Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
MIAX 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
NYPC Rule amendments to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/20/2012 Certified 05/05/2012 1
ICLR US Rule amendments to conform with CFTC Part 39 DCO rules effective May 7, 2012; 12-26 04/20/2012 Certified 05/05/2012 1
ICLREU2 Rule amendment relating to use of Letters of Credit by Clearing Members as Permitted Cover in respect of Original Margin 04/20/2012 Certified 05/05/2012 3
ICLREU2 Minimum capital requirements of CDS Clearing Members 04/20/2012 Certified 05/05/2012 1
LCHLLC Rule changes to comply with CFTC Rules applicable to DCOs that become effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
LCHLTD Amendments re ForexClear Default Management Process and membership criteria, changes to SwapClear Membership criteria, changes to comply with CFTC regulations applicable to DCOs effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
KCC Risk Management Policies 04/20/2012 Certified 05/05/2012 1
ICLREU2 Changes to comply with CFTC Reg 39.13(g)(8)(ii) collection of margin by clearing members 04/20/2012 Certified 05/05/2012 1
MIAX Changes to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/19/2012 Certified 05/04/2012 1
ICLREU2 Change to initial payment date on CDS Contracts to be T+1; change to daily calculation and payment of interest on mark to market margin on CDS Contracts 04/17/2012 Certified 05/02/2012 1
LCHLTD Changes to SwapClear default fund, default management process and membership criteria 04/16/2012 Certified 05/01/2012 2
CME Change to fees in S&P GSCI-ER cleared swap contracts; 12-119 04/13/2012 Certified 04/28/2012 1
CME Portfolio margining program for CME Eurodollar futures together with Eris Exchange Interest Rate Swap futures, for both customer and house accounts; 12-114 04/12/2012 Certified 04/27/2012 1
CME Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
CBT Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
NYMEX Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
NYMEX NYMEX Brent Block Trade Broker Rebate Program 04/10/2012 Certified 04/25/2012 1
OCC Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 04/10/2012 Certified 04/25/2012 1
NYMEX Modifications to NYMEX Brent 25 day Futures Incentive Program; 12-107 04/10/2012 Certified 04/25/2012 1
ICLREU2 Amendments to certain Financial Power contracts: alterations to the last trading day and/or the contract series; changes to last trading day will not affect final settlement price 04/05/2012 Certified 04/20/2012 1
CME Change from SPAN to HVaR methodology for calculating "cash mark-to-market" margin for CME Cleared OTC FX Spot, Forward and Swap Transactions; 12-102 03/30/2012 Certified 04/14/2012 1
NYMEX Listing of a Cleared OTC London Gold Forwards (cash margin) contract; 12-092 03/29/2012 Certified 03/29/2012 1
CME CME Rule 8F04 (OTC Clearing Member Obligations and Qualifications); Amendments to comply with 39.12(a)(2)(iii); 12-097 03/28/2012 Certified 04/12/2012 1
OCC Rescinds a policy interpretation adopted by OCC's Securities Committee with respect to adjustments of listed equity options for dividends, and the corresponding policy in OCC bylaws applicable to security futures. 03/26/2012 Certified 04/10/2012 1
MIAX Update procedures for transfer of customer positions; modify disciplinary committees' structure 03/26/2012 Certified 04/10/2012 1
CME Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
CBT Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
NYMEX Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
ICECC Amendments to conform the ICC membership qualifications to be in compliance with Commission Regulations 39.12(a)(2)(ii) and 39.12(a)(2)(iii). 03/23/2012 Approved 05/07/2012 1
ICECC Modifications to the ICC Risk Model 03/23/2012 Certified 04/07/2012 1
OCC Changes to rules re: clearance of stock loan transactions in Market Loan and Stock Loan programs; proposed changes to clearing agreement between OCC and operator of the Loan Market. 03/22/2012 Certified 04/06/2012 1
NYPC Proposed amendments to expand the scope of NYPC's cross-margining program with Fixed Income Clearing Corporation to include the accounts of market professionals 03/20/2012 Approved 05/04/2012 1
NYMEX Changes to Incentive Program for OTC Energy Options Products; 12-089 03/19/2012 Certified 04/03/2012 2
LCHLTD Introduction of the extension of the eligible maturity of Japanese yen interest rate swaps from 30 years to 40 years. Additionally, the introduction of the extension of the eligible maturity of Overnight Index Swaps from denominated in USD, EUR and GBP 03/16/2012 Certified 04/02/2012 1
LCHLTD New client clearing fee structure 03/16/2012 Certified 03/31/2012 1
ICLREU2 Changes to SPAN margin methodology 03/16/2012 Certified 03/31/2012 1
ICLREU2 Amendments to Permitted Cover rules, haircut rates. 03/16/2012 Certified 03/31/2012 1
LCHLTD Introduction of GBP FRAs to be offerred for clearing within the SCM and European client clearing models. 03/16/2012 Certified 03/26/2012 1