Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
CME See filing. 01/19/2023 Certified 02/02/2023 2
LCHSA See attached document. 07/02/2019 Certified 07/17/2019 1
LCHLLC Security Interest Amendments, Ballot Removal, Bankruptcy Representations and other ancillary changes. 06/30/2014 Certified 07/16/2014 1
CME Security Deposit 04/09/2001 Certified 04/09/2001 0
CME Security Deposit 07/05/2001 Certified 07/05/2001 0
CME Securities Lending Program 02/02/2001 Certified 02/02/2001 0
CME Section 90102.E of the CME Rulebook is being updated to reflect the addition of MXN-TIIE-BANXICO Rate Option for interest rate swaps denominated in Mexican Peso ("MXN"). 11/01/2013 Certified 11/19/2013 1
CME Second Amended and Restated Cross-Margining Agreement and Service Level Agreement between Options Clearing Corporation and Chicago Mercantile Exchange Inc. 10/08/2020 Certified 10/23/2020 2
CCORP Seaboard Securities 08/17/2006 Certified 08/17/2006 0
ICECC SDR Firm Trade Reporting Rule establishing that ICC will fulfill CM obligations for the firm trades ICC clears pursuant to Part 45 until the No-Action relief expires. ICC will serve as a third-party provider to its CMs for Part 43 reporting requirements. 03/04/2013 Certified 03/19/2013 1
CME Satisfaction of Clearing House Obligation 04/20/2001 Certified 04/20/2001 0
LCHSA SA ISDA New CDS Definitions 09/04/2014 Certified 09/18/2014 7
CBT Rules to implement the Financial Instruments Clearing Member (FICM) program. 02/25/2011 Certified 02/25/2011 1
CME Rules to implement the Financial Instruments Clearing Member (FICM) program 02/25/2011 Certified 02/25/2011 1
OCC Rules to clear and settle Spot Gold Futures, SR-OCC-2012-02 01/24/2012 Certified 02/08/2012 1
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
ICLREU2 Rules related to treatment of cleared swap customer margin in accordance with Part 22 of the Commission's regulations and terms governing delivery of certain notices related to CDS contracts. 10/24/2012 Certified 11/08/2012 1
OCC Rules implementing a minimum clearing fund size designed to permit OCC to draw in full on its committed credit facilities that are secured by the clearing fund; SR-OCC-2012-19. 10/18/2012 Certified 11/02/2012 1
ICLREU2 Rules clarifying the types of letters of credit that may be used by non-financial institutions that are clients of FCM Clearing Members. The letters of credit will be accepted as permitted cover for Energy Clearing initial margin. 11/09/2012 Certified 11/28/2012 1
LCHLLC Rules 908 and 909 incorporate the contract specifications of two new futures contracts to be cleared by IDCH - the IDEX USD Defined Roll Interest Rate Swap Futures Contract and the IDEX USD Forward Start Defined Roll Interest Rate Swap Futures Contract. 08/05/2010 Certified 08/05/2010 1
LX Rulebook updates to reflect new d/b/a MIAX Derivatives Exchange 06/07/2024 Notified 06/07/2024 1
LX Rulebook update 04/08/2022 Certified 04/22/2022 2
LCHLTD Rulebook changes to accommodate straight-through processing. 04/15/2013 Certified 04/30/2013 1
LCHLTD Rulebook changes in support of the LCH LTD ForexClear service launch of clearing for FX Options. 03/15/2018 Certified 03/29/2018 1
LCHLTD Rulebook amendments to provide for LCH's change to pricing used when valuing securities collateral delivered to it by clearing members. 03/01/2017 Certified 03/15/2017 1
NADEX Rulebook amendments to identify contracts as "swaps" as defined under 17 USC 1a(47), to accommodate swaps, and reflect appropriate language. 06/14/2013 Certified 06/29/2013 1
LX Rulebook Amendments for the LedgerX DCM 06/24/2019 Certified 07/09/2019 2
LX Rulebook amendment 09/19/2017 Certified 10/03/2017 1
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
OCC Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 1
OCC Rule primarily applicable to securities 07/24/2006 Certified 07/24/2006 1
OCC Rule primarily applicable to securities 07/12/2006 Certified 07/12/2006 1
OCC Rule primarily applicable to securities 06/26/2006 Certified 06/26/2006 1
OCC Rule primarily applicable to securities 06/08/2006 Certified 06/08/2006 1
OCC Rule primarily applicable to securities 04/26/2006 Certified 04/26/2006 1
OCC Rule primarily applicable to securities 01/12/2006 Certified 01/12/2006 1
OCC Rule primarily applicable to securities 01/11/2006 Certified 01/11/2006 1
OCC Rule primarily applicable to securities 12/09/2005 Certified 12/09/2005 1
OCC Rule primarily applicable to securities 11/09/2005 Certified 11/09/2005 1
OCC Rule primarily applicable to securities 10/13/2005 Certified 10/13/2005 1
OCC Rule primarily applicable to securities 09/29/2005 Certified 09/29/2005 1
OCC Rule primarily applicable to securities 08/16/2005 Certified 08/16/2005 1