OCC |
Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." |
07/29/2010 |
Certified |
07/29/2010 |
|
1 |
CME |
CME Rulebook Chapter 8F amended in part to accomodate clearing services for Eris Exchange, LLC (exempt board of trade) |
07/22/2010 |
Certified |
07/22/2010 |
|
1 |
LCHLLC |
Amendment to Rule 415 to expand circumstances in which clearing member may transfer contract from one account to another, and to Rule 514 to modify form of acceptable performance bond deposit clearing member may accept from customers |
07/20/2010 |
Certified |
07/20/2010 |
|
1 |
OCC |
Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. |
07/01/2010 |
Certified |
07/07/2010 |
|
1 |
LCHLLC |
Amendment to Rule 405 providing for the offset of certain contracts with same settlement date, fixed rate payment, and account . |
06/23/2010 |
Certified |
06/28/2010 |
|
1 |
KCC |
New rule providing for the close-out of member positions and netting of member obligations in event of DCO insolvency. |
06/17/2010 |
Certified |
06/28/2010 |
|
1 |
OCC |
Change to clearing agreement schedule with ELX to add the clearing of 3 month, $1,000,000 Eurodollar Time Deposit futures contracts. |
06/16/2010 |
Certified |
06/18/2010 |
|
1 |
OCC |
Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. |
06/07/2010 |
Approved |
05/27/2014 |
|
28 |
CME |
Contract specifications and market information relating to the listing of ten new wet tanker freight forward contracts on CME ClearPort for clearing only. |
06/01/2010 |
Certified |
06/10/2010 |
|
1 |
LCHLLC |
Rule amendment to reflect changes to the Risk Committee charter, the creation of a Nominating committee, and to make other conforming changes. |
05/28/2010 |
Certified |
06/04/2010 |
|
1 |
LCHLLC |
Amendments to ticker symbol formats |
05/03/2010 |
Certified |
05/17/2010 |
|
1 |
CME |
New Rule 949 regarding credit control policies |
04/28/2010 |
Certified |
05/03/2010 |
|
1 |
OCC |
Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index |
04/26/2010 |
Approved |
12/23/2010 |
|
6 |
CME |
Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 3 Month Forward for clearing |
04/23/2010 |
Certified |
05/03/2010 |
|
1 |
CME |
Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 2 Month Forward for clearing |
04/23/2010 |
Certified |
05/03/2010 |
|
1 |
LCHLLC |
Amendment to Risk Management Procedures Manual to modify the method for calculating original performance bond requirements |
04/22/2010 |
Certified |
05/03/2010 |
|
1 |
KCC |
Amendment to Rule 2100.02 regarding ESP participation requirements and submission of FCM Participation Agreement. |
04/19/2010 |
Certified |
04/20/2010 |
|
1 |
LCHLLC |
Amendments to Rules 901 and 902 to rename existing contracts and addition of new Rules 903 to 907 to add five new contracts to be cleared. |
04/15/2010 |
Certified |
04/20/2010 |
|
1 |
ICE NGX |
Amendments to the Contracting Parties Agreement related to Credit Support Defaults and product specifications. |
04/13/2010 |
Certified |
04/15/2010 |
|
1 |
ICLR US |
Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. |
03/26/2010 |
Certified |
03/31/2010 |
|
1 |
OCC |
Technical amendments to the Stock Loan Hedge and Market Loan Program rules. |
03/25/2010 |
Certified |
03/31/2010 |
|
1 |
OCC |
Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. |
03/22/2010 |
Non-Approval |
06/14/2010 |
|
2 |
CME |
New Chapter 415E for the clearing of S&P GSCI Excess Return Index 2 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
CME |
New Chapter 415F for the clearing of S&P GSCI Excess Return Index 3 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
KCC |
New Rules 2100.01 and 2100.02 regarding FCM and customer requirements to particpate in clearing OTC ag swaps under Section 4(c) exemption. |
03/01/2010 |
Certified |
03/08/2010 |
|
1 |
OCC |
Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares |
03/01/2010 |
Approved |
05/27/2014 |
|
28 |
OCC |
Amendment to definition of term Adjustment Increment with respect to stock futures. |
02/26/2010 |
Certified |
03/01/2010 |
|
1 |
OCC |
Change to By-Laws and Rules to accomodate options for which the premium and exercise price are expressed on other than a per unit basis. |
01/14/2010 |
Certified |
01/20/2010 |
|
1 |
ICE NGX |
Amendments to the Product Schedule of the NGX rulebook which is the Contracting Party's Agreement |
01/13/2010 |
Certified |
01/20/2010 |
|
1 |
ICE NGX |
Amendment to fee schedule of the Contracting Party's Agreement to remove fees for one-leg location and calendar spreads in natural gas swap products. |
01/12/2010 |
Certified |
01/20/2010 |
|
1 |
LCHLLC |
Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts |
12/16/2009 |
Certified |
12/24/2009 |
|
1 |
ICLR US |
New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin |
12/15/2009 |
Certified |
12/24/2009 |
|
1 |
OCC |
Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares |
12/14/2009 |
Approved |
06/14/2010 |
|
2 |
CME |
Revisions to Chapters 800-805 regarding OTC credit default swap contracts and contract specifications |
12/11/2009 |
Certified |
12/24/2009 |
|
1 |
CME |
Rule changes to CME/CBOT/NYMEX Rules 802, 813, 816, 817, 818, 827, 913, and 930 and to CME Rule 8B04 and to various provisions in Rules 8F01 - 8F25 related to the clearing of OTC credit default swaps and to make various conforming rule changes |
12/11/2009 |
Certified |
12/24/2009 |
|
1 |
LCHLTD |
Amendments to Rules and Agreements and Procedures governing defaults of SwapClear Clearing Members and new Deed of Assignment to grant security interest to clients of such clearing members to allow LCH to return margin directly to the clients. |
12/02/2009 |
Certified |
12/03/2009 |
|
1 |
ICLR US |
New rules provide for the clearing of Iron Ore Swaps |
11/20/2009 |
Certified |
11/30/2009 |
|
1 |
OCC |
Amendments to rules to accommodate an alternate settlement procedure for physically-settled treasury futures traded on ELX |
11/20/2009 |
Certified |
11/30/2009 |
|
1 |
CCORP |
Amendment to the definition of Exchange Market to add Carbon Financial Instrument U.S. Offset and Carbon Financial Instrument EA Futures traded on CCFE |
11/18/2009 |
Certified |
11/30/2009 |
|
1 |
ICLR US |
Rule 502 amended to delete unneeded paragraph and to authorize staff to determine original margin requirements |
11/13/2009 |
Certified |
11/30/2009 |
|
1 |
CME |
New Chapter 29A for for the clearing of CBOT Dow-Jones-UBS Commodity Index Swaps |
11/12/2009 |
Certified |
11/30/2009 |
|
1 |
LCHLLC |
Amendments to Rule 101 - definition of "Clearing Hours" and addition of new Rules 901and 902 to incporporate existing interest rate swap and new forward start interest rate swap futures specs, respectively. |
11/09/2009 |
Certified |
02/26/2010 |
|
1 |
ICE NGX |
Amendment of the CPA to lengthen the time period in which a participant may notifty NGX of early termination in the event of an Exchange Bankruptcy Event of Default (a defined term) and to update the definition of Crude Month Accounts Net Payable. |
11/06/2009 |
Certified |
11/09/2009 |
|
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 |
CBT |
Changes to CBT Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization |
10/30/2009 |
Certified |
11/02/2009 |
|
0 |
NYMEX |
Changes to NYMEX Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |