be traded on Chicago Climate Futures Exchange, LLC: ECO-Clean Energy Index Futures. 07/12/2007 Certified 07/12/2007 1
CME Amendment to allow clearing members to accept physical gold to meet performance bond requrements. 06/24/2009 Certified 06/30/2009 1
ICLREU2 Amendments to Rules to comply with Dodd-Frank Act including the accomodation of clearing members that are registered futures commission merchants. 07/13/2011 Certified 07/13/2011 1
OCC Rules to clear and settle Spot Gold Futures, SR-OCC-2012-02 01/24/2012 Certified 02/08/2012 1
LCHSA LCH.Clearnet SA is submitting for self-certification some amendments to the Section 4 of the CDS Clearing Procedures to take into account the ISDA Semi-Annual Roll initiative lead by ISDA. 12/02/2015 Certified 12/15/2015 1
EUREX Weekly Notification of Rule Amendments - Week of September 11, 2017 09/18/2017 Notified 09/18/2017 1
CME Weekly Notification of Rule Amendments - Week of December 10, 2018 12/19/2018 Notified 12/19/2018 1
CME Weekly Notification of Rule Amendments - Week of May 27, 2019 06/05/2019 Notified 06/05/2019 1
LCHLTD LCH Limited Self-Certification: Amendments to LCH Limited's Compression Rules 10/31/2019 Certified 11/15/2019 1
MIAX Initial margin rate change 10/29/2021 Notified 10/29/2021 1
CME Weekly Notification of Rule Amendments - Week of October 16, 2023 10/23/2023 Notified 10/23/2023 1
ICE NGX Non-substantive changes to the ICE NGX Contracting Party Agreement 12/11/2023 Notified 12/11/2023 1
LCHLTD LCH Limited is submitting for self-certification amendments to its rules related to the termination of outstanding Bloomberg Short-Term Bank Yield Index ("BSBY") positions. 04/30/2024 Withdrawn 05/01/2024 1
OCC Rule primarily applicable to securities 07/13/2005 Certified 07/13/2005 1
OCC The proposed rule changes would amend OCC's by-laws and rules to permit OCC to clear and settle various types of binary options, including "fixed return options" proposed to be listed by the American Stock Exchange and binary options on broad-based securi 06/28/2007 Certified 06/28/2007 1
NYMEX Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
ICLREU2 Replacement of IntercontinentalExchange Inc. as the operator of its OTC market by ICE Commodity Markets, LLC 07/14/2011 Certified 07/14/2011 1
ICLR US Delay to the implementation of the modifications to the ICE Clear U.S. intraday variation margin call procedures described in Submission 12-72; 12-72A. 11/02/2012 Certified 11/20/2012 1
OCC Revisions to OCC's By-Laws and Rules to implement a revised method of calculating clearing members' respective contributions to OCC's clearing fund; SR-OCC-2013-02. 02/19/2013 Certified 03/06/2013 1
LCHLTD The LCH.Clearnet SwapClear service will replace its existing compression fee schedule with a new progressive, by volume, fee schedule up to a cap. A new fee is also being introduced for Portfolio Transfers up to a cap. 12/02/2015 Certified 12/16/2015 1
CME Amendments to CME/CBOT/NYMEX/COMEX Rule 853. ("Transfers of Trades and Customer Accounts"). 12/04/2017 Certified 12/18/2017 1
LCHLTD LCH LTD change to its London Deposit Rate (LDR) applicable to cleared cash balances of clearing members of the SwapClear and ForexClear services. 05/25/2018 Notified 05/25/2018 1
SGX-DC Self-certification for amendments to SGX-DC Clearing Rules, to remove the criterion of price band checks for off-market trades (OTC, NLT, EFP and EFS trades) to be registered for clearing with SGX-DC. 06/05/2019 Certified 06/19/2019 1
CME Weekly Notification of Rule Amendments - Week of October 21, 2019 10/31/2019 Notified 10/31/2019 1