Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NADEX Discontinue Free Trade Promotion Program 05/31/2007 Certified 06/01/2007 1
NYMEX Deletion of Risk Filter Rule 9.04B 05/31/2007 Certified 06/01/2007 1
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 04/23/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 4
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
OCC Amendments to rules for clearing credit default products 06/14/2007 Certified 06/19/2007 1
NADEX New contracts based on M&As 06/07/2007 Certified 06/22/2007 1
NADEX Amendments to Preliminary Storm Damage Estimate Binary Contracts and Suspension of Listing any Series of Hurrican Season Binary Hedgelet Contracts 06/08/2007 Certified 06/22/2007 1
NYMEX Extension of Maximum Maturity Date for Letters of Credit 12/18/2006 Certified 06/22/2007 0
OCC Amendment to close out netting procedures with respect to FIN 39 06/22/2007 Certified 06/22/2007 1
OCC The proposed rule changes would amend OCC's by-laws and rules to permit OCC to clear and settle various types of binary options, including "fixed return options" proposed to be listed by the American Stock Exchange and binary options on broad-based securi 06/28/2007 Certified 06/28/2007 1
CBT Technical revisions to denatured fuel ethanol forward month swaps to reflect cleared only status after trading OTC 06/27/2007 Certified 06/29/2007 1
CME Rule 730 is amended to lower the threshold from $50 million to $25 million for being required to use the Continuous Linked Settlement Bank System for deliveries on currency futures contracts. 07/10/2007 Certified 07/12/2007 1
CCORP The definition of Exchange Market in Chapter 1 of The Clearing Corporations rules is amended to add the following product to be traded on Chicago Climate Futures Exchange, LLC: ECO-Clean Energy Index Futures. 07/12/2007 Certified 07/12/2007 1
NYMEX Rule 9.03, Guaranty Fund, is amended to raise the minimum contribution required of each clearing member from $2M to $2.5M and the Guaranty Fund is being increased from $200M to $250M based on annual analysis of appropriate size. 06/21/2007 Certified 07/17/2007 1
OCC Various changes to clearing fee schedule 08/03/2007 Certified 08/03/2007 1
CCORP The definition of Exchange Market in Chapter 1 is amended to add Carbon Financial Instrument Futures to be traded on Chicago Climate Futures Exchange, LLC. 08/01/2007 Certified 08/03/2007 1
NYMEX Clearing members prohibited from making cash disbursements to customers; additional ATM machines installed for cash access for customers 07/25/2007 Certified 08/03/2007 1
NYMEX Haircut reduction on MM mutual funds as margin from 5 to 2 percent 07/13/2007 Certified 08/03/2007 1
CBT Deletion of swap product traded and cleared OTC (ethanol previous month) 07/25/2007 Certified 08/14/2007 1
CME Rule 550 - Permit wider range of post settlement session prices for agricultural products. 08/01/2007 Certified 08/27/2007 1
NYMEX Notice to Members Regarding Documentary Obligations/Standards for ClearPort Clearing Transactions 08/21/2007 Certified 08/28/2007 1
CCORP Definition of Exchange Market amended to include new products traded on Chicago Climate Futures Exchange 08/22/2007 Certified 08/28/2007 1
NYMEX Amendments to Schedule B of Exchange User License Agreement referencing additional trade types available for submission to ClearPort Clearing 08/16/2007 Certified 08/28/2007 1
CBT Modify procedures for determining the daily settlement price for 30 year T-Bonds 08/28/2007 Certified 09/04/2007 1
CBT Cleared-only Fuel Ethanol Basis Swaps traded OTC 09/04/2007 Certified 09/05/2007 1
OCC Elimination or reduction of fees to clearing members for theoretical profit and loss values 09/18/2007 Certified 09/19/2007 1
CCORP Definition of Exchange Market amended to include new products traded on USFE 09/12/2007 Certified 09/19/2007 1
ICLR US New rules governing the substitution process in which an OTC transaction in currency and U.S. Dollar Index executed on a bilateral basis is submitted to ICLR in exchange for an equivalent number of futures contracts that are "cleared-only." 09/11/2007 Certified 09/19/2007 1
CBT Specifications for three basis swap products that will be traded OTC and cleared through CBT's clearing service provider 09/10/2007 Certified 09/19/2007 1
CCORP Definition of Exchange Market is amended to add new products to be traded on CCFE and USFE as follows: Nitrogen Financial Instrument Futures and European Carbon Financial Instrument Futures on CCFE and Spot Equivalent Futures Currencies in the following 09/19/2007 Certified 09/20/2007 1
CCORP Definition of Exchange Market is ameded to include new product IFEX U.S. Wind Binary Futures Contracts. 09/21/2007 Certified 09/24/2007 1
CCORP Definition of Exchange Market is amended to add ten index futures contracts that will be traded on USFE 09/27/2007 Certified 10/04/2007 1
OCC Amendment of definition of "fund share" to include a security as defined in Section 3(a)(10) of the Securities Exchange Act of 1934. 10/04/2007 Certified 10/09/2007 1
CBT Modification of procedures for determining daily settlement prices for CBOT 10 year U.S. Treasury Note Options 10/15/2007 Certified 10/17/2007 1
OCC Modification of description of assignment proceudres for processing exercise notices to reflect expanded use of sub-accounts established by a clearing member for a single beneficial owner 10/09/2007 Certified 10/17/2007 1
ICLR US Rule 5.03 of ICE Futures U.S. is amended to allow different margin rates for arbitrge positions in coffee, sugar, and cocoa futures and options - positions held on Euronext-LIFFE. Member firms must collect margin applicable to arbitrage positions. 10/17/2007 Certified 10/22/2007 1
CBT Revised Chapter 8 regarding Clearing House and Performance Bonds and Chapter 9 regarding Clearing Members to harmonize with the CME's rulebook since the two DCOs are affiliated under a common parent entity, CME Group, Inc. 10/25/2007 Certified 10/25/2007 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
OCC Interp clarifying that "securities contracts" and 'commodity contracts" held by a CLM in a proprietary account are held pursuant to "a cross-margining agreement or similar arrangement" for purposes of Section 561(b)(3)(A) of the U.S. Bankruptcy Code 10/23/2007 Certified 10/29/2007 1
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
CME Revised Chapters 8 and 9 regarding Clearing House and Performance Bond and Clearing Members to harmonize with CBT rulebook Chapters 8 and 9 on the same topics since they are affiliated under common parent 10/25/2007 Certified 10/29/2007 1
MIAX Amendment to Rule 2102.00 to clarify and codify routine daily operation to collect intra-day variations from clearing members. 11/09/2007 Certified 11/16/2007 1
CCORP Definition of Exchange Market in Chapter 1 is amended to add options on Certified Emission Reduction Futures traded on Chicago Climate Futures Exchange, LLC. 11/15/2007 Certified 11/16/2007 1
ICLR US Amendments to increase the minimum required deposit to the Guaranty Fund and eliminate the defunct category of self-clearing member 11/21/2007 Certified 11/27/2007 1
CBT Modification of procedures for determining the daily settlement price for CBT 2 year and 5 year U.S. Treasury note options 11/20/2007 Certified 11/29/2007 1
ICLR US Amendment of eligibility requirements for clearing members 11/21/2007 Certified 11/29/2007 1
OCC Modification of fees applied to late exercise notices whether at expiration or non-expiration and circumstances under which cut-off time for submission of exercise instructions can be extended 12/07/2007 Certified 12/27/2007 1
OCC Implementation of new discounted fee schedule and continuation of the market maker scratch fee discount effective 1/1/08 12/07/2007 Certified 12/27/2007 1
OCC Reduction of threshold amounts used to determine the equity options that are deemed to be in the money for purposes of exercise by exception processing. 12/07/2007 Certified 12/27/2007 1
OCC Establishment of a program with ICE Clear for the cross-margining of certain securities options contracts with futures and options cleared by ICE Clear 12/12/2007 Certified 12/28/2007 1