Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
MIAX 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
MIAX 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
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. 07/13/2018 Notified 07/13/2018 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. 01/11/2019 Notified 01/11/2019 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. 10/05/2018 Notified 10/05/2018 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. 06/08/2018 Notified 06/08/2018 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. 04/20/2018 Notified 04/20/2018 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. 01/12/2018 Notified 01/12/2018 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. 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. 10/06/2017 Notified 10/06/2017 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. 10/07/2016 Notified 10/07/2016 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. 10/12/2018 Notified 10/12/2018 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. 11/10/2017 Notified 11/10/2017 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. 11/16/2018 Notified 11/16/2018 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. 04/05/2019 Notified 04/05/2019 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. 04/07/2017 Notified 04/07/2017 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. 09/18/2020 Notified 09/18/2020 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. 03/09/2018 Notified 03/09/2018 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. 09/07/2018 Notified 09/07/2018 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. 11/09/2018 Notified 11/09/2018 2