Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NADEX Nadex amends trading hours for Germany 30 and FTSE 100 Contracts 01/09/2014 Certified 01/25/2014 1
NADEX Nadex clarifies Investment of Member Funds in Chapter 8, close time for Fed Funds Binary Contracts, and Holiday Product Schedule Guidelines. 05/12/2014 Certified 05/27/2014 1
NADEX Nadex clarifies permissible Market Maker order types in Rules 4.4 and 5.10, and also amends its Fee Schedule to account for Market Maker balance adjustments resulting from executed non-Post-Only orders and clarify API fees. 03/28/2014 Certified 04/12/2014 1
NADEX Nadex ends Minimum Initial Deposit Promotion but will permanently remove the requirement of a specific initial deposit amount. Nadex is also adding a registered money services business or other similarly authorized institution as a means of deposit. 05/09/2022 Certified 05/23/2022 2
NADEX Nadex has submitted rule changes that adjust its settlement calculation for the AUD/JPY Contracts to increase the bid/ask spread to 10 pips for determining acceptable midpoints and amends language regarding Market Maker FIX Gateway connection fee. 12/10/2013 Certified 12/25/2013 1
NADEX Nadex institutes temporary free trading incentive program, which would waive fees for all individual and entities that become Members on or after the effective date, for a specified period of time relating to amount of Member's initial deposit. 08/31/2015 Certified 09/15/2015 1
NADEX Nadex is amending its Rulebook to add new definitions to its Definitions chapter and adding new prohibited actions. Nadex is also making some minor housekeeping changes/clarifications. 11/23/2016 Certified 12/08/2016 1
NADEX Nadex is amending Rule 12.25 by adjusting the contract range and Dollar multiplier for its ETH UpDown options contracts. Also, Nadex is amending Rule 3.1 to allow additional denominations for deposits and withdrawals. 07/05/2023 Certified 07/19/2023 1
NADEX Nadex is clarifying its Members' continuing notification obligations, clarifying when Nadex can suspend withdrawal requests, and adding disgorgement of ill-gotten profits as a potential disciplinary sanction. 11/04/2016 Certified 11/21/2016 1
NADEX Nadex is extending its $0 Minimum Initial Deposit promotion through May 31, 2022. 12/17/2021 Certified 01/04/2022 1
NADEX Nadex plans to launch a promotion, whereby applicants will be able to make an initial deposit of less than the standard $250 minimum deposit as required by Rule 3.1(b) to become a Trading Member. 10/14/2021 Certified 10/28/2021 1
NADEX Nadex plans to launch a promotion, whereby applicants will be able to make an initial deposit of less than the standard $250 minimum deposit as required by Rule 3.1(b) to become a Trading Member. 08/13/2021 Certified 08/27/2021 1
NADEX Nadex reduces the required notice period to Members prior to imposing dues or increasing fees from 30 days, to a period of at least as long as the Commission's required filing period for self-certifications according to Reg. 40.6(a). Also affects as DCM. 02/20/2015 Certified 03/06/2015 1
NADEX Nadex takes emergency action pursuant to Nadex Rule 2.4 to delay listing its Initial Jobless Claims and Federal Funds Binary contracts as the result of the government shutdown. 10/18/2013 Certified 11/01/2013 1
NADEX Nadex takes emergency action pursuant to Nadex Rule 2.4 to delay listing its Initial Jobless Claims Binary contracts as the result of the government shutdown, the effects of which have the potential to materially affect the performance of those contracts. 10/01/2013 Certified 10/31/2013 1
NADEX Nadex takes emergency action pursuant to Nadex Rule 2.4 to delay listing its Initial Jobless Claims Binary contracts as the result of the government shutdown, the effects of which have the potential to materially affect the performance of those contracts. 10/11/2013 Certified 10/31/2013 1
NADEX Nadex will adjust the position limits for its Bitcoin and Ether Cryptocurrency Touch Bracket Variable Payout Contracts from 100 to 10 lots for Direct Trading Members and from 100,000 to 10,000 (on a per strike basis) for market makers. 01/17/2023 Certified 01/31/2023 1
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
NYMEX Natural Gas Options & Crude Refined Options Volume Incentive Program; 12-043 02/13/2012 Certified 02/29/2012 3
OCC Netting of Member Accounts in Case of OCC Bankruptcy 10/26/2005 Certified 10/26/2005 0
CBT New CBOT Rule 818 "Close-Out Netting." 02/12/2009 Certified 02/26/2009 1
ICECC New CDS contracts to be accepted for clearing (iTraxx Europe contracts and European single-name contracts) 09/28/2012 Certified 02/14/2013 1
CME New Chapter 10 and new Rule 1001 regarding swap data repository reporting; New submission amending submission 12-391. 12/06/2012 Approved 03/06/2013 2
CME New Chapter 10 and new Rule 1001 regarding swap data repository reporting; 12-391 11/13/2012 Withdrawn 12/06/2012 1
CME New Chapter 29A for for the clearing of CBOT Dow-Jones-UBS Commodity Index Swaps 11/12/2009 Certified 11/30/2009 1
CME New Chapter 415E for the clearing of S&P GSCI Excess Return Index 2 Month Forward Swap Contracts (Cleared OTC) 03/09/2010 Certified 03/12/2010 1
CME New Chapter 415F for the clearing of S&P GSCI Excess Return Index 3 Month Forward Swap Contracts (Cleared OTC) 03/09/2010 Certified 03/12/2010 1
ICLREU2 New Cleared OTC Products 02/16/2012 Certified 03/03/2012 1
CME New clearing fees applicable to cleared OTC interest rate swaps 12/20/2011 Certified 01/06/2012 1
MGEX New Clearing System Rule Amendments 05/09/2023 Certified 05/23/2023 1
LCHLTD New client clearing fee structure 03/16/2012 Certified 03/31/2012 1
CME New CME Chapter 415B setting forth the terms and conditions and the rules for clearing new OTC-traded contracts based on the S&P/GSCI ER Index 10/14/2009 Certified 11/02/2009 1
CME New CME Chapter 415C setting forth the terms and conditions and the rules for clearing cleared-only OTC-traded S&P/GSCI Excess Return Index Swap Contracts 10/15/2009 Certified 11/02/2009 1
CME New CME Chapter 415D setting forth the terms and conditions and the rules for clearing cleared-only S&P GSCI Crude Oil Excess Return Index Swap Contracts 10/15/2009 Certified 11/02/2009 1
NADEX New contracts based on M&As 06/07/2007 Certified 06/22/2007 1
NADEX New contracts based on M&As 05/17/2007 Certified 06/01/2007 0
LCHLTD New Disciplinary procedures and amendments to appeals procedures 12/20/2011 Certified 01/06/2012 1
CCORP New Eurex US Contracts 01/20/2005 Certified 01/20/2005 1
LCHLTD New Margin Collateral Haircut Schedule 05/11/2020 Certified 05/26/2020 2
ICLR US New procedures regarding the collection of intraday variation margin from clearing members and payment of intraday variation margin gains to clearing members; 12-72. 10/19/2012 Certified 11/03/2012 1
ICLREU2 New provisions addressing ICE Clear Europe Limited's recovery and resolution procedures upon the default of one or more clearing members. 03/07/2013 Withdrawn 03/14/2013 1
ICLREU2 New rule 410 governing SDR reporting pursuant to the Commission's Part 45 regulations. 03/15/2013 Withdrawn 03/21/2013 2
ICLREU2 New Rule 411, which governs SDR reporting pursuant to Part 45 of the Commission's regulations. 05/19/2013 Certified 06/04/2013 1
ICLREU2 New Rule 411, which governs SDR reporting pursuant to the Commission's Part 45 regulations. 05/13/2013 Certified 05/29/2013 2
ICLR US New Rule 605 re Deliveries of New Gold Daily Futures Contract 12/05/2016 Certified 12/19/2016 1
ICLR US New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin 12/15/2009 Certified 12/24/2009 1
CME New Rule 815: Third Party Execution Platforms for Swaps 02/12/2014 Certified 02/28/2014 2
CME New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions 11/14/2008 Certified 11/24/2008 1
CBT New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions 11/14/2008 Certified 11/24/2008 1
NYMEX New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0