Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i). Rule amendment makes it clear that only initial margin is implicated; SR-OCC-2012-17A1. 10/11/2012 Certified 10/26/2012 1
OCC Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i); SR-OCC-2012-17. 09/14/2012 Certified 09/29/2012 1
OCC Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index 09/27/2011 Approved 06/13/2013 12
ICLREU2 Rule amendment relating to use of Letters of Credit by Clearing Members as Permitted Cover in respect of Original Margin 04/20/2012 Certified 05/05/2012 3
CCH Rule amendment removes letters of credit from the list of instruments or assets that may comprise the Clearinghouse's guaranty fund; 2012-6. 10/01/2012 Certified 10/17/2012 1
ICLR US Rule amendment requiring the execution and provision of cross-margining documents by clearing members in order to participate 12/17/2007 Certified 12/28/2007 1
MIAX Rule amendment to allow MGEX officers to make non-substantive updates. 05/08/2017 Certified 05/22/2017 1
OCC Rule amendment to clarify applicability of rules governing delivery of Treasury Securities underlying Treasury Futures to those with maturities greater than 25 years; SR-OCC-2012-20. 10/22/2012 Certified 11/06/2012 1
OCC Rule amendment to clarify that index optinos cleared by OCC may include options on foreign currency indexes, inlcuding options on the ISE Leveraged USD Basket Index. 07/01/2009 Certified 07/01/2009 1
OCC Rule amendment to establish jurisdictional status of Alpha Options 11/17/2011 Approved 01/30/2012 4
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares 12/14/2009 Approved 06/14/2010 2
OCC Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. 07/24/2008 Approved 12/03/2008 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
OCC Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares 07/23/2008 Approved 12/03/2008 1
CBT Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. 11/10/2008 Certified 11/24/2008 1
CME Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. 11/10/2008 Certified 11/24/2008 1
CCH Rule amendment to provide, among other things, that the Board must have seven members, of which three must be public directors, and that no less than 35% of the Board must be composed of public directors; 2012-2. 10/01/2012 Certified 10/17/2012 1
LCHLLC Rule amendment to reflect changes to the Risk Committee charter, the creation of a Nominating committee, and to make other conforming changes. 05/28/2010 Certified 06/04/2010 1
NODALCL Rule Amendment to specifically exclude the appointment of a receiver for purposes or resolution from the definition of "Insolvency" and "Insolvent". 08/02/2018 Certified 08/16/2018 2
MIAX Rule amendment to update the membership requirement as it pertains to clearing privileges. 07/19/2012 Certified 08/03/2012 1
ICLR US Rule Amendment. 03/11/2020 Certified 03/25/2020 2
ICLR US Rule Amendments 11/13/2024 10 Day Review 11/13/2024 2
ICLR US Rule Amendments 01/19/2021 Certified 02/02/2021 2
ICLR US Rule Amendments 02/22/2024 Certified 03/07/2024 2
ICLR US Rule Amendments 11/15/2022 Certified 11/30/2022 2
ICLR US Rule Amendments (Risk Management Framework and Default Management Procedures) 01/03/2022 Certified 01/18/2022 2
ICLR US Rule amendments altering the composition of the Board of Directors and creating a Risk Committee 04/16/2009 Certified 04/17/2009 1
MIAX Rule amendments are part of an overall reorganization that includes changes for greater clarity and efficiency. 12/21/2018 Certified 02/08/2019 1
ICE NGX Rule amendments clarify language relating to daily settlement products/transactions and to add new products 10/14/2010 Certified 10/14/2010 1
SGX-DC Rule amendments for changes to the SGX-DC Clearing Fund and changes to the default management process and the SGX-DC Clearing Fund in relation to OTC financial derivatives contracts. 02/27/2014 Certified 03/14/2014 1
SGX-DC Rule amendments for changes to the SGX-DC Clearing Fund and changes to the default management process and the SGX-DC Clearing Fund in relation to OTC financial derivatives contracts. Amendment to a previous self-certification filed by SGX-DC on 2-27-14. 05/27/2014 Certified 06/11/2014 1
CME Rule Amendments for CME to Clear for FEX Exchange. 07/03/2018 Certified 07/18/2018 1
SGX-DC Rule amendments for specification of final settlement price methodology for the SGX Hot-Rolled Coil Steel CFR ASEAN Swap contract. 01/22/2014 Certified 02/06/2014 1
EUREX Rule amendments in Eurex Clearing Circular 086-22 related to amendments to the Price List re: an additional fee for USD cash deliveries that lead to an overcollateralization on quarter ends and other clarifications 11/22/2022 Certified 12/07/2022 2
SGX-DC Rule amendments in relation to the clearing of SGX Malaysian ringgit and Thai baht non-deliverable interest rate swap contracts. 02/26/2014 Certified 03/13/2014 1
SGX-DC Rule amendments in relation to the SGX petrochemical swaps contracts. This is an amendment to a previous self-certification filed by SGX-DC on 23 September 2014. 11/17/2014 Certified 12/01/2014 1
ICLREU2 Rule amendments in relation to time frame for clearing of CDS contracts. 09/21/2012 Certified 10/06/2012 1
MIAX Rule amendments made in connection with closure of open outcry 02/04/2022 Certified 02/18/2022 1
ICLREU2 Rule amendments re conversion of the MISO Cinergy Hub to the MISO Indiana Hub 10/06/2011 Certified 10/22/2011 1
ICLR US Rule amendments related to EU Equivalence Determination 11/02/2016 Certified 11/17/2016 1
LCHLTD Rule amendments that clarify LCH.Clearnet's right to eject cleared contracts that result from the registration of ineligible transactions submitted to the SwapClear service. 04/26/2013 Certified 05/11/2013 1
OCC Rule amendments to allow clearing members to deposit fully paid or excess margin securities carried for the account of a securities customer to the extent that such deposits are permitted per SEC or SRO interpretive guidance or no-action relief 10/23/2009 Certified 11/02/2009 1
ICLR US Rule amendments to allow DCO President to require additional margin be deposited to preserve DCO fiscal integrity and an orderly marketplace when certain conditions are determined to exist. 09/30/2009 Certified 10/05/2009 1
CME Rule amendments to allow FCM clearing member CEOs and CFOs to designate authorized representatives to approve certain disbursements of customer funds; 12-281. 09/13/2012 Certified 09/28/2012 1
CME Rule amendments to Chapter 415x to accept for clearing Cleared-Only S&P GSCI ER Index Swap contracts 03/04/2009 Certified 03/06/2009 1
SGX-DC Rule amendments to clarify the scope of Clearing Members' obligation to provide information to SGX-DC for trade reporting purposes. 03/07/2014 Certified 03/22/2014 2
NYPC Rule amendments to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/20/2012 Certified 05/05/2012 1
ICLR US Rule amendments to conform with CFTC Part 39 DCO rules effective May 7, 2012; 12-26 04/20/2012 Certified 05/05/2012 1