Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Assignment Procedures, Exercise Notices 08/14/2002 Certified 08/14/2002 0
ICLR US Default Fund Rule Amendment Approved 08/20/2002 Approved 08/20/2002 0
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
ECC Interim Board of Directors 09/10/2002 Certified 09/10/2002 0
LCHLTD EnClear Natural Gas 09/12/2002 Certified 09/12/2002 0
NYMEX OTC Trade Submission 09/25/2002 Certified 09/25/2002 0
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
OCC Stocks Hedge Loan Program 10/02/2002 Certified 10/02/2002 0
OCC FCM requirements 10/08/2002 Certified 10/08/2002 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
ECC VMAC 10/10/2002 Certified 10/10/2002 0
OCC Market Makers as Segregated Customers 10/17/2002 Certified 10/17/2002 0
CME Remote Clearing 10/22/2002 Certified 10/22/2002 0
CME Settlements, Settlement Prices 11/01/2002 Certified 11/01/2002 0
LCHLTD Procedural Amendments 11/01/2002 Certified 11/01/2002 0
LCHLTD SwapClear Fees & Charges 11/01/2002 Certified 11/01/2002 0
NYMEX Transco Basis SWAPs 11/05/2002 Certified 11/05/2002 0
LCHLTD Collateral Rules 11/08/2002 Certified 11/08/2002 0
OCC Multiple Accounts of Clearing Members 11/19/2002 Certified 11/19/2002 0
LCHLTD SwapClear Members & Dealers 11/25/2002 Certified 11/25/2002 0
CCORP Categories of Governors 12/09/2002 Certified 12/09/2002 0
NYMEX Trade submission deadlines 12/13/2002 Certified 12/13/2002 0
LCHLTD Endex Clearing (Dutch Electricity) 12/16/2002 Certified 12/16/2002 0
CME Anti Money Laundering 12/17/2002 Certified 12/17/2002 0
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
NYMEX Eliminates OTC Reference 01/22/2003 Certified 01/22/2003 0
CCORP Non-cash margin 02/20/2003 Certified 02/20/2003 0
ICLR US Closing Out Positions of Expelled or Suspended Clearing Members 02/24/2003 Certified 02/24/2003 0
NYMEX PJM Electricity Futures 04/10/2003 Certified 04/10/2003 0
CME Clearing Membership Assignment Requirements 04/23/2003 Certified 04/23/2003 0
NYMEX Consolidation of NYMEX & COMEX Clearing 05/14/2003 Certified 05/14/2003 0
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
ECC By-Laws and Rules 06/22/2003 Certified 06/23/2003 0
ICLR US Segregation Requirements 07/17/2003 Certified 07/17/2003 0
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
CBT Transfer of Clearing Accounts 08/06/2003 Certified 08/06/2003 0
KCC Power of Board to suspend or revoke privileges of clearing members 08/21/2003 Certified 08/21/2003 1
OCC Settlement of Stock Futures 08/21/2003 Certified 08/21/2003 1
OCC Appointed Clearing Members 08/21/2003 Certified 08/21/2003 1
CME Clearing Member Net Capital 09/05/2003 Certified 09/05/2003 1
CME Disaster Recovery 09/05/2003 Certified 09/05/2003 1
CBT Financial Filing Requirements 09/22/2003 Certified 09/22/2003 1
CCORP Reorganization & Proxy Materials 09/24/2003 Certified 09/24/2003 0
CCORP USFE 09/25/2003 Certified 09/25/2003 1
CCORP CCORP Replaces GCC as DCO 10/01/2003 Certified 10/01/2003 0
CCORP CCORP (BOTCC) Replaces GCC as DCO for ME, ChemConnect, ICE 10/01/2003 Certified 10/01/2003 1