Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Amendment to Interpretation and Policy .01 under Section 11A, Article VI and Interpretation and Policy .01 under Section 3, Article XII 08/31/2010 Certified 08/31/2010 1
LCHLTD Specifications for new Monthly Cash Settled Natural Gas Financial Swap, Henry Hub Contract to be cleared for Nodal Exchange. 09/01/2010 Certified 09/01/2010 1
OCC Article I, Section 1, Rule 801, 805, and 1804 - proposed rule change to accomodate Weekly Options and Monthly Options 09/15/2010 Certified 09/15/2010 1
CME CBOT Rules 10C03, 11D03, 14C03, and 16C03: Settlement procedures during the final month of clearing for CBOT Ethanol Forward Month Swaps, Corn Calendar Swaps, Soybean Calendar Swaps, and Wheat Calendar Swaps 09/17/2010 Certified 09/17/2010 1
MIAX Minneapolis Grain Exchange, Inc. Rulebook (includes Ch. 21 - Clearing House Regulations) 09/20/2010 Certified 09/20/2010 1
CBT CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1
NYMEX CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1
CME CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1
OCC Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 10/04/2010 Certified 10/04/2010 1
ICE NGX Rule amendments clarify language relating to daily settlement products/transactions and to add new products 10/14/2010 Certified 10/14/2010 1
ICE NGX Amendments to Schedule D to add new products to its product list (US natural gas products) and removal of a crude oil product 10/14/2010 Certified 10/14/2010 1
CME New rules with respect to the clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
CBT Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
NYMEX Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
OCC New rule to accommodate futures contracts that are settled in a non-US currency. 10/22/2010 Certified 10/22/2010 1
CME Amendment to reduce required amount of CME Group Class A Shares required for clearing member privileges. 10/26/2010 Certified 10/26/2010 1
NADEX Amend responsibilities of Chief Operating Officer as set forth in Nadex Rule 2.3. 11/04/2010 Certified 11/04/2010 1
LCHLLC Amendments to Risk Management Procedures to (i) incorporate price alignment interest (PAI) into variation performance bond for OTC contracts; and (ii) amend list of currently acceptable Collateral 11/10/2010 Certified 11/10/2010 1
OCC Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program 12/16/2010 Certified 12/16/2010 1
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
OCC Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). 01/19/2011 Certified 01/19/2011 1
ICLREU2 Amendment to List of Permitted Cover and Haircut Rates on collateral for original margin; Removal of Letters of Credit as permitted cover for CDS clearing members 02/08/2011 Certified 02/07/2011 1
LCHLTD A new set of rules relating to the clearing of OTC interest rate swaps ("FCM SwapClear Contracts) through LCH by registered FCMs that are clearing members of LCH. 02/15/2011 Certified 02/15/2011 1
NYPC Amendment to LLC Agreement (i) to require the contribution of additional capital to meet estimate of twelve months of operating cash (ii) to amend Board rights and obligations 02/17/2011 Certified 02/17/2011 1
ICLREU2 List of New OTC Cleared Product Specifications 02/17/2011 Certified 02/17/2011 1
CME Rules to implement the Financial Instruments Clearing Member (FICM) program 02/25/2011 Certified 02/25/2011 1
CBT Rules to implement the Financial Instruments Clearing Member (FICM) program. 02/25/2011 Certified 02/25/2011 1
CME Amendments and new rule to CME Chapter 8G and 900 re: cleared interest rate swaps and addition to Clearing house Manual of Operations for CME cleared interest rate swaps 03/01/2011 Certified 03/01/2011 1
CME Addition of CDX North American Investment Grade Index Series 14 and 15 03/07/2011 Certified 03/07/2011 1
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
CME Addition of CDX North American Investment Grade Index Series 16 03/21/2011 Certified 03/21/2011 1
NYPC Amend rules 101, 102, 306, and 308 re: financial reporting, reporting of ownership/structure changes and conforming definition changes. 03/30/2011 Certified 03/30/2011 1
CME CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
CBT CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
NYMEX CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
ICLREU2 List of new OTC Cleared Product Specifications 04/04/2011 Certified 04/01/2011 1
ICLREU2 Amendment to rules relating to designated payments system 04/04/2011 Certified 04/04/2011 1
ICLREU2 Amendments to clearing procedures; changes to reflect new clearing systems 04/08/2011 Certified 04/08/2011 1
ICLREU2 New rules relating to Trade Date Clearing 04/12/2011 Certified 04/12/2011 1
ICLREU2 List of additional cleared OTC contracts 04/13/2011 Certified 04/13/2011 1
ICLREU2 Amendments to clarify contract formation in relation to cleared OTC Contracts 04/13/2011 Certified 04/13/2011 1
CME Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
CBT Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
NYMEX Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
OCC Rule change with respect to OCC obligations to pay settlement amounts to clearing members generally, as well as in emergency situations. 04/28/2011 Certified 04/28/2011 1
CME Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
NYMEX Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
ICLREU2 Introduction of clearing for addtional OTC contracts. 05/13/2011 Certified 05/13/2011 1
ICLREU2 List of additional cleared OTC contracts 05/20/2011 Certified 05/20/2011 1