| OCC |
Amending OCC's By-Laws to allow the Corporation to approve OCC's form of clearing member application and form of clearing agreement rather than its Board of Directors; SR-OCC-2012-12R |
07/16/2012 |
Certified |
07/31/2012 |
|
1 |
| LCHLTD |
Amendments to reflect change to rate of return on contributions to SwapClear default fund and to clarify FCM Clearing Member collection of additional collateral for FCM Clients' SwapClear contracts that are non-hedging in nature. |
07/17/2012 |
Certified |
08/01/2012 |
|
1 |
| CME |
CME/CBOT/NYMEX rule amendments incorporating LSOC regulations; 12-240 |
07/17/2012 |
Certified |
08/01/2012 |
|
1 |
| CME |
CME/CBOT/NYMEX rule amendments to clarify that CME Clearing's lien on collateral held by the clearing house includes both property of clearing members and customer performance bond; 12-241 |
07/17/2012 |
Certified |
08/01/2012 |
|
1 |
| ICE NGX |
Addition of NGX representation that it will submit large trader reports to the Commission on behalf of its participants |
07/18/2012 |
Certified |
08/02/2012 |
|
1 |
| MIAX |
Rule amendment to update the membership requirement as it pertains to clearing privileges. |
07/19/2012 |
Certified |
08/03/2012 |
|
1 |
| LCHLTD |
Amendments to Regulations and Procedures to extend coverage of the existing ForexClear Non-Deliverable Forward (NDF) service for clearing NDF FX to five additional currency pairs. |
07/19/2012 |
Certified |
08/03/2012 |
|
1 |
| NYMEX |
International Crude and Refined Products Incentive Program; 12-243 |
07/20/2012 |
Certified |
08/04/2012 |
|
2 |
| LCHLTD |
Corrections to the Clearing House procedures allowing delivery of precious metals as margin collateral. |
07/24/2012 |
Certified |
08/08/2012 |
|
1 |
| KCC |
Implementation of Give-up Average Price System Fine Policy |
07/30/2012 |
Certified |
08/14/2012 |
|
1 |
| NYMEX |
Listing of a cleared-only OTC London Silver Forwards (cash margin) contract; 12-131 |
08/02/2012 |
Certified |
08/17/2012 |
|
0 |
| NADEX |
Amending membership obligations rule to reflect verbatim the Commission's Regulation 39.16(d)(1) regarding member notification in the event of bankruptcy petition and broader requirements of notification in specific instances. |
08/03/2012 |
Certified |
08/18/2012 |
|
1 |
| ICECC |
Addition of fourteen investment grade indices to Schedule 502 of ICE Clear Credit Rules. |
08/09/2012 |
Certified |
08/24/2012 |
|
1 |
| ICLREU2 |
Minor rule amendments to certain OTC contract specifications relating to extension of the length of contract series, changes to the last trading day, and the re-decimilisation of the Settlement Price Quotation and Minimum Price Fluctuation. |
08/13/2012 |
Certified |
08/28/2012 |
|
1 |
| LCHLTD |
Introduction of forward rate agreements into LCH.Clearnet Ltd.'s SwapClear Futures Commission Merchant Model. |
08/15/2012 |
Certified |
08/30/2012 |
|
1 |
| LCHLTD |
Extension of eligible maturity for New Zealand Dollar BKBM Interest Rate Swap from ten years to fifteen years. |
08/15/2012 |
Certified |
08/30/2012 |
|
1 |
| CME |
Modification to clearing fee schedule as it relates to OTC interest rate swaps; 12-254. |
08/15/2012 |
Certified |
08/30/2012 |
|
1 |
| NADEX |
Amendments to cap exchange fees related to trading and settlement paid by direct members. |
08/15/2012 |
Certified |
08/30/2012 |
|
1 |
| LCHLTD |
Amending rules to (i) clarify netting procedures, (ii) update its Deed of Assignment, and (iii) clarify SwapClear fees. |
08/16/2012 |
Certified |
08/31/2012 |
|
1 |
| LCHLTD |
Amending regulations and procedurse to: eliminate its credit exposure to its Protected Payment System banks, permit the collection of interest from members where a negative interest rate is in effect on cash margin, and add Buffer Accounts. |
08/17/2012 |
Certified |
09/01/2012 |
|
1 |
| OCC |
Correcting a previous rule filing (SR-OCC-2012-10) to properly reflect the deletion of Rule 614 and the termination of OCC's pledge program; SR-OCC-2012-13. |
08/29/2012 |
Certified |
09/14/2012 |
|
1 |
| CME |
Updates to IRS Manual; 12-274S. |
08/30/2012 |
Certified |
09/15/2012 |
|
1 |
| OCC |
Rule changes related to the central clearing of OTC index options on the S&P 500 Index. |
08/30/2012 |
Certified |
09/15/2012 |
|
1 |
| OCC |
Housekeeping revisions relating to financial reporting by Canadian Clearing Members to reflect the Investment Industry Regulatory Organization of Canada's adoption of the International Financial Reporting Standards; SR-OCC-2012-15. |
09/05/2012 |
Certified |
09/20/2012 |
|
1 |
| ICLREU2 |
Technical changes to rules to reflect ICE Clear Europe Limited's clearing of certain energy futures and options contracts to be listed on ICE Futures U.S., Inc. |
09/07/2012 |
Certified |
09/22/2012 |
|
1 |
| OCC |
OCC plans to change its adjustment policy in its By-Laws to accommodate for mini options; SR-OCC-2012-16. |
09/12/2012 |
Certified |
09/27/2012 |
|
1 |
| CME |
Rule amendments to allow FCM clearing member CEOs and CFOs to designate authorized representatives to approve certain disbursements of customer funds; 12-281. |
09/13/2012 |
Certified |
09/28/2012 |
|
1 |
| ICLREU2 |
Rule and procedure amendments related to the extension of customer clearing to credit default swap transactions. |
09/13/2012 |
Certified |
09/28/2012 |
|
1 |
| OCC |
Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i); SR-OCC-2012-17. |
09/14/2012 |
Certified |
09/29/2012 |
|
1 |
| CME |
Changes to rules related to OTC Derivative Clearing, Interest Rate Derivative Clearing and CDS Clearing conforming to CFTC Regulation 39.12(b)(7) (Time Frame for Clearing). NYMEX rule changes to avoid conflicts with CFTC Regulations 1.73 and 1.74. 12-280 |
09/14/2012 |
Certified |
09/29/2012 |
|
1 |
| CME |
Amendment to Rule 971, adding a new subpart C, requiring FCM clearing members to provide CME Clearing's Audit Department with view-only access of segregated, secured/30.7 and Cleared Swaps Customer accounts at banks or trust companies; 12-282. |
09/17/2012 |
Certified |
10/02/2012 |
|
1 |
| ICLREU2 |
Circular related to the planned conversion of certain open interest in OTC energy contracts to futures contracts listed on ICE Futures U.S. Inc. or ICE Futures Europe Limited, as applicable. |
09/17/2012 |
Certified |
10/02/2012 |
|
1 |
| ICLREU2 |
Rule changes to reflect clearing relationship between ICE Clear Europe Limited and ICE Futures U.S. and the delivery procedures applicable to ICE Futures U.S. contracts. |
09/18/2012 |
Certified |
10/03/2012 |
|
1 |
| ICECC |
Rule changes related to the time frame under which trades must be accepted or rejected for clearing consistent with Commission Regulations 39.12(b)(7) and 23.506. |
09/20/2012 |
Certified |
10/05/2012 |
|
1 |
| ICLREU2 |
Rule amendments in relation to time frame for clearing of CDS contracts. |
09/21/2012 |
Certified |
10/06/2012 |
|
1 |
| LCHLTD |
Amendments to rules to admit Futures Commission Merchants to join the EnClear and Nodal service and clear transactions on behalf of their clients. |
09/25/2012 |
Certified |
10/11/2012 |
|
1 |
| CME |
Changes to value-date conventions for non-USD variation margin for interest rate swaps; 12-297. |
09/26/2012 |
Certified |
10/12/2012 |
|
1 |
| ICLREU2 |
Submission of rules pursuant to CFTC Regulation 39.15(b)(2)(i) with respect to commingling of futures in a cleared swap account. |
08/31/2012 |
Withdrawn |
10/12/2012 |
|
2 |
| CME |
Request for approval to commingle customer positions and related collateral in Interest Rate Futures and Interest Rate Swaps in customer cleared swaps accounts; 12-151 |
05/24/2012 |
Approved |
10/12/2012 |
|
4 |
| OCC |
Amendment to OCC's Schedule of Fees to set the per contract clearing fee for certain routing trades at $0.01; SR-OCC-2012-18. |
09/28/2012 |
Certified |
10/16/2012 |
|
1 |
| CCH |
Rule amendment adds a definition for "Public Director" and corresponds to new Board Eligibility rule; 2012-1. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
Rule amendment to provide, among other things, that the Board must have seven members, of which three must be public directors, and that no less than 35% of the Board must be composed of public directors; 2012-2. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
New rule outlines the following: (a) disciplinary offenses that would make an individual ineligible to serve as a member of the Board of Directors or a committee thereof or as an officer of the Clearinghouse; and (b) public director criteria; 2012-3. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
New rule on what constitutes a conflict of interest and the process to mitigate such a conflict upon discovery; 2012-4. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
New rule outlines the proper and improper uses of non-public information; 2012-5. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
Rule amendment removes letters of credit from the list of instruments or assets that may comprise the Clearinghouse's guaranty fund; 2012-6. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| CCH |
New rule establishing the position of Chief Compliance Officer at the Clearinghouse; 2012-7. |
10/01/2012 |
Certified |
10/17/2012 |
|
1 |
| LCHLTD |
Harmonization of SCM and FCM client clearing operating models. |
10/04/2012 |
Certified |
10/20/2012 |
|
1 |
| OCC |
Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i). Rule amendment makes it clear that only initial margin is implicated; SR-OCC-2012-17A1. |
10/11/2012 |
Certified |
10/26/2012 |
|
1 |
| CME |
Emergency actions taken as a result of Hurricane Sandy; 12-363. |
10/29/2012 |
Certified |
10/29/2012 |
|
1 |
