Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
MIAX Exchange Regulatory Fee 01/31/2001 Certified 01/31/2001 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
ICLR US Clearing Member Eligibility Requirements 02/20/2001 Certified 02/20/2001 0
NYMEX Investment of Customer Segregated Funds in Money Market Mutual Funds 02/20/2001 Certified 02/20/2001 0
CME Clearing Membership Requirements 03/15/2001 Certified 03/15/2001 0
CCORP Revision of Cross-Margining Arrangement with Goverment Securities Clearing Corporation 04/03/2001 Certified 04/03/2001 0
CME Protection of Clearing House 04/09/2001 Certified 04/09/2001 0
CME Security Deposit 04/09/2001 Certified 04/09/2001 0
CME Limitation of Liability 04/09/2001 Certified 04/09/2001 0
CME Satisfaction of Clearing House Obligation 04/20/2001 Certified 04/20/2001 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
ICLR US Clearing Member Account Structure 01/29/2001 Approved 05/23/2001 0
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
CBT Location of Clearing Firm Back Office Operations 06/18/2001 Certified 06/18/2001 0
BCC Ownership Structure 07/03/2001 Certified 07/03/2001 0
CME Security Deposit 07/05/2001 Certified 07/05/2001 0
CME Performance Bond Requirement 07/05/2001 Certified 07/05/2001 0
CCORP Listing of Products Eligible for BOTCC-GSCC Cross-Margining 07/20/2001 Certified 07/20/2001 0
CME Cross-Margining Program with the Government Securities Clearing Corporation 07/30/2001 Certified 07/30/2001 0
ICLR US Committees; Guaranty Fund 08/16/2001 Certified 08/20/2001 0
CME Liquidity Facility 10/25/2001 Certified 10/25/2001 0
CME Reorganization Plan 08/31/2001 Approved 11/16/2001 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/29/2001 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/30/2001 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
ECC Board of Directors 12/04/2001 Certified 12/04/2001 0
NYMEX Acceptable Original Margin 12/07/2001 Certified 12/07/2001 0
MIAX MGEXPress Electronic Trading System 11/13/2001 Approved 12/12/2001 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
CME OCC as Clearinghouse 04/22/2002 Certified 04/22/2002 0
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0
ECC Product, Member Rules 07/09/2002 Certified 07/09/2002 0
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
NYMEX Default Rules 07/15/2002 Certified 07/15/2002 0
ECC Fraud Insurance 07/18/2002 Certified 07/18/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
NYMEX OTC Energy Options 07/26/2002 Certified 07/26/2002 0
NYMEX Guaranty Fund 07/26/2002 Certified 07/26/2002 0
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
NYMEX Protection of Clearing House Cross Margining 08/08/2002 Certified 08/08/2002 0
CME Protection of ClearingHouse Default 08/09/2002 Certified 08/09/2002 0