Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE NGX Amendment to Product List of CPA to add nine new products for trading and/or clearing on the NGX tradign system and/or NGX clearing system. 06/02/2009 Certified 06/04/2009 1
ICE NGX Amendments to CPA sections to change the effective period for certain revisions to Terms and Conditions and Schedules, clarify that NAFTA representation relates to North American oil and gas, and reduce notice period required for CPA termination. 06/02/2009 Certified 06/04/2009 1
ICLR US Amendments to By-Law Section 5.5 to revise order in which assets and sources are to be applied to cover a defaulted obligation of a cleairng member and to Rule 505 to allow use of pass-through letters of credit in lieu of cash margin deposits. 06/08/2009 Certified 06/09/2009 1
CME New rules concerning credit default swaps and amendmens to OTC clearing rules. 06/16/2009 Certified 06/30/2009 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
CME Amendments to add COMEX clearing members to the definition of OTC Clearing Member and to expand the application of capital requirements with respect to additional OTC cleared-only products. 06/24/2009 Certified 06/30/2009 1
CME Amendment to allow clearing members to accept physical gold to meet performance bond requrements. 06/24/2009 Certified 06/30/2009 1
NYMEX Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
CBT Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
CME Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
NYMEX Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
CBT Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
NYMEX New rules for Chapter 7b regarding delivery. 06/24/2009 Certified 06/30/2009 1
CME Amendments to OTC substitution rule. 06/30/2009 Certified 06/30/2009 1
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 amendment to clarify that index optinos cleared by OCC may include options on foreign currency indexes, inlcuding options on the ISE Leveraged USD Basket Index. 07/01/2009 Certified 07/01/2009 1
NADEX Amendments to rules to permit the intermediation of trading and clearing 07/08/2009 Certified 07/27/2009 1
CCORP Definition of Exchange Market is amended to add IFEX Event Linked, Eastern Seaboard Tropical Wind Events, and Northeast Tropical Wind Events futures contracts traded on CCFE. 07/23/2009 Certified 07/27/2009 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
ICE NGX Amendment to CPA product list to add new Ontario electricity, natural gasa and crude oil products that will become available for trading and/or clearing on the NGX trading system and/or the NGX clearing system. 07/27/2009 Certified 08/11/2009 1
NYMEX Eleven new option contracts on Natural Gas Basis locations which are EOOs will be submitted for clearing on CME ClearPort. 07/29/2009 Certified 08/11/2009 1
CME Ten new OTC Asian-Style and European-Style options on corn, soybeans, wheat, soybean oil, and soybean meal listed for clearing only on CBOT will be cleared by CME 07/29/2009 Certified 08/11/2009 1
CBT Ten new OTC Asian-Style and European-Style options on corn, soybeans, wheat, soybean oil, and soybean meal listed for clearing only on CBOT will be cleared by CME 07/29/2009 Certified 08/11/2009 1
NYMEX Revision to submission for eleven new opitions on Natural Gas Basis locations so that first contract month for all will be September 2009 rather than August 2009. These EOOs are submitted to CME ClearPort for clearing. 07/30/2009 Certified 08/11/2009 1
LCHLTD Liffe will take over the clearing role from LCH for Liffe contracts and then outsource back to LCH many of the clearing functions. LCH will continue to maintain the guarantee fund and risk management program. This will reduce LCH's risk exposure 08/04/2009 Certified 08/11/2009 1
CME The title of Chapter 415A for S&P GSCI ER Swap Contracts is changed to clarify that the contracts are cleared as OTC contracts and Rule 415A03 concerning final settlement prices is amended to delete a superfluous phrase. 08/11/2009 Certified 08/11/2009 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
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
NYMEX Amendments to rules to establish expiration accountability level last day contracts, reportable level and aggregation allocation for the OTC London Gold forwards contract. 08/18/2009 Certified 08/27/2009 1
NADEX Further amendments to rules to permit the intermediation of trading and clearing 08/21/2009 Certified 11/02/2009 1
CCORP Definition of Exchange Market in Chapter 1 of the rules is amended to add the Carbon Financial Instrument United States Futures contract traded on the Chicago Climate Futures Exchange, LLC. 08/26/2009 Certified 08/27/2009 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
LCHLTD LCH submits its Clearing Relationship Agreement (CRA), Termination Agreement (TA) and Tripartite Clearing Membership Agreement (TCMA). Only the latter is not subject to a request for confidential treatment. 09/22/2009 Certified 09/25/2009 1
CME Amendments to Rule 8F15 regardiing trade submission to CME Clearport 09/22/2009 Certified 09/22/2009 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
ICLR US Rule amendments to allow DCO President to require additional margin be deposited to preserve DCO fiscal integrity and an orderly marketplace when certain conditions are determined to exist. 09/30/2009 Certified 10/05/2009 1
CME New CME Chapter 415B setting forth the terms and conditions and the rules for clearing new OTC-traded contracts based on the S&P/GSCI ER Index 10/14/2009 Certified 11/02/2009 1
CME New CME Chapter 415C setting forth the terms and conditions and the rules for clearing cleared-only OTC-traded S&P/GSCI Excess Return Index Swap Contracts 10/15/2009 Certified 11/02/2009 1
CME New CME Chapter 415D setting forth the terms and conditions and the rules for clearing cleared-only S&P GSCI Crude Oil Excess Return Index Swap Contracts 10/15/2009 Certified 11/02/2009 1
CME Amendments to Rule 537 regarding substitution of futures for forwards and other CME rules to allow acceptance of OTC FX spot, forward and swap transactions as cleared-only futures through CME ClearPort. 10/15/2009 Certified 10/15/2009 1
NADEX Further amendments to rules to permit the intermediation of trading and clearing 10/21/2009 Certified 11/02/2009 1
ICE NGX Amendments to Article 3, Schedules A, C, E and H of NGX's Contracting Party's Agreement 10/21/2009 Certified 11/02/2009 1
ICE NGX Amendment to fee schedule of Contracting Party's Agreement to amend fees with respect to cleared & bilateral transactions in oil, clearing fees for physical oil at US delivery points and transaction fees for gas option transactions. 10/21/2009 Certified 11/02/2009 1
OCC A Link Framework Agreeement and an Associate Clearinghouse Agreement between OCC and Eurex Clearing AG to implement a clearing link arrangement to facilitate trading in options listed on the International Securities Exchange by Eurex Deutschland members 10/23/2009 Certified 11/02/2009 1
OCC Rule amendments to allow clearing members to deposit fully paid or excess margin securities carried for the account of a securities customer to the extent that such deposits are permitted per SEC or SRO interpretive guidance or no-action relief 10/23/2009 Certified 11/02/2009 1
CBT Amendment to CBT's Rule 817 regarding its liquidity facility to harmonize with the liquidity facility rules of the CME and NYMEX. 10/30/2009 Certified 11/02/2009 1
CME Clarification to CME Rule 975 concerning financial emergencies 10/30/2009 Certified 11/02/2009 1
CBT Clarification to CBT Rule 975 concerning financial emergencies 10/30/2009 Certified 11/02/2009 1
NYMEX Clarification to Nymex Rule 975 concerning financial emergencies 10/30/2009 Certified 11/02/2009 1
CME Changes to CME Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization 10/30/2009 Certified 11/02/2009 1