Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLTD Financial Resource Data 10/19/2006 Certified 10/20/2006 0
CME Securities Lending Program 02/02/2001 Certified 02/02/2001 0
CME Proposed Addition of iShares S&P 100 Index Fund to Cross-Margining Program 02/09/2001 Certified 02/09/2001 0
NADEX VPH Contracts 02/27/2004 Certified 02/27/2004 0
NADEX Heating Oil and Propane Contracts 02/27/2004 Certified 02/27/2004 0
CME Clearing Membership Requirements 03/15/2001 Certified 03/15/2001 0
CME Protection of Clearing House 04/09/2001 Certified 04/09/2001 0
MIAX Exchange Regulatory Fee 01/31/2001 Certified 01/31/2001 0
LCHLTD Penultimate Henry Hub Nat Gas Options & Swaps 01/16/2004 Certified 01/16/2004 0
CME Security Deposit 04/09/2001 Certified 04/09/2001 0
MIAX MGEXPress Electronic Trading System 11/13/2001 Approved 12/12/2001 0
MIAX Gross Speculative Position Limits 01/16/2004 Certified 01/16/2004 0
CME Limitation of Liability 04/09/2001 Certified 04/09/2001 0
CCORP Revision of Cross-Margining Arrangement with Goverment Securities Clearing Corporation 04/03/2001 Certified 04/03/2001 0
CME Satisfaction of Clearing House Obligation 04/20/2001 Certified 04/20/2001 0
ICLR US Self Clearing Members 08/17/2004 Certified 08/17/2004 0
ICLR US Individual Clearing Members 06/24/2004 Certified 06/24/2004 0
CME Security Deposit 07/05/2001 Certified 07/05/2001 0
CME Performance Bond Requirement 07/05/2001 Certified 07/05/2001 0
CME Cross-Margining Program with the Government Securities Clearing Corporation 07/30/2001 Certified 07/30/2001 0
CME Reorganization Plan 08/31/2001 Approved 11/16/2001 0
CME Liquidity Facility 10/25/2001 Certified 10/25/2001 0
ICLR US NYBOT Merger 05/06/2004 Certified 05/06/2004 0
CME Clearing Membership 11/30/2001 Certified 11/30/2001 0
CME Acceptable Performance Bond Deposits 11/30/2001 Certified 11/30/2001 0
CME Clearing Member Approval 11/30/2001 Certified 11/30/2001 0
NYMEX Amendments to comply with CFTC Regs 39.12(a)(5)(B) and 39.13(h)(5) re: clearing member reporting; 12-067 03/07/2012 Certified 03/22/2012 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Original Margin Depositories and Letters of Credit 03/03/2005 Certified 03/08/2005 0
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
CBT CBOT Approved as DCO Approval Process Required Implementing Rules 10/07/2003 Certified 10/07/2003 0
CBT Rule 701.1 Transfer of Clearing Accounts 10/07/2003 Certified 07/14/2003 0
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
CBT Transfer of Clearing Accounts 08/06/2003 Certified 08/06/2003 0
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
CME Clearing Membership Assignment Requirements 04/23/2003 Certified 04/23/2003 0
ICLR US Segregation Requirements 07/17/2003 Certified 07/17/2003 0
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
ICLR US Closing Out Positions of Expelled or Suspended Clearing Members 02/24/2003 Certified 02/24/2003 0
ICLR US Price Limits Margining 12/15/2003 Certified 12/15/2003 0
NYMEX Eliminates OTC Reference 01/22/2003 Certified 01/22/2003 0
NYMEX Consolidation of NYMEX & COMEX Clearing 05/14/2003 Certified 05/14/2003 0
NYMEX PJM Electricity Futures 04/10/2003 Certified 04/10/2003 0
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
CCORP Non-cash margin 02/20/2003 Certified 02/20/2003 0
BCC Ownership Structure 07/03/2001 Certified 07/03/2001 0