Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHSA Pursuant to CFTC regulation 40.6(a), LCH SA is submitting for self-certification the refinement of the CDS Liquidity Margin initiative (Lot 3) to be implemented on 26 July 2016 07/12/2016 Certified 07/26/2016 1
LCHSA Pursuant to CFTC Regulation 40.6(d), LCH SA is submitting a Weekly Notification of a clearing notice amendment made effective during the week of April 23rd, 2018 in order to update the list of ATSS participants. 04/23/2018 Notified 04/23/2018 1
LCHLTD Pursuant to CFTC, LCH Limited is submitting for self-certification changes to its Rulebook required to implement a new initiative permitting ForexClear Clearing Members to contribute to the default fund in EUR cash. 05/03/2023 Certified 05/16/2023 1
LCHLTD Pursuant to Commodity Futures Trading Commission ("CFTC") regulation 40.6(a), LCH Limited, a derivatives clearing organization ("DCO") registered with the CFTC is submitting for self-certification proposed clarifications to the ForexClear Opening Hours. 07/29/2022 Certified 08/12/2022 3
LCHLTD Pursuant to the CFTC Regulation 40.6(a), LCH Limited ("LCH"), a derivatives clearing organization registered with the CFTC, is submitting for self-certification changes to the ForexClear fees that will be published on the LCH website. 12/14/2023 Certified 12/29/2023 1
NYMEX Raises Clearing Member Fund Balance Min; Uses Hybrid Formula to Calculate Contributions; Adds Surcharge for Position Limit Exemptions; and Adds MM Mutual Funds to Acceptable Deposits 03/10/2006 Certified 03/10/2006 1
ICE NGX Re-direction of company website and non-significant revisions to update cross-references. 04/18/2019 Notified 04/18/2019 1
LCHLLC Re-introduction of a backload discount plan for client clearing activity to SwapClear's client fee structure. 11/20/2013 Certified 12/06/2013 1
LCHLTD Re-introduction of a backload discount plan for client clearing activity to SwapClear's client fee structure. 11/20/2013 Certified 12/06/2013 1
NADEX Real-Time Account Funding Program 02/01/2007 Certified 02/01/2007 1
MIAX Reduction in membership pledge requirement for clearing privileges from two memberships to one 02/28/2008 Certified 02/29/2008 1
CBT Reduction in minimum price increments for CBT cleared-only OTC Denatured Fuel Ethanol Swap products 01/04/2008 Certified 02/12/2008 1
CME Reduction in the Number of Class A Shares Required to be held by Clearing Firms 09/20/2004 Certified 09/24/2004 1
OCC Reduction of threshold amounts used to determine the equity options that are deemed to be in the money for purposes of exercise by exception processing. 12/07/2007 Certified 12/27/2007 1
ICLR US Reg. 1.25 Funds to fulfill obligations to the Guaranty Fund 10/03/2006 Certified 10/03/2006 1
CME Regulation 40.10 Submission Regarding Chicago Mercantile Exchange Inc.'s Acceptance of Swaptions for Clearing 09/04/2014 Certified 12/15/2014 2
CME Remote Clearing 10/22/2002 Certified 10/22/2002 0
NYMEX Remote Clearing Solution 06/03/2005 Certified 06/17/2005 1
CCH Removal of guaranty fund from Rules 05/09/2023 Certified 05/23/2023 1
CME Removal of Membership Equivalent Deposit Requirement for OTC, IRS and CDS Clearing Members 01/07/2016 Certified 01/22/2016 1
CME Removal of the High Pay Threshold from the Concentration Margin Program 08/08/2018 Certified 10/02/2018 2
CCH Removal of the requirement that the Clearinghouse wait 30 days after a Participant fails to meet its margin or other financial obligations before suspending, revoking, limiting, conditioning, restricting or qualifying clearing privileges; 2013-2. 03/13/2013 Certified 03/28/2013 1
CCH Removal of Treasury securities from accepted collateral for margin; 2013-1. 03/13/2013 Certified 03/28/2013 1
LCHLLC Remove IDEX Futures Contracts from the rulebook 12/01/2011 Certified 12/16/2011 1
ICE NGX Removing "fax" as a means of delivery, replacing "fax" with "email". Amending the ICE NGX address for notices. 08/28/2020 Notified 08/28/2020 1
ICE NGX Removing sentence from section 3.3 of the CPA to remove potential ambiguity. 06/12/2018 Withdrawn 06/21/2018 1
NYMEX Renumbering of Rule 9.00B Close-Out Netting to Rule 8.18 12/30/2008 Certified 01/02/2009 1
CCORP Reorganization & Proxy Materials 09/24/2003 Certified 09/24/2003 0
CME Reorganization Plan 08/31/2001 Approved 11/16/2001 0
ICLREU2 Replacement of IntercontinentalExchange Inc. as the operator of its OTC market by ICE Commodity Markets, LLC 07/14/2011 Certified 07/14/2011 1
CME Request for Approval of Amended and Restated Cross-Margining Agreement and Service Level Agreement between Chicago Mercantile Exchange Inc. and Fixed Income Clearing Corporation 07/17/2023 Approved 09/01/2023 2
CME Request for approval to commingle customer positions and related collateral in Interest Rate Futures and Interest Rate Swaps in customer cleared swaps accounts; 12-151 05/24/2012 Approved 10/12/2012 4
CME Request for Approval to Commingle Customer Positions and Related Collateral in Listed Options on Interest Rate Futures Contracts and Interest Rate Swaps 10/19/2020 Approved 12/04/2020 2
CME Request for Approval to Commingle Significantly and Reliably Correlated Base Guaranty Fund Products 12/20/2016 Approved 02/03/2017 1
ICLR US Requirement to meet EMIR top up margin requirement with USD cash only 03/15/2017 Withdrawn 03/21/2017 2
NYMEX Requires Exchange Clearing Members to Own Two Exchange Memberships and 180K Shares of NYMEX Holdings Common Stock 03/13/2006 Certified 03/13/2006 1
OCC Rescinds a policy interpretation adopted by OCC's Securities Committee with respect to adjustments of listed equity options for dividends, and the corresponding policy in OCC bylaws applicable to security futures. 03/26/2012 Certified 04/10/2012 1
CBT Restatement of clearing member membership and shareholding requirements 09/27/2006 Certified 09/30/2006 1
LCHLTD Restrictions on Clearing Members and their clients operating in Japan, establishment of Hedged Accounts, Clearing Member responsibilities towards the Clearing House and providing risk disclosure to clients operating through a branch in Singapore 11/10/2016 Certified 11/28/2016 1
NYMEX Resubmission of rule accidentally omitted from rulebook: 2.32 - allows primary clearing members to issue a temporary 30 day guarantee to lease members who had their trading equity fall below the required minimums. 01/23/2008 Certified 02/04/2008 1
ICE NGX revised 'event of default' language; allow ICE NGX to retain interest under certain circumstances; enhanced powers to require information from clearing members; opportunity to be heard if membership denied/revoked/suspended 01/07/2020 Certified 01/22/2020 1
CBT Revised Chapter 8 regarding Clearing House and Performance Bonds and Chapter 9 regarding Clearing Members to harmonize with the CME's rulebook since the two DCOs are affiliated under a common parent entity, CME Group, Inc. 10/25/2007 Certified 10/25/2007 1
CME Revised Chapters 8 and 9 regarding Clearing House and Performance Bond and Clearing Members to harmonize with CBT rulebook Chapters 8 and 9 on the same topics since they are affiliated under common parent 10/25/2007 Certified 10/29/2007 1
LX Revised Enterprise Risk Management Plan 05/31/2019 Withdrawn 06/13/2019 2
LX Revised LedgerX Participant Agreement 03/12/2021 Withdrawn 03/25/2021 1
LX Revised LedgerX Participant Agreement 05/28/2021 Withdrawn 05/28/2021 1
LX Revised operations manual 11/14/2017 Certified 11/29/2017 3
CME REVISED-Extension of the CME OTC FX Fee Waiver Program. 12/04/2013 Certified 12/19/2013 1
LX Revision of Compliance Manual 10/03/2022 Withdrawn 10/13/2022 3
CCORP Revision of Cross-Margining Arrangement with Goverment Securities Clearing Corporation 04/03/2001 Certified 04/03/2001 0