Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule change allowing clearing members to use OCC systems to update certain non-critical trade data in respect of exchange transactions involving securities and other options, provided that such update does not contravene any exchange rules 06/07/2011 Certified 06/07/2011 1
CME Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
CBT Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
NYMEX Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
ICLREU2 Amendments to add DCM Customer Account structure 05/27/2011 Certified 05/27/2011 1
ICLREU2 List of additional cleared OTC contracts 05/20/2011 Certified 05/20/2011 1
ICLREU2 Introduction of clearing for addtional OTC contracts. 05/13/2011 Certified 05/13/2011 1
CME Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
NYMEX Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
OCC Rule change with respect to OCC obligations to pay settlement amounts to clearing members generally, as well as in emergency situations. 04/28/2011 Certified 04/28/2011 1
CME Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
CBT Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
NYMEX Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
ICLREU2 List of additional cleared OTC contracts 04/13/2011 Certified 04/13/2011 1
ICLREU2 Amendments to clarify contract formation in relation to cleared OTC Contracts 04/13/2011 Certified 04/13/2011 1
ICLREU2 New rules relating to Trade Date Clearing 04/12/2011 Certified 04/12/2011 1
ICLREU2 Amendments to clearing procedures; changes to reflect new clearing systems 04/08/2011 Certified 04/08/2011 1
ICLREU2 List of new OTC Cleared Product Specifications 04/04/2011 Certified 04/01/2011 1
ICLREU2 Amendment to rules relating to designated payments system 04/04/2011 Certified 04/04/2011 1
CME CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
CBT CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
NYMEX CME, CBOT and NYMEX adding new rule 905 (clearing members) to specify a choice of law (Illinois); also making conforming amendments to Rules 101 Membership Qualifications and Responsibilities 04/01/2011 Certified 04/01/2011 1
NYPC Amend rules 101, 102, 306, and 308 re: financial reporting, reporting of ownership/structure changes and conforming definition changes. 03/30/2011 Certified 03/30/2011 1
CME Addition of CDX North American Investment Grade Index Series 16 03/21/2011 Certified 03/21/2011 1
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
CME Addition of CDX North American Investment Grade Index Series 14 and 15 03/07/2011 Certified 03/07/2011 1
CME Amendments and new rule to CME Chapter 8G and 900 re: cleared interest rate swaps and addition to Clearing house Manual of Operations for CME cleared interest rate swaps 03/01/2011 Certified 03/01/2011 1
CME Rules to implement the Financial Instruments Clearing Member (FICM) program 02/25/2011 Certified 02/25/2011 1
CBT Rules to implement the Financial Instruments Clearing Member (FICM) program. 02/25/2011 Certified 02/25/2011 1
NYPC Amendment to LLC Agreement (i) to require the contribution of additional capital to meet estimate of twelve months of operating cash (ii) to amend Board rights and obligations 02/17/2011 Certified 02/17/2011 1
ICLREU2 List of New OTC Cleared Product Specifications 02/17/2011 Certified 02/17/2011 1
LCHLTD A new set of rules relating to the clearing of OTC interest rate swaps ("FCM SwapClear Contracts) through LCH by registered FCMs that are clearing members of LCH. 02/15/2011 Certified 02/15/2011 1
ICLREU2 Amendment to List of Permitted Cover and Haircut Rates on collateral for original margin; Removal of Letters of Credit as permitted cover for CDS clearing members 02/08/2011 Certified 02/07/2011 1
OCC Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). 01/19/2011 Certified 01/19/2011 1
OCC Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program 12/16/2010 Certified 12/16/2010 1
LCHLLC Amendments to Risk Management Procedures to (i) incorporate price alignment interest (PAI) into variation performance bond for OTC contracts; and (ii) amend list of currently acceptable Collateral 11/10/2010 Certified 11/10/2010 1
NADEX Amend responsibilities of Chief Operating Officer as set forth in Nadex Rule 2.3. 11/04/2010 Certified 11/04/2010 1
CME Amendment to reduce required amount of CME Group Class A Shares required for clearing member privileges. 10/26/2010 Certified 10/26/2010 1
OCC New rule to accommodate futures contracts that are settled in a non-US currency. 10/22/2010 Certified 10/22/2010 1
ICE NGX Rule amendments clarify language relating to daily settlement products/transactions and to add new products 10/14/2010 Certified 10/14/2010 1
ICE NGX Amendments to Schedule D to add new products to its product list (US natural gas products) and removal of a crude oil product 10/14/2010 Certified 10/14/2010 1
CME New rules with respect to the clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
CBT Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
NYMEX Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps 10/14/2010 Certified 10/14/2010 1
CCH Rule changes with respect to Petition to Modify DCO Order issued April 20, 2010 to remove conditions limiting the DCO to clearing only media-related contracts. 10/06/2010 Approved 02/11/2013 6
OCC Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 10/04/2010 Certified 10/04/2010 1
CBT CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1
NYMEX CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1
CME CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" 10/01/2010 Certified 10/01/2010 1