Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule primarily applicable to securities 11/19/2004 Certified 11/19/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
CCORP General Guaranty Fund ChemConnect CXX Participant Member Guaranty 11/01/2004 Certified 11/02/2004 1
OCC Price Adjustments Dividends Distributions 10/25/2004 Certified 10/25/2004 0
CCORP Eurex Phase I Memorandum and Order 10/21/2004 Certified 10/29/2004 1
CME Reduction in the Number of Class A Shares Required to be held by Clearing Firms 09/20/2004 Certified 09/24/2004 1
NADEX Market Makers Non Fully Paid Contracts 09/20/2004 Certified 09/20/2004 1
NADEX Market Makers 09/08/2004 Certified 09/08/2004 1
ICLR US Self Clearing Members 08/17/2004 Certified 08/17/2004 0
CCORP CDX Exchange 07/28/2004 Certified 07/28/2004 0
NADEX Market Makers Line of Credit 07/26/2004 Certified 07/26/2004 1
NADEX Financing et al. 07/15/2004 Certified 07/15/2004 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC Rule primarily applicable to securities 06/25/2004 Certified 06/25/2004 1
ICLR US Individual Clearing Members 06/24/2004 Certified 06/24/2004 0
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
CBT CBOT: EUREX-CCorp Link 05/14/2004 Certified 05/14/2004 0
CME Collateral Management Program 05/11/2004 Certified 05/11/2004 0
OCC Variance Futures 05/10/2004 Certified 05/10/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
ICLR US NYBOT Merger 05/06/2004 Certified 05/06/2004 0
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
NYMEX OTC Look-Alike Contract Position Limits 03/19/2004 Certified 03/19/2004 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
NYMEX Voiding OTC Contract Submissions Clearport 03/18/2004 Certified 03/18/2004 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
CCORP CBOT references, Guaranty Fund, clearing members 03/11/2004 Certified 03/11/2004 1
OCC Rule primarily applicable to securities 03/11/2004 Certified 03/11/2004 1
NADEX VPH Contracts 02/27/2004 Certified 02/27/2004 0
NADEX Heating Oil and Propane Contracts 02/27/2004 Certified 02/27/2004 0
OCC Rule primarily applicable to securities 02/23/2004 Certified 02/23/2004 1
NADEX DCO Application, Staff Memo, Order 02/18/2004 Certified 02/18/2004 0
CME Equity Index Performance Bonds 02/02/2004 Certified 02/02/2004 0
CME Authority to Adopt Rule Changes 01/20/2004 Certified 01/21/2004 1
LCHLTD Penultimate Henry Hub Nat Gas Options & Swaps 01/16/2004 Certified 01/16/2004 0
MIAX Gross Speculative Position Limits 01/16/2004 Certified 01/16/2004 0
ICLR US Price Limits Margining 12/15/2003 Certified 12/15/2003 0
CME FICC Cross-Margining 11/21/2003 Certified 11/21/2003 0
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
CME Cross-Margining Program 11/19/2003 Certified 11/19/2003 0
ICLR US Adoption of New Rule 303 to give NYCC authority to debit the proprietary margin accounts of its members 11/12/2003 Certified 11/13/2003 1
NYMEX Staff Members Settlement Committee 11/11/2003 Certified 11/11/2003 1
OCC Limitation of liability to members 11/04/2003 Certified 11/04/2003 1