Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
LCHLTD Self-certification relating to implementation of a margin model floor for the EnClear Clearing Service. 05/08/2014 Certified 05/23/2014 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
NADEX Nadex clarifies Investment of Member Funds in Chapter 8, close time for Fed Funds Binary Contracts, and Holiday Product Schedule Guidelines. 05/12/2014 Certified 05/27/2014 1
LCHLTD Self-certification relating to confidential information 05/12/2014 Certified 05/27/2014 1
OCC This change would consolidate OCC's Governance Committee and Nominating Committee into a single committee, make changes to OCC's nomination process for directors and increase the number of Public Directors on OCC's Board of Directors. OCC #SR-OCC-2014-09 05/13/2014 Certified 05/28/2014 1
LCHSA The LCH.Clearnet SA LMC has approved a change in Default fund remuneration. 05/14/2014 Certified 05/29/2014 1
OCC Proposed rule change would require that intraday margin be collected and margin assets not be withdrawn when a clearing member's anticipated settlement obligations to OCC exceed liquidity resources available to OCC to satisfy such settlement obligations. 05/14/2014 Certified 05/29/2014 1
OCC This proposed rule change amends OCC' s Schedule of Fees in order to correct an inadvertent oversight in a prior rule change. #SR-OCC-2014-11 05/14/2014 Certified 05/29/2014 2
CME Change to procedures for facilitating physical delivery of CLS-eligible foreign currencies. CME # 14-165 05/29/2014 Withdrawn 06/04/2014 2
OCC OCC proposes to amend Rule 604 in order to make its existing policy concerning specified concentration limits related to deposits of certain letters of credit applicable to all letters of credit. 05/20/2014 Certified 06/05/2014 1
LCHLTD Self-certification for the removal of the BDI product from the EnClear service. 05/21/2014 Certified 06/06/2014 1
ICECC The purpose of proposed rule change is to update the ICC End-of-Day Price Discovery Policies and Procedures to revise the expectations surrounding the unwind of any Firm Trade transaction. 05/22/2014 Certified 06/07/2014 1
ICECC The purpose of the proposed rule change is to update the ICC Rules to clarify ICC's authority to use Guaranty Fund and House Initial Margin as an internal liquidity resource. 05/27/2014 Withdrawn 06/09/2014 2
LCHLTD LCH.Clearnet Limited is submitting for certification proposed amendments to RiskCommittee Terms of Reference. 05/23/2014 Certified 06/10/2014 1
ICLREU2 ICE Clear Europe submits for self-certification rule amendments that limit the use of non-USD collateral for original margin requirements by FCM/BD Clearing Members in connection with customer transactions in the F&O product category. 05/23/2014 Certified 06/10/2014 1
SGX-DC Rule amendments for changes to the SGX-DC Clearing Fund and changes to the default management process and the SGX-DC Clearing Fund in relation to OTC financial derivatives contracts. Amendment to a previous self-certification filed by SGX-DC on 2-27-14. 05/27/2014 Certified 06/11/2014 1
SGX-DC Rule amendments to specify the methodology for calculation of final settlement prices of the SGX coal swaps contracts, which are intended to be accepted for clearing in July 2014. 05/27/2014 Certified 06/11/2014 1
ICLREU2 ICE Clear Europe self-certification of amendments that modify the ICE Clear Europe Delivery Procedures in connection with the launch by the ICE Endex market of three German power futures and options contracts that will be cleared by ICE Clear Europe. 05/28/2014 Certified 06/12/2014 1
OCC This proposed rule change would provide for the calculation of initial margin requirements for segregated futures accounts through SPAN instead of STANS. 05/28/2014 Certified 06/12/2014 1
ICECC The purpose of proposed rule change is to revise the ICC Risk Management Framework to clarify language related to ICC's forced allocation procedures. 05/30/2014 Certified 06/14/2014 1
CME Certification of Changes to CME rules on cash settlement of the following Cleared OTC Spot, Forwards and Swaps Contracts: USD/PEN, USD/COP, USD/CLP, USD/BRL and USD/PPH. 05/30/2014 Certified 06/14/2014 1
LCHLTD Self-certification relating to the implementation of a substantially revised rulebook including changes for compliance with the European Market Infrastructure Regulation (EMIR), and fees for the new account types introduced by the rulebook. 05/30/2014 Certified 06/14/2014 1
CME Change to procedures for facilitating physical delivery of CLS-eligible foreign currencies. CME #14-165R and #14-165RS 06/05/2014 Certified 06/18/2014 2
CME Extension of the CME OTC FX Fee Waiver Program. CME # 14-216 06/05/2014 Certified 06/18/2014 1
ICLREU2 ICE Clear Europe submits for self-certification amendments that amend the timeframe during which clearing members are required to make contributions to cover investment losses that exceed the available clearing house loss assets. 06/06/2014 Certified 06/21/2014 1
CME Self-certification of CME Clearing Advisory Notice Expanding Collateral Program to Include Additional Exchange-Traded Funds; 14-220 and 14-220S 06/10/2014 Certified 06/25/2014 2
MIAX Amendment of Regulation 1229.00. in order to make enforcement deadlines consistent with deadlines established in Resolution 2101.00.C. and amendment of Regulation 2014.00. in connection with changes to MGEX's process for calculating settlement prices. 06/10/2014 Certified 06/25/2014 1
LCHLTD Self-certification pursuant to Sec. 40.6(a) in respect of enhancements to the Bunched Order Trade Registration. 06/13/2014 Certified 06/28/2014 1
LCHLTD Self-certification pursuant to Sec. 40.6(a) in respect of corrections to LCH.Clearnet Limited's rules and regulations. 06/13/2014 Certified 06/28/2014 1
CME Self-certification of CME Clearing Advisory Notice for Performance Bond Collateral Categorization Changes. CME 14-240 06/13/2014 Certified 06/28/2014 1
CME This submission contains product title amendments for two DJ-UBS Commodity Index futures, and for three DJ-UBS Commodity Index Cleared Swaps to reflect a change in the index calculation agent from DJ to Bloomberg. #14-243 06/16/2014 Certified 07/01/2014 1
LCHLTD Self-certification pursuant to 40.6(a) notifying of the extension of the ForexClear Client Clearing fees waiver program. 06/16/2014 Certified 07/01/2014 1
CME Modifications to the Fee Schedule Applicable to OTC Interest Rate Swaps 06/16/2014 Certified 07/01/2014 1
SGX-DC Amendments to the Over-The-Counter Financial Derivatives ("OTCF") Clearing Member Handbook ("Handbook") to clarify that trades submitted to SGX-DC for clearing by the clearing member will be accepted or rejected within 60 seconds 06/20/2014 Certified 07/08/2014 1
ICECC The purpose of proposed rule change is to revise the ICC Treasury Policies and Procedures to correct an error in order to properly describe ICC's policy regarding permitted counterparties to ICC's repurchase agreement transactions. 06/27/2014 Certified 07/15/2014 1
ICLR US Amendments re: Monthly Liquidity Analysis; Calculation of Guaranty Fund; Qualifying Liquidity Resources 06/27/2014 Certified 07/15/2014 1
LCHLLC Security Interest Amendments, Ballot Removal, Bankruptcy Representations and other ancillary changes. 06/30/2014 Certified 07/16/2014 1
LCHLTD Introduction of OIS-IBOR Basis Swaps 07/11/2014 Certified 07/25/2014 1
LCHLTD Introduction of JPY OIS up to 30 years 07/11/2014 Certified 07/25/2014 1
LCHLTD Self-certification pursuant to 40.6(a) relating to rule changes with respect to the ForexClear service. 07/15/2014 Certified 07/28/2014 1
OCC This proposed rule change will permit OCC to better manage concentration and other risks associated with accepting deposits of common stock for margin purposes. 07/16/2014 Certified 07/29/2014 1
OCC OCC proposes to process all sell transactions prior to the exercise of long options in Market-Maker accounts to ensure that only net long positions may be exercised. 07/17/2014 Certified 07/30/2014 1
CME Amendments to Rules 814 and 901 to clarify time of settlement finality and extinguishment of clearing member obligations 07/18/2014 Certified 08/01/2014 2
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 07/22/2014 Certified 08/04/2014 1
OCC This proposed rule change will permit OCC to adjust the size of its clearing fund intra-month and clearing member's clearing fund contributions intra-month. 07/24/2014 Certified 08/07/2014 2
ICECC Proposed rule change to formalize ICC's Liquidity Risk Management Framework and to clarify ICC's authority to use, and to provide details as to how ICC would use, Guaranty Fund and House Initial Margin as an internal liquidity resource. 06/24/2014 Withdrawn 08/08/2014 2
LCHLTD LCH.Clearnet's SwapClear service plan implement rule change extend existing risk-free compression service allow compression of trades that have differing fixed rate, LCH.Clearnet submitting changes to the fees for the risk free compression service. 07/25/2014 Certified 08/08/2014 1