Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Amends definition of "fund share" to include a publicly traded interest in a trust, investment company or similar entity principally engaged in holding or managing one or more currencies. 09/22/2006 Approved 11/06/2006 2
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
LCHLTD Amended Default Rules September 2006 09/14/2006 Certified 09/14/2006 0
NYMEX Depository Banks 09/14/2006 Certified 09/14/2006 1
NYMEX CME GLOBEX Prices Incorporated into settlement prices 09/01/2006 Certified 09/01/2006 1
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
CCORP ChemConnect Ethane and Propane Forwards 08/28/2006 Certified 08/29/2006 1
CCORP Seaboard Securities 08/17/2006 Certified 08/17/2006 0
OCC August 14, 2006, OCC-2006-14, Discounted Clearing Fees 08/14/2006 Certified 08/14/2006 1
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC Rule primarily applicable to securities 07/24/2006 Certified 07/24/2006 1
OCC ByLaw V, VIII, Margin Committee to Risk Committee 07/19/2006 Certified 07/19/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
ICLR US Settlement Premiums 07/13/2006 Certified 07/13/2006 1
ICLR US NYBOT Pass Through Letters of Credit 07/13/2006 Certified 07/13/2006 1
ICLR US CLS System 07/13/2006 Certified 07/13/2006 0
ICLR US Liability, Options premiums, Default 07/12/2006 Certified 07/12/2006 1
OCC Rule primarily applicable to securities 07/12/2006 Certified 07/12/2006 1
NADEX Trading Members on the Intermediated Market 07/07/2006 Certified 07/07/2006 0
OCC Rule primarily applicable to securities 06/26/2006 Certified 06/26/2006 1
NYMEX GLOBEX Rules-Clearing 06/09/2006 Certified 06/09/2006 1
OCC Rule primarily applicable to securities 06/08/2006 Certified 06/08/2006 1
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service 05/15/2006 Certified 05/15/2006 1
CCORP OTC Treasury Futures 05/08/2006 Certified 05/08/2006 1
OCC OCC-2006-04, 4.26.06, Policy Statement on Internet Access 04/26/2006 Certified 04/26/2006 1
OCC Rule primarily applicable to securities 04/26/2006 Certified 04/26/2006 1
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
ICLR US Clearing Member Loans 04/06/2006 Certified 04/06/2006 1
ICLR US Clearing Guarantee 03/27/2006 Certified 03/27/2006 1
CME Chapters 7 and 8 Clearing et al. 03/22/2006 Certified 03/22/2006 1
CME Clarification of Settlement Dates on Cleared-only Eurodollar Futures 03/17/2006 Certified 03/24/2006 1
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
OCC Non Customers of broker Dealers 03/14/2006 Certified 03/14/2006 1
NADEX Composition of Board 03/13/2006 Certified 03/22/2006 1
NYMEX Requires Exchange Clearing Members to Own Two Exchange Memberships and 180K Shares of NYMEX Holdings Common Stock 03/13/2006 Certified 03/13/2006 1
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
NYMEX Raises Clearing Member Fund Balance Min; Uses Hybrid Formula to Calculate Contributions; Adds Surcharge for Position Limit Exemptions; and Adds MM Mutual Funds to Acceptable Deposits 03/10/2006 Certified 03/10/2006 1
NADEX CBOE Merger 02/21/2006 Certified 02/21/2006 0
NYMEX OTC Floor Member Guarantee 02/03/2006 Certified 02/03/2006 0
NYMEX Extends Rule 6.21G through August 4, 2006, as CFTC Granted an Extension to its Order Allowing NYMEX Floor Members to Trade in OTC Markets under Specified Conditions 02/03/2006 Certified 02/10/2006 1
LCHLTD General Regulations 01/31/2006 Certified 12/31/2006 0
OCC Rule primarily applicable to securities 01/12/2006 Certified 01/12/2006 1
NYMEX Increases the Maximum Dollar Value of Letters of Credit to $500 Million, Retains the Percentage Basis at 10% and Increases the Collateralized Maximum to $600 Million 01/12/2006 Certified 01/17/2006 1
CCORP EUREX Currencies & OTC Treasuries 01/11/2006 Certified 12/25/2006 0
OCC Rule primarily applicable to securities 01/11/2006 Certified 01/11/2006 1
NADEX Market Makers 01/05/2006 Certified 01/05/2006 1
OCC Adjustment to Futures and Futures Options 12/23/2005 Certified 12/23/2005 1
OCC Allocation of Cleared Trades 12/13/2005 Certified 12/13/2005 1