Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE NGX Addition of NGX representation that it will submit large trader reports to the Commission on behalf of its participants 07/18/2012 Certified 08/02/2012 1
LCHLTD Amendments to reflect change to rate of return on contributions to SwapClear default fund and to clarify FCM Clearing Member collection of additional collateral for FCM Clients' SwapClear contracts that are non-hedging in nature. 07/17/2012 Certified 08/01/2012 1
CME CME/CBOT/NYMEX rule amendments incorporating LSOC regulations; 12-240 07/17/2012 Certified 08/01/2012 1
CME CME/CBOT/NYMEX rule amendments to clarify that CME Clearing's lien on collateral held by the clearing house includes both property of clearing members and customer performance bond; 12-241 07/17/2012 Certified 08/01/2012 1
NYMEX Non-Member Core Energy Futures and Options Products and Overnight Trading Incentive Program; 12-236 07/16/2012 Withdrawn 07/27/2012 2
NYMEX NYMEX and COMEX Futures and Options Products Cross-Venue Incentive Program; 12-239 07/16/2012 Certified 07/31/2012 2
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
NYMEX NYMEX Energy Products Incentive Program for High Volume Hedging Contributors; 12-229 07/11/2012 Certified 07/26/2012 2
OCC Amend Bylaws to allow OCC to approve OCC's form of clearing member application and form of clearing agreement; SR-OCC-2012-12 07/10/2012 Withdrawn 07/16/2012 2
OCC Private auction process by which OCC may liquidate all or any part of a suspended Clearing Member's account; SR-OCC-2012-11 07/03/2012 Certified 07/18/2012 1
OCC Eliminate fees for three brochures; SR-OCC-2012-09 06/28/2012 Certified 07/14/2012 1
OCC Termination of OCC's Pledge program; SR-OCC-2012-10 06/28/2012 Certified 07/14/2012 1
CBT CBOT and NYMEX rules being amended to harmonize all three CME Rule books; 12-217 06/19/2012 Certified 07/04/2012 1
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
MIAX 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
MIAX 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
MIAX Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5