Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE NGX Amendment of the CPA to lengthen the time period in which a participant may notifty NGX of early termination in the event of an Exchange Bankruptcy Event of Default (a defined term) and to update the definition of Crude Month Accounts Net Payable. 11/06/2009 Certified 11/09/2009 1
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
LX Amendment of Rulebook. 07/27/2022 Withdrawn 08/04/2022 2
MIAX Amendment of Rule 2106.00. 02/25/2021 Certified 03/11/2021 1
MIAX Amendment of Regulation 1229.00. in order to make enforcement deadlines consistent with deadlines established in Resolution 2101.00.C. and amendment of Regulation 2014.00. in connection with changes to MGEX's process for calculating settlement prices. 06/10/2014 Certified 06/25/2014 1
MIAX Amendment of MGEX Rules and Resolution to change reporting deadlines 11/16/2017 Certified 12/01/2017 1
MIAX Amendment of MGEX Bylaws and Rules in anticipation of expected merger; changes to be effective after merger. 10/07/2020 Certified 10/22/2020 1
ICLR US Amendment of eligibility requirements for clearing members 11/21/2007 Certified 11/29/2007 1
OCC Amendment of definition of "fund share" to include a security as defined in Section 3(a)(10) of the Securities Exchange Act of 1934. 10/04/2007 Certified 10/09/2007 1
MIAX Amendment of deadlines to incorporate new BRIXX contracts 09/14/2021 Certified 09/28/2021 1
NADEX Amendment of all rules to change the name of the DCO to the North American Deriviatives Exchange, Inc. ("Nadex") effective June 21, 2009, delete references to "Hedgelets," and amend a footnote to Rule 12.7. 06/19/2009 Certified 06/23/2009 1
ICECC Amendment of rulebook to provide for the clearance of the CDX Emerging Markets Index CDS (CDX.EM) and to make a conforming change to the definition of "Restructuring CDS Contract" to encompass components of CDX.EM subj to a restructuring credit event. 05/21/2012 Certified 06/05/2012 1
CME Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/26/2009 Certified 06/01/2009 1
OCC Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/22/2009 Certified 06/01/2009 1
OCC Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security 08/25/2010 Certified 08/25/2010 1
ICLR US Amendment increasing maximum size of a clearing member's Guaranty Fund contribution; 12-25 04/24/2012 Certified 05/09/2012 1
OCC Amendment changing description of fixed exercise settlement amount and clarifying that escrow deposits are not permitted in respect of binary options 07/23/2008 Certified 07/29/2008 1
ICLR US Amendment and clarification to Super Margin and Add On Margin requirements 12/16/2013 Certified 01/01/2014 1
ICLR US Amendment and clarification to Default and Governance provisions 12/16/2013 Certified 01/01/2014 1
ICLR US Amendment and clarification re: original margin and treatment of confidential information 01/31/2014 Certified 02/15/2014 1
MIAX Amendment and adoption of new definition and Regulations in connection with liquidity risk management. Amendment of Resolution in order for the MGEX Board of Directors to delegate certain risk management powers. 12/30/2013 Certified 01/15/2014 1
LCHLTD Amending rules to (i) clarify netting procedures, (ii) update its Deed of Assignment, and (iii) clarify SwapClear fees. 08/16/2012 Certified 08/31/2012 1
LCHLTD Amending regulations and procedurse to: eliminate its credit exposure to its Protected Payment System banks, permit the collection of interest from members where a negative interest rate is in effect on cash margin, and add Buffer Accounts. 08/17/2012 Certified 09/01/2012 1
ICE NGX Amending provisions relating to protection of personal information, confidentiality, update terminology and update descriptions. 03/05/2024 Certified 03/19/2024 1
OCC Amending OCC's By-Laws to allow the Corporation to approve OCC's form of clearing member application and form of clearing agreement rather than its Board of Directors; SR-OCC-2012-12R 07/16/2012 Certified 07/31/2012 1
NADEX Amending membership obligations rule to reflect verbatim the Commission's Regulation 39.16(d)(1) regarding member notification in the event of bankruptcy petition and broader requirements of notification in specific instances. 08/03/2012 Certified 08/18/2012 1
LX Amending fee schedule for new participants. 01/03/2019 Notified 01/03/2019 2
NADEX Amending definition of Financial Institution for acceptable deposits, broadening means of deposit in Agreement, clarifying procedure for non-US resident members to make withdrawals. 02/27/2015 Certified 03/13/2015 1
ICE NGX Amending CPA to clarify: a) provisions in the case of an exchange default, and b) that Contracting Parties must represent that they have appropriate risk management policies and procedures. # 2014-01 03/28/2014 Certified 04/12/2014 1
ICE NGX Amending CPA and RMF to reflect changes in how positive financial sales credit amounts are reflected in a Contracting Partys margin requirements. 09/11/2024 Withdrawn 09/24/2024 2
ICLREU2 Amending contract terms for Financial Power Contracts and the Financial Gas Contract re number of days or months in the respective contracts' series. 02/23/2012 Certified 03/09/2012 1
NADEX amending certain rules in order to clarify certain definitional terms, provide further detail on Member Obligations, provide technical amendments to certain contract specifications, and the correction of typographical errors 09/08/2023 Certified 09/22/2023 2
CCORP Amended Rules provide for the addition of a new Exchange Market, ICE Futures U.S., Inc. and contain deletions related to delisted products and Exchange Markets for which The Clearing Corporation no longer clears. 01/31/2013 Certified 02/15/2013 1
OCC Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program 12/16/2010 Certified 12/16/2010 1
NADEX Amended Order of Registration 12/01/2004 Certified 12/01/2004 1
LX Amended Operations Manual 09/21/2017 Certified 10/05/2017 2
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 0
LCHLTD Amended Default Rules September 2006 09/14/2006 Certified 09/14/2006 0
NADEX Amended DCM Order 12/05/2005 Certified 12/05/2005 1
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
CCORP Amended Articles of Incorporation, By-Laws and Rules 10/30/2003 Certified 10/30/2003 1
CME Amended and Restated Non-Proprietary Cross-Margining Agreement with addition of security futures on two ETFs based on broad-based securities indices as new eligible contracts. 04/17/2009 Certified 04/20/2009 1
NYMEX Amend's to Ch. 1 & 101 to modify def'n of Clearing Assoc., Clearing House, or Clearing Dept.; amend. to Rule 3.31 to reflect that membership comm'ee no longer governs clearing firms; and other amend's in Ch. 9 due to change in corporate structure. 08/20/2008 Certified 08/28/2008 1
NYPC Amend rules 101, 102, 306, and 308 re: financial reporting, reporting of ownership/structure changes and conforming definition changes. 03/30/2011 Certified 03/30/2011 1
ICLR US Amend rule to codify duty to collect higher level of margin for non-hedge positions; 12-29 05/04/2012 Certified 05/19/2012 1
CME Amend Rule 802 to make CME's capital contribution to the financial safeguards package that includes the Base Guaranty Fund $100 million 06/05/2012 Certified 06/20/2012 1
OCC Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. 06/10/2008 Certified 06/17/2008 1
NYPC Amend Rule 506 (close out netting) action taken in event of insolvency 12/16/2011 Certified 01/04/2012 1
NYPC Amend Rule 410 re transfer of customer positions 12/16/2011 Certified 01/04/2012 1
ICLR US Amend Rule 301 to require clearing member to promptly notify ICUS if it becomes subject of a bankruptcy petition or receivership or similar proceeding. 12-11 03/05/2012 Certified 03/20/2012 1