Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICLR US Amendment increasing maximum size of a clearing member's Guaranty Fund contribution; 12-25 04/24/2012 Certified 05/09/2012 1
OCC Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security 08/25/2010 Certified 08/25/2010 1
CME Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/26/2009 Certified 06/01/2009 1
OCC Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/22/2009 Certified 06/01/2009 1
ICECC Amendment of rulebook to provide for the clearance of the CDX Emerging Markets Index CDS (CDX.EM) and to make a conforming change to the definition of "Restructuring CDS Contract" to encompass components of CDX.EM subj to a restructuring credit event. 05/21/2012 Certified 06/05/2012 1
NADEX Amendment of all rules to change the name of the DCO to the North American Deriviatives Exchange, Inc. ("Nadex") effective June 21, 2009, delete references to "Hedgelets," and amend a footnote to Rule 12.7. 06/19/2009 Certified 06/23/2009 1
MIAX Amendment of deadlines to incorporate new BRIXX contracts 09/14/2021 Certified 09/28/2021 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
ICLR US Amendment of eligibility requirements for clearing members 11/21/2007 Certified 11/29/2007 1
MIAX Amendment of MGEX Bylaws and Rules in anticipation of expected merger; changes to be effective after merger. 10/07/2020 Certified 10/22/2020 1
MIAX Amendment of MGEX Rules and Resolution to change reporting deadlines 11/16/2017 Certified 12/01/2017 1
NADEX Amendment of minimum tick sizes for certain contracts. 03/05/2025 Notified 03/05/2025 2
NADEX Amendment of minimum tick sizes for certain contracts. 12/13/2024 Notified 12/13/2024 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
MIAX Amendment of Rule 2106.00. 02/25/2021 Certified 03/11/2021 1
MIAXDX Amendment of Rulebook. 07/27/2022 Withdrawn 08/04/2022 2
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
ICE NGX Amendment of the CPA to lengthen the time period in which a participant may notifty NGX of early termination in the event of an Exchange Bankruptcy Event of Default (a defined term) and to update the definition of Crude Month Accounts Net Payable. 11/06/2009 Certified 11/09/2009 1
NYPC Amendment re: Waiver of Rules 08/16/2011 Certified 08/31/2011 1
NYMEX Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
CBT Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
CME Amendment to allow clearing members to accept physical gold to meet performance bond requrements. 06/24/2009 Certified 06/30/2009 1
MIAX Amendment to allow electronic warehouse receipts instead of paper warehouse receipts 05/23/2017 Certified 06/07/2017 1
ICLR US Amendment to By-law 5.6 Supermargin and Position Risk 07/08/2015 Certified 07/22/2015 3
ICLR US Amendment to By-Law Section 5.4 re: custodial failures 04/28/2016 Certified 05/12/2016 1
ICLR US Amendment to Bylaw 5.5 re: Clearinghouse contribution to default resources 06/29/2015 Certified 07/14/2015 1
ICLR US Amendment to ByLaw Section 5.2 regarding clearing member eligibility and new Rules 10.00-10.05 regarding clearing of OTC ag swaps in coffee, sugar, and cocoa to replace Rules 1000-1013 08/05/2008 Certified 08/07/2008 1
ICLR US Amendment to ByLaw Section 5.6 limiting increase of Permitted Position Risk and to Rule 403(b) allowing offset of positions in contracts having same specfications other than size and which have been designated as fungible. 11/12/2008 Certified 04/20/2009 1
OCC Amendment to ByLaw to permit the clearing and settling of options on the realized variance and realized volatility of an index. 07/30/2008 Certified 07/31/2008 1
CBT Amendment to CBT's Rule 817 regarding its liquidity facility to harmonize with the liquidity facility rules of the CME and NYMEX. 10/30/2009 Certified 11/02/2009 1
MIAX Amendment to certain reporting deadlines. 10/31/2019 Certified 11/15/2019 1
OCC Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. 03/22/2010 Non-Approval 06/14/2010 2
OCC Amendment to clarify use of suspended clearing member's margin deposits in order to meet liquidity needs. 10/12/2011 Certified 10/27/2011 1
OCC Amendment to close out netting procedures with respect to FIN 39 06/22/2007 Certified 06/22/2007 1
CME Amendment to CME, CBOT, and NYMEX/COMEX Rule 853. ("Transfers of Trades and Customer Accounts") 05/19/2021 Certified 06/03/2021 1
ICLR US Amendment to Collateral and Cash Management Fees 02/10/2014 Certified 02/26/2014 1
ICLR US Amendment to Collateral Policy 12/22/2016 Withdrawn 01/06/2017 2
ICLR US Amendment to Collateral Policy 01/18/2017 Certified 02/01/2017 2
CME Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. 08/20/2008 Certified 08/28/2008 1
CBT Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. 08/20/2008 Certified 08/28/2008 1
NODALCL Amendment to confidentiality provisions to permit sharing of non-public information with affiliates of the Exchange. 05/19/2017 Certified 06/05/2017 2
OCC Amendment to correct clerical errors to previous submission amending and supplementing rules to address certain issues related to OCC's Stock Loan/Hedge Program 10/20/2008 Certified 10/20/2008 1
ICE NGX Amendment to CPA product list to add new Ontario electricity, natural gasa and crude oil products that will become available for trading and/or clearing on the NGX trading system and/or the NGX clearing system. 07/27/2009 Certified 08/11/2009 1
ICE NGX Amendment to Default Management Procedures 12/16/2022 Certified 01/03/2023 2
OCC Amendment to definition of term Adjustment Increment with respect to stock futures. 02/26/2010 Certified 03/01/2010 1
ICE NGX Amendment to Definitions, Section 2.6, 7.2, 7.3 and Schedule "C" of the CPA 03/14/2019 Certified 03/28/2019 1
NYPC Amendment to Disciplinary Proceedings 08/16/2011 Certified 08/31/2011 1
CCUS Amendment to Dispute Resolution Rules 06/09/2023 Certified 06/26/2023 1
CME Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1