Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SGX-DC Weekly notification of rule amendments for the week of 3 July 2017. 07/12/2017 Notified 07/12/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 101-17 related to allowing combining the regular clearing licenses with licenses for securities lending and/or repo, and allowing use of euros to meet a disruption in foreign currencies 10/16/2017 Certified 10/30/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 007-18 related to the introduction of four additional futures on Bloomberg commodity indices 01/24/2018 Certified 02/07/2018 2
ICLR US ICUS has determined to move to a direct settlement model that allows clearing members to utilize Qualified Financial Institutions (QFIs) which may or may not be related to the Approved Financial Institutions (AFIs) utilized by ICUS. 03/22/2018 Withdrawn 04/04/2018 2
ICLREU2 ICEU hereby submits notification of a non-substantive revision to ICE Clear Europe's Business Continuity Procedures. 11/30/2018 Notified 11/30/2018 2
EUREX Proposed rule amendments in Eurex Clearing Circular 016-19 related to updating the Force Majeure Clause amendments set forth in Rule Certification 007-19 and accompanying Eurex Clearing Circular 007-19 02/19/2019 Certified 03/05/2019 2
ICECC ICC proposes amendments to its Clearing Rules relating to membership requirements. 05/14/2020 Certified 05/29/2020 2
OCC Certification of Technical Changes to the By-Laws and Rules of the Options Clearing Corporation 08/06/2021 Certified 08/20/2021 2
EUREX Proposed rule amendments in Eurex Clearing Circular 050-17 relating to the dispute resolution procedure and settlement of UK equities in securities lending transactions 06/05/2017 Certified 06/19/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 080-17 related to introduction of Eurex Market-on-Close Futures on EURO STOXX 50r Futures 08/28/2017 Certified 09/12/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 101-18 related to the issuance of OTC direct debit margin calls and clearing members' cash account infrastructure for euro and Swiss franc 11/30/2018 Certified 12/14/2018 2
ICECC ICE Clear Credit LLC ("ICC") proposes to formalize the ICC Risk Parameter Setting and Review Policy. 02/19/2019 Certified 03/05/2019 2
EUREX Proposed rule amendments in Eurex Clearing Circular 008-20 related to supporting all master agreement types (i.e. ISDA, DRV, AFB/FBF, EMA, "sterreichischer Rahmenvertrag fr Finanztermingeschfte", etc.) for OTC IRD, XCCY, and original Swap transactions 01/21/2020 Certified 02/04/2020 2
EUREX Proposed rule amendments in Eurex Clearing Circular 106-20 related to the extension of the enhanced volume rebate methodology for exchange traded derivatives transactions on Eurex Deutschland. 12/08/2020 Certified 12/22/2020 2
LCHSA LCH SA is submitting for self-certification some amendments to its Liquidity Risk Modeling Framework (Operational Target...). 02/23/2023 Certified 03/08/2023 2
NYMEX NYMEX COMEX Energy and Metals Products Cross-Venue Incentive Program 11-416 11/14/2011 Certified 11/30/2011 2
OCC Changes to ensure technical compliance with final CFTC Part 39 regulations 12/19/2011 Certified 01/05/2012 2
EUREX Proposed rule changes in Eurex Clearing Circular 076-16 related to delisting derivatives on the Dow Jones Global Titans and Dow Jones Sector Titans indices 06/08/2016 Certified 06/22/2016 2
SGX-DC Weekly notification of rule amendments for the week of 2 January 2017 01/13/2017 Notified 01/13/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 042-18 related to the penalty fee regime for late deliveries on dividend record dates for transactions concluded at the Frankfurter Wertpapierbrse and securities lending transactions 05/08/2018 Certified 05/22/2018 2
ICLREU2 ICE Clear Europe proposes to amend certain provisions of its Clearing Rules (and specifically its Continuing CDS Rule Provisions) relating to termination by the Clearing House of the membership of a CDS Clearing Member. 01/24/2019 Certified 02/07/2019 2
EUREX Proposed rule amendments in Eurex Clearing Circular 025-21 related to supporting the Eurex EnLight product scope extension for FX derivatives 03/17/2021 Certified 03/31/2021 2
OCC Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees 05/10/2021 Certified 05/24/2021 2
CME Incentive Program for OTC interest rate swaps 12/20/2011 Certified 01/06/2012 2
CME Modifications to the CME Incentive Program for Over-The-Counter Interest Rate Swaps 12/02/2016 Certified 12/16/2016 2
ICECC ICC proposes revising its End-of-Day Price Discovery Policies and Procedures to make changes related to the implementation of ICC's new Clearing Participant direct price submission process. 03/08/2017 Certified 03/22/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 043-18 related to clarifying one license requirement and confirming the effective date for introduction of the FIC Board Advisory Committee 05/08/2018 Certified 05/22/2018 2
SGX-DC Weekly notification of rule amendments for the week of 3 September 2018. 09/13/2018 Notified 09/13/2018 2
ICLREU2 ICE Clear Europe is adopting a new Model Risk Governance Framework (the "MRGF"), which is intended to establish overall standards and principles for managing and mitigating model risk, for all product categories. 02/19/2019 Certified 03/05/2019 2
LCHLTD LCH Limited is submitting for self-certification updates to the ForexClear fee schedule that will be effective not earlier than April 1, 2021. 03/17/2021 Certified 03/31/2021 2
OCC OCC Rule Certification Concerning Changes to its Governance Arrangements 08/09/2021 Certified 08/23/2021 2
CME Founding Members OTC interest rate swaps incentive program 12/20/2011 Certified 01/06/2012 2
SGX-DC Weekly notification of rule amendments for the week of 22 January 2018. 01/28/2018 Notified 01/28/2018 2
EUREX Proposed amendments in Eurex Clearing Circular 016-22 relating to updating the daily settlement price determination provisions for future contracts 03/16/2022 Certified 03/30/2022 2
NYMEX OTC Broker Incentive Program 12/20/2011 Withdrawn 01/05/2012 2
ICLR US Self-Certification Pursuant to Commission Rule 40.6 - Physically Settled Digital Currency Contracts 05/23/2019 Certified 06/07/2019 2
SGX-DC Weekly notification of rule amendments for the week of 9 December 2019. 12/17/2019 Notified 12/17/2019 2
ICECC ICC hereby submits notification of changes to risk parameters established by ICC in consultation with the ICC Risk Committee, Trading Advisory Group and/or Risk Working Group. 01/22/2021 Notified 01/22/2021 2
ICLREU2 ICE Clear Europe modifies its Articles of Association. 06/22/2021 Certified 07/07/2021 2
OCC Rule change to specify auction process as one possible way to liquidate a defaulting clearing member 06/30/2011 Certified 06/30/2011 2
NYMEX Incentive program for OTC Natural Gas products 12/20/2011 Withdrawn 01/05/2012 2
SGX-DC Rule amendments to clarify the scope of Clearing Members' obligation to provide information to SGX-DC for trade reporting purposes. 03/07/2014 Certified 03/22/2014 2
ICECC ICC hereby submits notification of changes to risk parameters established by ICC in consultation with the ICC Risk Committee, Trading Advisory Committee and/or Risk Working Group. 01/13/2017 Notified 01/13/2017 2
OCC Proposed rule change concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation. 01/22/2021 Certified 02/05/2021 2
CME Modifications to the CME Risk Management Framework 06/22/2021 Certified 07/07/2021 2
OCC Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. 06/06/2017 Certified 06/20/2017 2
OCC Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. 07/31/2018 Certified 08/14/2018 2
SGX-DC Weekly notification of rule amendments for the week of 11 February 2019. 02/21/2019 Notified 02/21/2019 2
SGX-DC Weekly notification of rule amendments for the week of 9 September 2019. 09/19/2019 Notified 09/19/2019 2
SGX-DC Weekly notification of rule amendments for the week of 28 November 2016. 12/04/2016 Notified 12/04/2016 2