Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE NGX Non-substantive and non-material amendments to the ICE NGX Contracting Party Agreement. 06/09/2023 Notified 06/09/2023 1
ICE NGX Non-significant changes to Fee Schedule and non-significant revision to names of certain Eastern Canada Delivery Points, with respect to Force Majeure provisions. 02/01/2019 Notified 02/01/2019 1
NYMEX Non-Member Cross-Venue Incentive Program for Energy Products 11-420 11/15/2011 Certified 12/01/2011 2
NYMEX Non-Member Core Energy Futures and Options Products and Overnight Trading Incentive Program; 12-236 07/16/2012 Withdrawn 07/27/2012 2
OCC Non-material, "housekeeping" changes so OCC's By-Laws and Rules better reflect current operational practices; SR-OCC-2013-13. 08/05/2013 Certified 08/20/2013 1
CCORP Non-cash margin 02/20/2003 Certified 02/20/2003 0
OCC Non Customers of broker Dealers 03/14/2006 Certified 03/14/2006 1
ICE NGX NGX is making this submission to advise the Commission that it is establishing, on a temporary basis, discounted transaction fees for certain physically settled gas futures products. 09/07/2016 Certified 09/21/2016 2
ICE NGX NGX is amending its CPA to ensure that U.S. taxpayers carry out their obligations under the Internal Revenue Code. 10/24/2014 Certified 11/07/2014 1
ICE NGX NGX is adopting a new margin methodology 03/29/2017 Certified 04/12/2017 2
LCHLLC New schedule of Securities Acceptable for Margin Cover Purposes due to changes to the haircuts applied to margin collateral. 02/12/2014 Withdrawn 02/25/2014 1
LCHLTD New schedule of Securities Acceptable for Margin Cover Purposes due to changes to the haircuts applied to margin collateral. 02/12/2014 Withdrawn 02/25/2014 1
CME New rules with respect to the clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
ICLREU2 New rules relating to Trade Date Clearing 04/12/2011 Certified 04/12/2011 1
ICLR US New rules provide for the clearing of Iron Ore Swaps 11/20/2009 Certified 11/30/2009 1
CME New rules in new Chapter 438D governing new OTC product - WRS Hurricane Risk Landfill Options 08/18/2008 Certified 08/28/2008 1
ICLR US New rules governing the substitution process in which an OTC transaction in currency and U.S. Dollar Index executed on a bilateral basis is submitted to ICLR in exchange for an equivalent number of futures contracts that are "cleared-only." 09/11/2007 Certified 09/19/2007 1
CME New rules governing LSOC with excess; 13-132. 04/05/2013 Certified 04/20/2013 1
NYMEX New rules for Chapter 7b regarding delivery. 06/24/2009 Certified 06/30/2009 1
CME New rules concerning credit default swaps and amendmens to OTC clearing rules. 06/16/2009 Certified 06/30/2009 1
CME New Rules Chapter 334 establishing rules governing the clearing of OTC London Gold Forward contracts listed by Comex for clearing-only. 08/12/2009 Certified 08/18/2009 1
ICLR US New rules and rule changes implementing the Commission's Section 4(c) order regarding the clearing of agricultural swaps. 01/23/2009 Certified 01/26/2009 1
KCC New Rules 8.02 and 8.03 establishing security deposits and default procedures to supplement resources and actions available in the event of a member default. 10/30/2008 Certified 10/30/2008 1
KCC New Rules 2100.01 and 2100.02 regarding FCM and customer requirements to particpate in clearing OTC ag swaps under Section 4(c) exemption. 03/01/2010 Certified 03/08/2010 1
CME New rule to permit compression for IRS contracts by coupon blending. CME #14-157 05/05/2014 Certified 05/20/2014 1
OCC New rule to accommodate futures contracts that are settled in a non-US currency. 10/22/2010 Certified 10/22/2010 1
CME New rule setting forth procedures for trade submissions on ClearPort clearing. 01/30/2009 Certified 02/03/2009 1
KCC New rule providing for the close-out of member positions and netting of member obligations in event of DCO insolvency. 06/17/2010 Certified 06/28/2010 1
CCH New rule outlines the proper and improper uses of non-public information; 2012-5. 10/01/2012 Certified 10/17/2012 1
CCH New rule outlines the following: (a) disciplinary offenses that would make an individual ineligible to serve as a member of the Board of Directors or a committee thereof or as an officer of the Clearinghouse; and (b) public director criteria; 2012-3. 10/01/2012 Certified 10/17/2012 1
CCH New rule on what constitutes a conflict of interest and the process to mitigate such a conflict upon discovery; 2012-4. 10/01/2012 Certified 10/17/2012 1
ICECC New rule governing SDR reporting obligations. 03/14/2013 Withdrawn 03/22/2013 2
ICECC New rule governing SDR reporting obligations. 03/22/2013 Withdrawn 04/04/2013 2
LCHLTD New Rule for IMMES Service 07/28/2014 Certified 08/11/2014 1
LCHLLC New Rule for IMMES Service 07/28/2014 Certified 08/11/2014 1
CCH New rule establishing the position of Chief Compliance Officer at the Clearinghouse; 2012-7. 10/01/2012 Certified 10/17/2012 1
NYMEX New Rule 993 fka Rule 9.25 12/11/2008 Certified 12/11/2008 1
CME New Rule 949 regarding credit control policies 04/28/2010 Certified 05/03/2010 1
NYMEX New Rule 9.23A titled Liquidity Facility adds Nymex and the clearing member collateral it holds to CME's credit facility. 10/20/2008 Certified 10/20/2008 1
NYMEX New Rule 9.00B provides for close-out netting of positions in the event of a clearing house default. 11/19/2008 Approved 11/19/2008 This Rule was Self-Certified on 11/19/2008 and Deemed Approved on 11/19/2008. 1
CME New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 1
CBT New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
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
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
CME New Rule 815: Third Party Execution Platforms for Swaps 02/12/2014 Certified 02/28/2014 2
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
ICLR US New Rule 605 re Deliveries of New Gold Daily Futures Contract 12/05/2016 Certified 12/19/2016 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
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