Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICLREU2 Filing for F&O Stress Testing Policy and Methodology 07/31/2020 Certified 08/14/2020 2
CME Filing of six revised participant agreements related to the CME/OCC non-proprietary cross-margining agreeement. 04/21/2009 Certified 04/21/2009 1
CCD Filing to submit certain CCD policies in connection with the expansion of its product offerings to include clearing digital asset futures on a margined basis. 10/31/2023 Certified 11/15/2023 2
CCD Filing to submit the Cboe Global Markets ("CGM") Enterprise Risk Management ("ERM") Policy, which governs ERM for CCD. 10/31/2023 Certified 11/15/2023 2
CBT Financial Filing Requirements 09/22/2003 Certified 09/22/2003 1
LCHLTD Financial Resource Data 10/19/2006 Certified 10/20/2006 0
NADEX Financing et al. 07/15/2004 Certified 07/15/2004 1
NYMEX Flex Energy Incentive Program; 11-484 12/07/2011 Certified 12/22/2011 2
NYMEX Floor-traded electricity options cleared on ClearPort 12/05/2006 Certified 12/05/2006 0
LCHLTD Following the launch of Inflation Swaps a number of improvements to the rules surrounding the provision of Market Data have been identified to reflect operational requirements of submitting prices and to provide further clarity to Clearing Members. 07/30/2015 Certified 08/13/2015 1
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
LCHLTD ForexClear Compression fees are being published and added to the existing fee waiver program. Also language to clarify that changing of the main tariff if not permissible. 06/20/2016 Certified 07/01/2016 1
LCHLTD ForexClear fee changes applicable to outright FX Forwards 09/06/2019 Certified 09/20/2019 1
LCHLTD ForexClear tariff waiver for Non-deliverable Options 10/15/2020 Certified 10/28/2020 1
ICECC Formalization of a Collateral Risk Management Framework as a standalone document containing relevant information on ICC's collateral assets risk management approach. 11/17/2022 Certified 12/02/2022 4
MGEX Formation of the Risk Management Committee 03/06/2024 Certified 03/20/2024 1
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
CME Founding Members OTC interest rate swaps incentive program 12/20/2011 Certified 01/06/2012 2
ECC Fraud Insurance 07/18/2002 Certified 07/18/2002 0
NADEX Fully Paid Contracts 12/21/2004 Certified 12/21/2004 1
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
NADEX Further amendments to rules to permit the intermediation of trading and clearing 08/21/2009 Certified 11/02/2009 1
NADEX Further amendments to rules to permit the intermediation of trading and clearing 10/21/2009 Certified 11/02/2009 1
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
ICLR US Futures Spreads Cotton Sugar 03/07/2005 Certified 03/07/2005 0
OCC Futures Trade Matching 12/19/2006 Certified 01/08/2007 1
CME FXMarketSpace 12/15/2006 Certified 01/03/2007 1
OCC Gasoline Index Futures 10/26/2005 Certified 10/26/2005 0
CCORP General Guaranty Fund ChemConnect CXX Participant Member Guaranty 11/01/2004 Certified 11/02/2004 1
LCHLTD General Regulations 01/31/2006 Certified 12/31/2006 0
NYMEX GLOBEX Rules-Clearing 06/09/2006 Certified 06/09/2006 1
CCH Governance arrangements in accordance with CFTC Regulation 39.24(b) 06/07/2024 Certified 06/24/2024 1
MGEX Gross Speculative Position Limits 01/16/2004 Certified 01/16/2004 0
NYMEX Guaranty Fund 07/26/2002 Certified 07/26/2002 0
NYMEX Haircut reduction on MM mutual funds as margin from 5 to 2 percent 07/13/2007 Certified 08/03/2007 1
CME Harmonization and Clarification Amendments to CME Chapters 8F ("Over the Counter Derivative Clearing"), 8G ("Interest Rate Derivative Clearing") and 900 ("Interest Rate Products") 04/13/2020 Certified 04/27/2020 1
LCHLTD Harmonization of SCM and FCM client clearing operating models. 10/04/2012 Certified 10/20/2012 1
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
NADEX Heating Oil and Propane Contracts 02/27/2004 Certified 02/27/2004 0
CME Hedge Funds Member Fees 12/06/2004 Certified 12/06/2004 1
NYMEX High Volume Cross-Venue Incentive Program for Energy and Metals Products 11-422 11/15/2011 Certified 12/01/2011 2
NADEX Holiday hour announcement 12/14/2012 Certified 01/01/2013 1
NADEX Holiday schedule 12/07/2012 Certified 12/22/2012 1
MGEX Housekeeping deletion to Rule 760 (Margins). 01/08/2013 Certified 01/24/2013 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
ICECC ICC hereby submits a self-certification of revisions to the ICC Risk Management Framework to incorporate certain risk model enhancements. 10/30/2014 Certified 11/14/2014 2
ICECC ICC hereby submits an additional notification of changes to risk parameters established by ICC. 02/01/2019 Notified 02/01/2019 2
ICECC ICC hereby submits notification of changes to risk parameters established by ICC in consultation with the ICC Risk Committee, Trading Advisory Committee and/or Risk Working Group. 12/08/2017 Notified 12/08/2017 2