Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICECC Advance notice of proposed rule changes to update ICC's Euro Eligible Collateral Requirements. 03/12/2014 Certified 05/06/2014 1
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
OCC This proposed rule change by The Options Clearing Corporation ("OCC") would adopt a Third-Party Risk Management Framework ("TPRMF") and retire the Counterparty Credit Risk Management Policy ("CCRMP"). 12/11/2020 Certified 12/28/2020 3
CME Weekly Notification of Rule Amendments - Week of June 24, 2019 07/02/2019 Notified 07/02/2019 1
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
CMECE 11-394 Waiver of Sovereign Immunity 10/27/2011 Certified 11/11/2011 1
CME 11-491; changes to comply with final CFTC Part 39 regulations 12/14/2011 Certified 12/30/2011 1
NYMEX 11-508; Temporary Waiver of Power Futures Clearing Fees based on Power Options Fee levels 12/15/2011 Certified 12/31/2011 1
CME 11-518; New fee schedule applicable to OTC CDS clearing fees 12/15/2011 Certified 12/31/2011 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
ICLREU2 40.6(a) Rule Certification in respect of amendments to delivery procedures 04/30/2018 Certified 05/14/2018 3
LX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
OCC A Link Framework Agreeement and an Associate Clearinghouse Agreement between OCC and Eurex Clearing AG to implement a clearing link arrangement to facilitate trading in options listed on the International Securities Exchange by Eurex Deutschland members 10/23/2009 Certified 11/02/2009 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
LCHLTD A submission for self certification changes to LCH rules which codify the process for SwapClear Clearing Members and Futures Commission Merchant Clearing Members to elect eligible SwapClear Contracts. 05/24/2016 Certified 06/07/2016 1
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
NYMEX Acceptable Original Margin 12/07/2001 Certified 12/07/2001 0
CME Acceptable Performance Bond Deposits 11/30/2001 Certified 11/30/2001 0
LCHLLC Acceptance for clearing of FRAs with upfront fees by LCH.Clearnet LLC's SwapClear service. 02/04/2014 Certified 02/20/2014 1
LCHLTD Acceptance for clearing of FRAs with upfront fees by the LCH.Clearnet Ltd SwapClear service. 02/04/2014 Certified 02/20/2014 1
CME Acceptance for clearing of SEK, DKK and NOK Interest Rate Swaps; OIS Swaps up to 5 years; 1-month Designated Maturity for IRS denominated in EUR, GBP and JPY; 13-047. 02/14/2013 Certified 03/02/2013 1
CME Acceptance of basis swaps and forward rate agreements; 12-413. 11/23/2012 Certified 12/08/2012 1
CME Acceptance of CDX North American Investment Grade Index Series 20 and CDX North American High Yield Index Series 20 for clearing; Removal of expired CDX products. 13-071. 03/04/2013 Certified 03/19/2013 1
CME Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 2 Month Forward for clearing 04/23/2010 Certified 05/03/2010 1
CME Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 3 Month Forward for clearing 04/23/2010 Certified 05/03/2010 1
CME Acceptance of Short-Term U.S. Treasury Exchange-Traded Funds as Performance Bond 06/28/2022 Certified 07/13/2022 1
LCHLTD Accommodation Fee for Non-Cash Collateral held in SwapClear Client Accounts 02/11/2021 Certified 02/26/2021 1
LCHLLC Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts 12/16/2009 Certified 12/24/2009 1
ICE NGX Add ERCOT Solar Shape products, update and enhance provisions relating to regulatory & compliance, correct an omission in General Suspension powers, clarify reps and warranties. 06/29/2021 Certified 07/14/2021 1
ICE NGX Adding eight Physically Settled Power Futures Products with delivery points in the Electric Reliability Council of Texas ("ERCOT") region. The New Futures Contracts are for delivery during hours ending 1800-2200 seven days a week. 11/14/2024 10 Day Review 11/14/2024 1
OCC Adding provisions to By-laws governing OCC's Stock Loan/Hedge Program to facilitate the use of such program by Canadian clearing members; SR-OCC-2013-03. 03/08/2013 Certified 03/23/2013 1
NADEX Adding strike levels and amending strike widths in its gold, silver and crude intraday binary contracts. Renaming USD/YEN binary and variable payout contracts USD/JPY. 01/25/2013 Certified 02/09/2013 1
CME Addition of "Price Alignment Interest" to the "cash mark-to-market" performance bond method for OTC FX Spot, Forward and Swap Transactions; 12-038 01/27/2012 Certified 02/11/2012 1
ICE NGX Addition of 23 US Crude Oil products 08/04/2011 Certified 08/05/2011 1
ICECC Addition of 4 security based swaps 10/27/2011 Certified 11/11/2011 1
CME Addition of CDX North American Investment Grade and High Yield Index Series 17 products 09/06/2011 Certified 09/07/2011 1
CME Addition of CDX North American Investment Grade Index Series 14 and 15 03/07/2011 Certified 03/07/2011 1
CME Addition of CDX North American Investment Grade Index Series 16 03/21/2011 Certified 03/21/2011 1