Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule change to accommodate OCC's clearance of physically-settled futures contracts on U.S. Treasury Notes and Bonds. 07/01/2009 Certified 07/27/2009 1
OCC Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. 07/01/2010 Certified 07/07/2010 1
OCC Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). 01/19/2011 Certified 01/19/2011 1
OCC Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. 08/12/2009 Certified 08/18/2009 1
OCC Rule change to charge clearing fees for trades executed on OneChicago one side of which are cleared by CME equal to fees charged for trades both sides of which are cleared by OCC clearing members. 03/25/2009 Certified 04/16/2009 1
OCC Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. 05/24/2012 Certified 06/09/2012 1
OCC Rule change to modify fee schedule to adopt fee for Stock/Loan Hedge and Market Loan Program transactions 03/06/2009 Certified 03/12/2009 1
OCC Rule change to permit dividend equivalent payments to be principally effected through the facilities of the DTC with respect to OCC's Market Loan Program. 09/28/2009 Certified 09/28/2009 1
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
OCC Rule change to reduce ancillary service fees charged to Tier I, II, III and IV clearing members and to reduce leased line charges for subscribing clearing members. 05/28/2009 Certified 06/01/2009 1
OCC Rule change to revise minimum eligibility criteria applicable to common stock deposited as performance and to common stock loaned through OCC's Stock Loan Programs. 08/28/2009 Certified 09/02/2009 1
OCC Rule change to specify auction process as one possible way to liquidate a defaulting clearing member 06/30/2011 Certified 06/30/2011 2
OCC Rule change with respect to OCC obligations to pay settlement amounts to clearing members generally, as well as in emergency situations. 04/28/2011 Certified 04/28/2011 1
OCC Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 10/04/2010 Certified 10/04/2010 1
ICE NGX Rule changes and establishment of a new schedule to cover bilateral transactions which are trades entered into on NGX as a trading system but then not cleared through NGX, the clearing organization. 07/27/2009 Certified 08/11/2009 1
LCHLTD Rule changes clarifying ForexClear and EnClear's rights to eject cleared contracts. 04/29/2013 Certified 05/14/2013 1
OCC Rule changes creating a framework for OCC to provide clearing services for stock loan and borrow transactions effected through electronic trading systems. 12/22/2008 Certified 12/30/2008 1
LCHLTD Rule changes in support of the LCH.Clearnet Limited, ForexClear service introduction of Package Trades clearing. 09/09/2015 Certified 09/23/2015 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
ICLREU2 Rule changes obligating CDS clearing members to make certain payments related to FATCA as necessary. 05/13/2013 Certified 05/29/2013 2
ICLREU2 Rule changes obligating CDS clearing members to make certain payments related to FATCA as necessary. 05/19/2013 Certified 06/04/2013 1
ICLR US Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. 03/26/2010 Certified 03/31/2010 1
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06(revised). 05/13/2013 Certified 05/29/2013 1
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06. 05/02/2013 Withdrawn 05/13/2013 2
MIAX Rule changes related to establishment of a Risk Management Committee, which replaces the Clearing House Committee. 04/03/2013 Certified 04/18/2013 1
OCC Rule changes related to the central clearing of OTC index options on the S&P 500 Index. 08/30/2012 Certified 09/15/2012 1
OCC Rule changes related to the change of expiration date from the Saturday following the third Friday of the specified expiration month to the third Friday of the specified expiration month; SR-OCC-2013-04 and SR-OCC-2013-802. 04/17/2013 Certified 05/02/2013 2
ICECC Rule changes related to the time frame under which trades must be accepted or rejected for clearing consistent with Commission Regulations 39.12(b)(7) and 23.506. 09/20/2012 Certified 10/05/2012 1
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05. 05/02/2013 Withdrawn 05/15/2013 2
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05(revised). 05/13/2013 Certified 05/29/2013 1
OCC Rule changes revising eligibility requirements for deposit of ETFs and stocks as margin. 04/14/2009 Certified 04/16/2009 1
SGX-DC Rule changes to align capital and financial requirements for Clearing Members in the SGX-DC Clearing Rules to a risk-based capital framework set out under Singapore legislation 11/24/2014 Certified 12/08/2014 1
LCHLTD Rule changes to allow generation of reports to Clearing Members using the Duo Compression service 01/20/2016 Certified 02/02/2016 1
CME Rule changes to CME/CBOT/NYMEX Rules 802, 813, 816, 817, 818, 827, 913, and 930 and to CME Rule 8B04 and to various provisions in Rules 8F01 - 8F25 related to the clearing of OTC credit default swaps and to make various conforming rule changes 12/11/2009 Certified 12/24/2009 1
LCHLLC Rule changes to comply with CFTC Rules applicable to DCOs that become effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
OCC Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 04/10/2012 Certified 04/25/2012 1
ICLR US Rule changes to effect amended Guaranty Fund allocation methodology. 08/28/2019 Certified 09/12/2019 2
LCHLTD Rule Changes to extend the Listed Interest Rate Derivatives service and the PortfolioMargining service to FCMs and their clients 02/27/2017 Certified 03/13/2017 2
LCHLTD Rule changes to include provisions for Custodial Segregated Accounts, a new type of client account being offered under LCH's EMIR Client account model. 12/15/2016 Certified 12/30/2016 1
ICLREU2 Rule changes to reflect clearing relationship between ICE Clear Europe Limited and ICE Futures U.S. and the delivery procedures applicable to ICE Futures U.S. contracts. 09/18/2012 Certified 10/03/2012 1
LCHLTD Rule changes to reflect SwapClear service being operational at 5 am, in LCH's discretion, and to clarify certain provisions applicable to the Rates service 02/08/2017 Certified 02/22/2017 1
CCH Rule changes with respect to Petition to Modify DCO Order issued April 20, 2010 to remove conditions limiting the DCO to clearing only media-related contracts. 10/06/2010 Approved 02/11/2013 6
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1