| NYMEX |
NYMEX Early Adopter Liquidity Provider Program; 12-207 |
06/18/2012 |
Certified |
07/03/2012 |
|
2 |
| NYMEX |
Legacy GreenX Broker Broker Member Incentives Program; 12-205 |
06/18/2012 |
Certified |
07/03/2012 |
|
2 |
| NYMEX |
Legacy Green X CPC Incentive Program; 12-206 |
06/18/2012 |
Certified |
07/03/2012 |
|
1 |
| NYMEX |
Legacy GreenX Volume and Liquidity Provider Program; 12-209 |
06/18/2012 |
Certified |
07/03/2012 |
|
2 |
| NYMEX |
European Union Allowance and Certified Commission Production futures and spread contracts Market Making program; 12-210 |
06/18/2012 |
Certified |
07/03/2012 |
|
1 |
| NYMEX |
Legacy GreenX Member Trader Incentive Program; 12-211 |
06/18/2012 |
Certified |
07/03/2012 |
|
2 |
| LCHLTD |
SwapClear service new standard pricing plan for client clearing fees |
06/18/2012 |
Certified |
07/03/2012 |
|
1 |
| NYMEX |
Modifications to NYMEX OTC Broker Incentive Program; 12-191 |
06/15/2012 |
Certified |
06/30/2012 |
|
1 |
| CME |
Changes to CME's offering for cleared interest rate swaps; 12-204 |
06/15/2012 |
Certified |
06/30/2012 |
|
2 |
| NADEX |
Amendment to Expiration time for Daily and Weekly Corn and Soybean Binary and Variable Payout Contracts to be consistent with corresponding underlying market; Emergency Rule filing |
06/13/2012 |
Certified |
06/13/2012 |
|
1 |
| NYMEX |
Diverse Trading Non-Member International Commercial Firms Energy Incentive Program; 12-162 |
06/12/2012 |
Certified |
06/27/2012 |
|
2 |
| NYMEX |
Modifications to NYMEX Incentive Program for Natural Gas Products; 12-163 |
06/12/2012 |
Certified |
06/27/2012 |
|
1 |
| NYMEX |
Modifications to Non-Member Cross-Venue Incentive Program for certain NYMEX energy products; 12-166 |
06/11/2012 |
Certified |
06/26/2012 |
|
2 |
| NYMEX |
Modifications to existing NYMEX Energy Products Cross-Venue Incentive Program; 12-167 |
06/11/2012 |
Certified |
06/26/2012 |
|
2 |
| NYMEX |
Modifications to Cross-Venue Energy & Metals Products Incentive Program for High Volume Contributors; 12-192 |
06/11/2012 |
Certified |
06/26/2012 |
|
2 |
| CME |
Adoption of Modified Split Allocation feature of CME's SPAN methodology for certain energy futures contracts; 12-189. |
06/08/2012 |
Certified |
06/22/2012 |
|
1 |
| MGEX |
Extension of trading hours and deadline for submission of information to the clearing house |
06/08/2012 |
Certified |
06/22/2012 |
|
1 |
| NYMEX |
Modifications to Flex Energy Futures and Options Incentive Program; 12-161 |
06/07/2012 |
Certified |
06/22/2012 |
|
2 |
| LCHLTD |
Amendments to admit Futures Commission Merchants to join ForexClear service and clear transactions on behalf of their clients. |
06/06/2012 |
Certified |
06/21/2012 |
|
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 |
| CME |
Modifications to CME OTC FX Fee Waiver Program; 12-156 |
05/30/2012 |
Certified |
06/13/2012 |
|
1 |
| CME |
Expansion of acceptable performance bond deposits in Rule 930.C; expansion of clearing member reporting requirements relating to customer funds in Rule 971; 12-178 |
05/30/2012 |
Certified |
06/13/2012 |
|
1 |
| OCC |
Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. |
05/24/2012 |
Certified |
06/09/2012 |
|
1 |
| CME |
Request for approval to commingle customer positions and related collateral in Interest Rate Futures and Interest Rate Swaps in customer cleared swaps accounts; 12-151 |
05/24/2012 |
Approved |
10/12/2012 |
|
4 |
| 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 |
| NYMEX |
Change to NYMEX Brent Block Trade Broker Rebate Program |
05/16/2012 |
Certified |
06/01/2012 |
|
1 |
| ICE NGX |
Crude Oil Incentive Program |
05/16/2012 |
Certified |
06/01/2012 |
|
1 |
| OCC |
Technical amendments to fitness standards for directors, clearing members and others |
05/15/2012 |
Certified |
05/31/2012 |
|
1 |
| MGEX |
Codify roles of Chief Regulatory Officer, Chief Compliance Officer and Chief Risk Officer |
05/11/2012 |
Certified |
05/26/2012 |
|
1 |
| ICLREU2 |
Amendments to minimum capital requirements of CDS Clearing Members |
05/08/2012 |
Certified |
05/22/2012 |
|
1 |
| CME |
Modifications to CME Incentive Program for Over-the-Counter Interest Rate Swaps; 12-136 |
05/08/2012 |
Certified |
05/22/2012 |
|
2 |
| OCC |
Updates procedures to adjustment panel voting |
05/07/2012 |
Certified |
05/22/2012 |
|
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 |
| ICLR US |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| ICLREU2 |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| KCC |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| MGEX |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| NYPC |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| OCC |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
| CME |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii) |
05/03/2012 |
Certified |
05/03/2012 |
|
5 |
| LCHLTD |
Addition of precious metals as margin collateral, Extension of use of Collateral Management System to include third party collateral |
05/02/2012 |
Certified |
05/17/2012 |
|
1 |
| MGEX |
Update to procedures with regard to financial oversight of FCM Clearing Members |
04/30/2012 |
Certified |
05/15/2012 |
|
1 |
| CME |
Delisting cleared only S&P GSCI-ER Index Forwards; 12-133 |
04/27/2012 |
Certified |
04/27/2012 |
|
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 |
| ICECC |
Changes to comply with CFTC Reg. 39.13(g)(8)(ii) |
04/23/2012 |
Certified |
05/08/2012 |
|
1 |
| KCC |
Clearing member risk management policies and procedures, failure to comply with participation requirements, offset of economically equivalent swaps, and swap clearing procedures. |
04/20/2012 |
Certified |
05/05/2012 |
|
1 |
| KCC |
Risk limits on clearing member positions by house and customer origin |
04/20/2012 |
Certified |
05/05/2012 |
|
1 |
| CME |
IRS Clearing Member Obligations and Qualifications; 12-123 |
04/20/2012 |
Certified |
05/05/2012 |
|
1 |
| CME |
CDS Clearing Member Obligations and Qualifications; 12-124 |
04/20/2012 |
Certified |
05/05/2012 |
|
1 |
| ICE NGX |
Clearing member risk management policies and risk limits |
04/20/2012 |
Certified |
05/05/2012 |
|
1 |
