Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CME Founding Members OTC interest rate swaps incentive program 12/20/2011 Certified 01/06/2012 2
NYMEX OTC Broker Incentive Program 12/20/2011 Withdrawn 01/05/2012 2
NYMEX Incentive program for OTC Natural Gas products 12/20/2011 Withdrawn 01/05/2012 2
CME New clearing fees applicable to cleared OTC interest rate swaps 12/20/2011 Certified 01/06/2012 1
NYMEX Energy Products Cross-Venue Incentive Program 12/20/2011 Withdrawn 01/05/2012 3
LCHLTD New Disciplinary procedures and amendments to appeals procedures 12/20/2011 Certified 01/06/2012 1
NYMEX European and Asian OTC Cleared Petroleum Products Incentive Program; 11-400 12/20/2011 Withdrawn 01/05/2012 3
NYMEX Changes to Non-Member Cross-Venue Incentive Program for NYMEX Energy Products; 11-526 12/20/2011 Withdrawn 01/05/2012 3
OCC Changes to ensure technical compliance with final CFTC Part 39 regulations 12/19/2011 Certified 01/05/2012 2
NYPC Amend Rule 410 re transfer of customer positions 12/16/2011 Certified 01/04/2012 1
NYPC Amend Rule 506 (close out netting) action taken in event of insolvency 12/16/2011 Certified 01/04/2012 1
NYMEX 11-508; Temporary Waiver of Power Futures Clearing Fees based on Power Options Fee levels 12/15/2011 Certified 12/31/2011 1
CME 11-518; New fee schedule applicable to OTC CDS clearing fees 12/15/2011 Certified 12/31/2011 1
CME 11-491; changes to comply with final CFTC Part 39 regulations 12/14/2011 Certified 12/30/2011 1
OCC Clarification of timing of "novation" by the clearinghouse; SR-OCC-2011-17 12/12/2011 Certified 12/28/2011 1
NYMEX Cross-Venue Futures Options Energy Incentive Program; 11-487 12/08/2011 Certified 12/23/2011 2
NYMEX Flex Energy Incentive Program; 11-484 12/07/2011 Certified 12/22/2011 2
CMECE Expansion of Product Listing Cycle European Ethanol; 11-467 12/02/2011 Certified 12/17/2011 1
CME Cash settled, Cleared OTC CME WM/Reuters Foreign Exchange (FX) Spot, Forward and Swaps and Non-Deliverable Forward (NDF) Transactions; 11-463 12/02/2011 Certified 12/17/2011 1
NYMEX Incentive Program for OTC Energy Options Products 12/01/2011 Certified 12/16/2011 2
LCHLLC Remove IDEX Futures Contracts from the rulebook 12/01/2011 Certified 12/16/2011 1
NYMEX NYMEX Brent 25-Day Futures Incentive Program; 11-459 11/29/2011 Certified 12/14/2011 1
NYMEX Changes to NYMEX Rule 984 governing Give Up Trades (now entitled Clearing Member Acceptance of Executed Customer Trades) 11-443 11/28/2011 Certified 12/13/2011 1
ICECC Enhancements to margin methodology ("Decomp Model") 11/25/2011 Certified 12/10/2011 1
ICLREU2 Amendments to rules relating to CDS contracts and CDS procedures to clarify timing, processes and application of position limits 11/25/2011 Certified 12/10/2011 1
ICLREU2 Arrangements that would be implemented in relation to the occurrence of a restructuring event. 11/25/2011 Certified 12/10/2011 1
ICLREU2 Changes to reference Dodd-Frank; clarify FCM Clearing Member arrangements; C11/112 11/25/2011 Certified 12/10/2011 1
ICLREU2 Amendments relating to clearinghouse's designated payments system; C11/169 11/25/2011 Certified 12/10/2011 1
OCC Changes to accomodate clearing of cash-settled Agricultural Futures; Euribor Futures; and German Interest Rate Futures for ELX Futures exchange; 2011-16R 11/22/2011 Certified 12/08/2011 2
NADEX Create CCO title and amend rulebook to reflect office and duties of CCO. 11/18/2011 Certified 12/06/2011 1
ICLREU2 Clearing of additonal OTC contracts 11/17/2011 Certified 12/03/2011 1
OCC Rule amendment to establish jurisdictional status of Alpha Options 11/17/2011 Approved 01/30/2012 4
LCHLTD Change to functionality, product enhancements, removal of prescribed SwapClear language 11/16/2011 Certified 12/02/2011 1
NYMEX Non-Member Cross-Venue Incentive Program for Energy Products 11-420 11/15/2011 Certified 12/01/2011 2
NYMEX High Volume Cross-Venue Incentive Program for Energy and Metals Products 11-422 11/15/2011 Certified 12/01/2011 2
NYMEX NYMEX COMEX Energy and Metals Products Cross-Venue Incentive Program 11-416 11/14/2011 Certified 11/30/2011 2
CMECE Addition of three new refined oil swap contracts 11/04/2011 Certified 11/22/2011 1
LCHLTD Introduction of non-deliverable forward FX contracts 11/04/2011 Certified 11/22/2011 1
CME Exercise of CME/CBOT/NYMEX emergency authority re: MF Global 11/01/2011 Certified 11/17/2011 1
ICLR US Emergency Action Re: MF Global 11/01/2011 Certified 11/17/2011 1
NYMEX European Incentive Program for OTC Energy Products 10/31/2011 Certified 11/16/2011 2
CMECE Change to clearing member financial reporting. 11-399R 10/28/2011 Certified 11/15/2011 1
ICECC Addition of 4 security based swaps 10/27/2011 Certified 11/11/2011 1
CMECE 11-394 Waiver of Sovereign Immunity 10/27/2011 Certified 11/11/2011 1
CMECE Addition of London Gold Forward contracts; delivery procedures for physical commodities; 11-395 10/27/2011 Certified 11/11/2011 1
CMECE Changes to detail composition of Disciplinary Panel; CMECE 11-397 10/27/2011 Certified 11/11/2011 1
CMECE Minor changes to wording, numbering, and dates 10/27/2011 Certified 11/11/2011 1
ICLR US Delisting Iron Ore Swaps 10/26/2011 Certified 10/27/2011 1
ICLR US Delisting cleared only coffee, sugar and cocoa swaps as and when there is no open interest 10/24/2011 Certified 10/25/2011 1
ICLREU2 Addition of new cleared OTC products 10/20/2011 Certified 11/04/2011 1