Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
CBT Changes to CBT Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization 10/30/2009 Certified 11/02/2009 0
CBT Location of Clearing Firm Back Office Operations 06/18/2001 Certified 06/18/2001 0
ECC Board of Directors 12/04/2001 Certified 12/04/2001 0
OCC Gasoline Index Futures 10/26/2005 Certified 10/26/2005 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/30/2001 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/29/2001 0
NYMEX Extension of Maximum Maturity Date for Letters of Credit 12/18/2006 Certified 06/22/2007 0
OCC Default: Liens on Clearing Member Accounts 12/16/2004 Certified 12/16/2005 0
NYMEX Listing of a cleared-only OTC London Silver Forwards (cash margin) contract; 12-131 08/02/2012 Certified 08/17/2012 0
OCC Netting of Member Accounts in Case of OCC Bankruptcy 10/26/2005 Certified 10/26/2005 0
OCC Correction of Post Submission Errors 10/26/2005 Certified 10/26/2005 0
OCC Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 0
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
ICLR US Futures Spreads Cotton Sugar 03/07/2005 Certified 03/07/2005 0
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
LCHLTD Selected Margin Changes 11/08/2005 Certified 11/08/2005 0
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
NADEX Binary Hedgelets Payout Criteria 11/29/2005 Certified 11/29/2005 0
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0
CBT CBOT: EUREX-CCorp Link 05/14/2004 Certified 05/14/2004 0
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
LCHLTD Semiannual rule filing 12/01/2006 Certified 01/11/2007 0
CCORP CDX Exchange 07/28/2004 Certified 07/28/2004 0
ICLR US Clearing Member Account Structure 01/29/2001 Approved 05/23/2001 0
OCC Officers and Closing Writing Transactions 12/19/2001 Certified 12/19/2001 0
CBT Conflicts of Interest 12/20/2001 Certified 12/20/2001 0
OCC Price Adjustments Dividends Distributions 10/25/2004 Certified 10/25/2004 0
ICLR US Clearing Member Eligibility Requirements 02/20/2001 Certified 02/20/2001 0
CCORP CCORP Replaces GCC as DCO 10/01/2003 Certified 10/01/2003 0
CME Collateral Management Program 05/11/2004 Certified 05/11/2004 0
CME Equity Index Performance Bonds 02/02/2004 Certified 02/02/2004 0