Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYMEX Modification to Rule 974 concerning suspension of non-clearing member firms subject to a bankruptcy proceeding 11/24/2008 Certified 12/01/2008 1
NYMEX New Rule 9.00B provides for close-out netting of positions in the event of a clearing house default. 11/19/2008 Approved 11/19/2008 This Rule was Self-Certified on 11/19/2008 and Deemed Approved on 11/19/2008. 1
OCC Amendment to the Third Amended and Restated Options Exercise Settlement Agreement between OCC and NSCC 11/17/2008 Certified 11/24/2008 1
CME New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions 11/14/2008 Certified 11/24/2008 1
CBT New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions 11/14/2008 Certified 11/24/2008 1
NYMEX Amendments updating various Nymex rules to harmonize them with CME and CBOT rules 11/13/2008 Certified 11/24/2008 1
CCORP Definition of Exchange Market is amended to add Dow Jones Sustainability World Index Futures as product traded on Chicago Climate Futures Exchange 11/12/2008 Certified 11/24/2008 1
ICLR US Amendment to ByLaw Section 5.6 limiting increase of Permitted Position Risk and to Rule 403(b) allowing offset of positions in contracts having same specfications other than size and which have been designated as fungible. 11/12/2008 Certified 04/20/2009 1
CBT Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. 11/10/2008 Certified 11/24/2008 1
CME Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. 11/10/2008 Certified 11/24/2008 1
CME Amendments to OTC Derivative Clearing Chapter to (1) permit clearing members to place swaps cleared for customers in house, non-segregated origin and (2) update OTC clearing member insolvency provisions. 11/10/2008 Certified 11/24/2008 1
KCC New Rules 8.02 and 8.03 establishing security deposits and default procedures to supplement resources and actions available in the event of a member default. 10/30/2008 Certified 10/30/2008 1
NYMEX New Rule 9.23A titled Liquidity Facility adds Nymex and the clearing member collateral it holds to CME's credit facility. 10/20/2008 Certified 10/20/2008 1
OCC Amendment to correct clerical errors to previous submission amending and supplementing rules to address certain issues related to OCC's Stock Loan/Hedge Program 10/20/2008 Certified 10/20/2008 1
CCORP Definition of Exchange Market is amended to inlcude mini$DAX Index Futures 09/12/2008 Certified 09/29/2008 1
CME Clarifying text added to provisions regarding the insolvency and liquidation of an OTC clearing member and the definition of close-out amount related to OTC clearing. 08/25/2008 Certified 08/28/2008 1
CME Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. 08/20/2008 Certified 08/28/2008 1
CBT Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. 08/20/2008 Certified 08/28/2008 1
NYMEX Amend's to Ch. 1 & 101 to modify def'n of Clearing Assoc., Clearing House, or Clearing Dept.; amend. to Rule 3.31 to reflect that membership comm'ee no longer governs clearing firms; and other amend's in Ch. 9 due to change in corporate structure. 08/20/2008 Certified 08/28/2008 1
CME New rules in new Chapter 438D governing new OTC product - WRS Hurricane Risk Landfill Options 08/18/2008 Certified 08/28/2008 1
CCORP Definition of Exchange Market in Rules Chapter 1 is amended to add Regional Greenhouse gas Initiative futures and options. 08/13/2008 Certified 08/28/2008 1
ICLR US Amendment to ByLaw Section 5.2 regarding clearing member eligibility and new Rules 10.00-10.05 regarding clearing of OTC ag swaps in coffee, sugar, and cocoa to replace Rules 1000-1013 08/05/2008 Certified 08/07/2008 1
OCC Amendment to ByLaw to permit the clearing and settling of options on the realized variance and realized volatility of an index. 07/30/2008 Certified 07/31/2008 1
OCC By-Law amendment to modify provisions that determine whether outstanding stock options will be adjusted to reflect special cash dividends. 07/24/2008 Certified 07/29/2008 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. 07/24/2008 Approved 12/03/2008 1
OCC Amendment changing description of fixed exercise settlement amount and clarifying that escrow deposits are not permitted in respect of binary options 07/23/2008 Certified 07/29/2008 1
OCC Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares 07/23/2008 Approved 12/03/2008 1
CCORP Amend definition of Exchange Market to change name of CCFE IFEX U.S. Wind Binary Futures to IFEX Event Linked Futures Contract: U.S. Tropical Wind Events, and add two new futures contracts: Florida Tropical Wind Events and Gulf Coast Tropical Wind Events 07/10/2008 Certified 07/10/2008 1
NYMEX Amends Rule 9.04A to clarify procedures for submitting for clearing via ClearPort NYMEX transactions (listed and cleared) and DME transactions (cleared only) and that latter trades governed by DME rules. 07/09/2008 Certified 07/10/2008 1
OCC Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. 06/10/2008 Certified 06/17/2008 1
OCC Amendments to rules needed to accommodate clearing of range options to be listed on CBOE. 05/28/2008 Certified 06/04/2008 1
OCC Adoption of interpretative guidance regarding the administration and application of a new adjustment method for cash dividends and distributions 05/23/2008 Certified 05/27/2008 1
CME Amendments to rules to require that cleared-only ethanol swap products participants must be ECPs and to apply position accountability and reporting levels to cleared-only ethanol products. 05/22/2008 Certified 05/22/2008 1
OCC Amendments to eliminate foreign currency and foreign currency-denominated LOCs as eligible margin and render inoperative rules regarding physical delivery currency options since PHSX delisted them. 05/15/2008 Certified 05/19/2008 1
CME Amendments to Rules concerning the clearing of Over-the-Counter Derivatives Contracts 04/29/2008 Certified 05/01/2008 1
OCC Amendment to Rule 309 to provide for expedited process for reviewing a managed clearing member's request to operate without a facilities management agreement 04/21/2008 Certified 04/21/2008 1
CCORP Definition of Exchange Market is amended to include USD SENSEX index futures traded on USFE 04/03/2008 Certified 04/10/2008 1
MIAX Amendments to regulations to clarify and improve Clearing House default procedures and other operational procedures 03/20/2008 Certified 03/21/2008 1
CCORP Definition of Exchange Market is amended to add options on Nitrogen Financial Instrument Futures traded on CCFE 03/12/2008 Certified 03/21/2008 1
MIAX Reduction in membership pledge requirement for clearing privileges from two memberships to one 02/28/2008 Certified 02/29/2008 1
NYMEX Delisting of two cleared contracts traded on Dubai Mercantile Exchange 02/28/2008 Certified 02/29/2008 1
NYMEX De-listing by DME of the Brent-Oman and WTI-Oman Financial Spreads. 02/28/2008 Certified 03/05/2008 1
CCORP Amend definition of Exchange Market to include CCFE's options on carbon financial instrument futures. 02/26/2008 Certified 02/29/2008 1
OCC Amendments to OCC's stock loan and hedge program. 02/25/2008 Certified 02/29/2008 1
OCC Modify pro rata assignment procedure description to eliminate reference to application to exercises of physical delivery, flexibly structured FCOs that are securities options since no longer traded on Phlx 02/13/2008 Certified 02/14/2008 1
OCC Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
OCC Rule amendments to improve definitions of and establishing consistent usage for, the terms "settlement price" and "final settlement price" as applied to futures contracts cleared by OCC as well as to reflect a change in a service offered by OCC. 01/24/2008 Certified 02/04/2008 1
NYMEX Resubmission of rule accidentally omitted from rulebook: 2.32 - allows primary clearing members to issue a temporary 30 day guarantee to lease members who had their trading equity fall below the required minimums. 01/23/2008 Certified 02/04/2008 1
NYMEX Change in method used to value U.S. Treasuries in fulfillment of performance bond requirements and allowing clearing members to deposit certain types of treasuries and foregin currencies and debt as performance bond. 01/14/2008 Certified 02/04/2008 1
MIAX Amend Rule 2104 to remove current security deposit limits for clearing members and permit the flexibiltiy to establish such amounts as the clearing house determines necessary. 01/14/2008 Certified 02/04/2008 1