Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
OCC Rule 309 amended to permit expedited review of facilities management agreements proposed to be entered into by existing clearing members that desire to become a managed clearing member 01/09/2008 Certified 02/04/2008 1
CCORP Definition of Exchange Market amended to add new Global Clearing Link contracts; Appendix 9B amended to add settlement procedures and minimum block size for such contracts; 9B sections re-referenced re original contracts' settlement price rules 01/09/2008 Certified 02/12/2008 1
CBT Reduction in minimum price increments for CBT cleared-only OTC Denatured Fuel Ethanol Swap products 01/04/2008 Certified 02/12/2008 1
ICLR US To modify requirements for assets to be used as guarantee fund deposits or margin 12/19/2007 Certified 12/28/2007 1
ICLR US Rule amendment requiring the execution and provision of cross-margining documents by clearing members in order to participate 12/17/2007 Certified 12/28/2007 1
ICLR US To extend the benefits of a cross-margining program to non-members of the exchange 12/17/2007 Certified 12/28/2007 1
OCC Amendments to integrate common stocks and ETFs into the STANS margin calculation methodology 12/14/2007 Certified 12/28/2007 1
OCC Establishment of a program with ICE Clear for the cross-margining of certain securities options contracts with futures and options cleared by ICE Clear 12/12/2007 Certified 12/28/2007 1
CCORP Definition of exchange market amended to include binary options on prices of euros, yen, australian dollar, oil, gold and silver traded on USFE 12/10/2007 Certified 12/28/2007 1
OCC Modification of fees applied to late exercise notices whether at expiration or non-expiration and circumstances under which cut-off time for submission of exercise instructions can be extended 12/07/2007 Certified 12/27/2007 1
OCC Implementation of new discounted fee schedule and continuation of the market maker scratch fee discount effective 1/1/08 12/07/2007 Certified 12/27/2007 1
OCC Reduction of threshold amounts used to determine the equity options that are deemed to be in the money for purposes of exercise by exception processing. 12/07/2007 Certified 12/27/2007 1
ICLR US Amendments to increase the minimum required deposit to the Guaranty Fund and eliminate the defunct category of self-clearing member 11/21/2007 Certified 11/27/2007 1
ICLR US Amendment of eligibility requirements for clearing members 11/21/2007 Certified 11/29/2007 1
CBT Modification of procedures for determining the daily settlement price for CBT 2 year and 5 year U.S. Treasury note options 11/20/2007 Certified 11/29/2007 1
CCORP Definition of Exchange Market in Chapter 1 is amended to add options on Certified Emission Reduction Futures traded on Chicago Climate Futures Exchange, LLC. 11/15/2007 Certified 11/16/2007 1
MIAX Amendment to Rule 2102.00 to clarify and codify routine daily operation to collect intra-day variations from clearing members. 11/09/2007 Certified 11/16/2007 1
CBT Revised Chapter 8 regarding Clearing House and Performance Bonds and Chapter 9 regarding Clearing Members to harmonize with the CME's rulebook since the two DCOs are affiliated under a common parent entity, CME Group, Inc. 10/25/2007 Certified 10/25/2007 1
CME Revised Chapters 8 and 9 regarding Clearing House and Performance Bond and Clearing Members to harmonize with CBT rulebook Chapters 8 and 9 on the same topics since they are affiliated under common parent 10/25/2007 Certified 10/29/2007 1
OCC Interp clarifying that "securities contracts" and 'commodity contracts" held by a CLM in a proprietary account are held pursuant to "a cross-margining agreement or similar arrangement" for purposes of Section 561(b)(3)(A) of the U.S. Bankruptcy Code 10/23/2007 Certified 10/29/2007 1
ICLR US Rule 5.03 of ICE Futures U.S. is amended to allow different margin rates for arbitrge positions in coffee, sugar, and cocoa futures and options - positions held on Euronext-LIFFE. Member firms must collect margin applicable to arbitrage positions. 10/17/2007 Certified 10/22/2007 1
CBT Modification of procedures for determining daily settlement prices for CBOT 10 year U.S. Treasury Note Options 10/15/2007 Certified 10/17/2007 1
OCC Modification of description of assignment proceudres for processing exercise notices to reflect expanded use of sub-accounts established by a clearing member for a single beneficial owner 10/09/2007 Certified 10/17/2007 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
OCC Amendment of definition of "fund share" to include a security as defined in Section 3(a)(10) of the Securities Exchange Act of 1934. 10/04/2007 Certified 10/09/2007 1
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
CCORP Definition of Exchange Market is amended to add ten index futures contracts that will be traded on USFE 09/27/2007 Certified 10/04/2007 1
CCORP Definition of Exchange Market is ameded to include new product IFEX U.S. Wind Binary Futures Contracts. 09/21/2007 Certified 09/24/2007 1
CCORP Definition of Exchange Market is amended to add new products to be traded on CCFE and USFE as follows: Nitrogen Financial Instrument Futures and European Carbon Financial Instrument Futures on CCFE and Spot Equivalent Futures Currencies in the following 09/19/2007 Certified 09/20/2007 1
OCC Elimination or reduction of fees to clearing members for theoretical profit and loss values 09/18/2007 Certified 09/19/2007 1
CCORP Definition of Exchange Market amended to include new products traded on USFE 09/12/2007 Certified 09/19/2007 1
ICLR US New rules governing the substitution process in which an OTC transaction in currency and U.S. Dollar Index executed on a bilateral basis is submitted to ICLR in exchange for an equivalent number of futures contracts that are "cleared-only." 09/11/2007 Certified 09/19/2007 1
CBT Specifications for three basis swap products that will be traded OTC and cleared through CBT's clearing service provider 09/10/2007 Certified 09/19/2007 1
CBT Cleared-only Fuel Ethanol Basis Swaps traded OTC 09/04/2007 Certified 09/05/2007 1
CBT Modify procedures for determining the daily settlement price for 30 year T-Bonds 08/28/2007 Certified 09/04/2007 1
CCORP Definition of Exchange Market amended to include new products traded on Chicago Climate Futures Exchange 08/22/2007 Certified 08/28/2007 1
NYMEX Notice to Members Regarding Documentary Obligations/Standards for ClearPort Clearing Transactions 08/21/2007 Certified 08/28/2007 1
NYMEX Amendments to Schedule B of Exchange User License Agreement referencing additional trade types available for submission to ClearPort Clearing 08/16/2007 Certified 08/28/2007 1
OCC Various changes to clearing fee schedule 08/03/2007 Certified 08/03/2007 1
CME Rule 550 - Permit wider range of post settlement session prices for agricultural products. 08/01/2007 Certified 08/27/2007 1
CCORP The definition of Exchange Market in Chapter 1 is amended to add Carbon Financial Instrument Futures to be traded on Chicago Climate Futures Exchange, LLC. 08/01/2007 Certified 08/03/2007 1
CBT Deletion of swap product traded and cleared OTC (ethanol previous month) 07/25/2007 Certified 08/14/2007 1
NYMEX Clearing members prohibited from making cash disbursements to customers; additional ATM machines installed for cash access for customers 07/25/2007 Certified 08/03/2007 1
NYMEX Haircut reduction on MM mutual funds as margin from 5 to 2 percent 07/13/2007 Certified 08/03/2007 1
CCORP The definition of Exchange Market in Chapter 1 of The Clearing Corporations rules is amended to add the following product to be traded on Chicago Climate Futures Exchange, LLC: ECO-Clean Energy Index Futures. 07/12/2007 Certified 07/12/2007 1
CME Rule 730 is amended to lower the threshold from $50 million to $25 million for being required to use the Continuous Linked Settlement Bank System for deliveries on currency futures contracts. 07/10/2007 Certified 07/12/2007 1
OCC The proposed rule changes would amend OCC's by-laws and rules to permit OCC to clear and settle various types of binary options, including "fixed return options" proposed to be listed by the American Stock Exchange and binary options on broad-based securi 06/28/2007 Certified 06/28/2007 1
CBT Technical revisions to denatured fuel ethanol forward month swaps to reflect cleared only status after trading OTC 06/27/2007 Certified 06/29/2007 1