Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLLC Rule changes to comply with CFTC Rules applicable to DCOs that become effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
LCHLTD Amendments re ForexClear Default Management Process and membership criteria, changes to SwapClear Membership criteria, changes to comply with CFTC regulations applicable to DCOs effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
KCC Risk Management Policies 04/20/2012 Certified 05/05/2012 1
ICLREU2 Changes to comply with CFTC Reg 39.13(g)(8)(ii) collection of margin by clearing members 04/20/2012 Certified 05/05/2012 1
ICECC Amendments to conform the ICC membership qualifications to be in compliance with Commission Regulations 39.12(a)(2)(ii) and 39.12(a)(2)(iii). 03/23/2012 Approved 05/07/2012 1
ICECC Changes to comply with CFTC Reg. 39.13(g)(8)(ii) 04/23/2012 Certified 05/08/2012 1
ICLR US Amendment increasing maximum size of a clearing member's Guaranty Fund contribution; 12-25 04/24/2012 Certified 05/09/2012 1
MGEX Update to procedures with regard to financial oversight of FCM Clearing Members 04/30/2012 Certified 05/15/2012 1
LCHLTD Addition of precious metals as margin collateral, Extension of use of Collateral Management System to include third party collateral 05/02/2012 Certified 05/17/2012 1
ICLR US Amend rule to codify duty to collect higher level of margin for non-hedge positions; 12-29 05/04/2012 Certified 05/19/2012 1
ICLREU2 Amendments to minimum capital requirements of CDS Clearing Members 05/08/2012 Certified 05/22/2012 1
CME Modifications to CME Incentive Program for Over-the-Counter Interest Rate Swaps; 12-136 05/08/2012 Certified 05/22/2012 2
OCC Updates procedures to adjustment panel voting 05/07/2012 Certified 05/22/2012 1
MGEX Codify roles of Chief Regulatory Officer, Chief Compliance Officer and Chief Risk Officer 05/11/2012 Certified 05/26/2012 1
OCC Technical amendments to fitness standards for directors, clearing members and others 05/15/2012 Certified 05/31/2012 1
NYMEX Change to NYMEX Brent Block Trade Broker Rebate Program 05/16/2012 Certified 06/01/2012 1
ICE NGX Crude Oil Incentive Program 05/16/2012 Certified 06/01/2012 1
ICECC Amendment of rulebook to provide for the clearance of the CDX Emerging Markets Index CDS (CDX.EM) and to make a conforming change to the definition of "Restructuring CDS Contract" to encompass components of CDX.EM subj to a restructuring credit event. 05/21/2012 Certified 06/05/2012 1
OCC Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. 05/24/2012 Certified 06/09/2012 1
NADEX Amendment to Expiration time for Daily and Weekly Corn and Soybean Binary and Variable Payout Contracts to be consistent with corresponding underlying market; Emergency Rule filing 06/13/2012 Certified 06/13/2012 1
CME Modifications to CME OTC FX Fee Waiver Program; 12-156 05/30/2012 Certified 06/13/2012 1
CME Expansion of acceptable performance bond deposits in Rule 930.C; expansion of clearing member reporting requirements relating to customer funds in Rule 971; 12-178 05/30/2012 Certified 06/13/2012 1
CME Amend Rule 802 to make CME's capital contribution to the financial safeguards package that includes the Base Guaranty Fund $100 million 06/05/2012 Certified 06/20/2012 1
LCHLTD Amendments to admit Futures Commission Merchants to join ForexClear service and clear transactions on behalf of their clients. 06/06/2012 Certified 06/21/2012 1
CME Adoption of Modified Split Allocation feature of CME's SPAN methodology for certain energy futures contracts; 12-189. 06/08/2012 Certified 06/22/2012 1
NYMEX Modifications to Flex Energy Futures and Options Incentive Program; 12-161 06/07/2012 Certified 06/22/2012 2
MGEX Extension of trading hours and deadline for submission of information to the clearing house 06/08/2012 Certified 06/22/2012 1
NYMEX Modifications to Non-Member Cross-Venue Incentive Program for certain NYMEX energy products; 12-166 06/11/2012 Certified 06/26/2012 2
NYMEX Modifications to existing NYMEX Energy Products Cross-Venue Incentive Program; 12-167 06/11/2012 Certified 06/26/2012 2
NYMEX Modifications to Cross-Venue Energy & Metals Products Incentive Program for High Volume Contributors; 12-192 06/11/2012 Certified 06/26/2012 2
NYMEX Diverse Trading Non-Member International Commercial Firms Energy Incentive Program; 12-162 06/12/2012 Certified 06/27/2012 2
NYMEX Modifications to NYMEX Incentive Program for Natural Gas Products; 12-163 06/12/2012 Certified 06/27/2012 1
NYMEX Modifications to NYMEX OTC Broker Incentive Program; 12-191 06/15/2012 Certified 06/30/2012 1
CME Changes to CME's offering for cleared interest rate swaps; 12-204 06/15/2012 Certified 06/30/2012 2
NYMEX NYMEX Early Adopter Liquidity Provider Program; 12-207 06/18/2012 Certified 07/03/2012 2
NYMEX Legacy GreenX Broker Broker Member Incentives Program; 12-205 06/18/2012 Certified 07/03/2012 2
NYMEX Legacy Green X CPC Incentive Program; 12-206 06/18/2012 Certified 07/03/2012 1
NYMEX Legacy GreenX Volume and Liquidity Provider Program; 12-209 06/18/2012 Certified 07/03/2012 2
NYMEX European Union Allowance and Certified Commission Production futures and spread contracts Market Making program; 12-210 06/18/2012 Certified 07/03/2012 1
NYMEX Legacy GreenX Member Trader Incentive Program; 12-211 06/18/2012 Certified 07/03/2012 2
LCHLTD SwapClear service new standard pricing plan for client clearing fees 06/18/2012 Certified 07/03/2012 1
CBT CBOT and NYMEX rules being amended to harmonize all three CME Rule books; 12-217 06/19/2012 Certified 07/04/2012 1
OCC Eliminate fees for three brochures; SR-OCC-2012-09 06/28/2012 Certified 07/14/2012 1
OCC Termination of OCC's Pledge program; SR-OCC-2012-10 06/28/2012 Certified 07/14/2012 1
OCC Amend Bylaws to allow OCC to approve OCC's form of clearing member application and form of clearing agreement; SR-OCC-2012-12 07/10/2012 Withdrawn 07/16/2012 2
OCC Private auction process by which OCC may liquidate all or any part of a suspended Clearing Member's account; SR-OCC-2012-11 07/03/2012 Certified 07/18/2012 1
NYMEX Delisting eleven tanker freight forwards contracts 07/23/2012 Certified 07/23/2012 1
NYMEX NYMEX Energy Products Incentive Program for High Volume Hedging Contributors; 12-229 07/11/2012 Certified 07/26/2012 2
NYMEX Non-Member Core Energy Futures and Options Products and Overnight Trading Incentive Program; 12-236 07/16/2012 Withdrawn 07/27/2012 2
NYMEX NYMEX and COMEX Futures and Options Products Cross-Venue Incentive Program; 12-239 07/16/2012 Certified 07/31/2012 2