Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
BCC Ownership Structure 07/03/2001 Certified 07/03/2001 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/30/2001 0
BCC Miscellaneous Rule Changes 11/29/2001 Certified 11/29/2001 0
CBT Location of Clearing Firm Back Office Operations 06/18/2001 Certified 06/18/2001 0
CBT Conflicts of Interest 12/20/2001 Certified 12/20/2001 0
CBT Restatement of clearing member membership and shareholding requirements 09/27/2006 Certified 09/30/2006 1
CBT Comprehensive Update of Chapter 2 Membership Requirements 09/28/2006 Certified 09/29/2006 1
CBT Ethanol Swaps 11/09/2006 Certified 11/13/2006 1
CBT CBOT: EUREX-CCorp Link 05/14/2004 Certified 05/14/2004 0
CBT CBOT Approved as DCO Approval Process Required Implementing Rules 10/07/2003 Certified 10/07/2003 0
CBT Rule 701.1 Transfer of Clearing Accounts 10/07/2003 Certified 07/14/2003 0
CBT Financial Filing Requirements 09/22/2003 Certified 09/22/2003 1
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
CBT Transfer of Clearing Accounts 08/06/2003 Certified 08/06/2003 0
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
CBT E-CBOT Clearing 10/31/2003 Certified 10/31/2003 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
CBT Deletion of swap product traded and cleared OTC (ethanol previous month) 07/25/2007 Certified 08/14/2007 1
CBT Modify procedures for determining the daily settlement price for 30 year T-Bonds 08/28/2007 Certified 09/04/2007 1
CBT Cleared-only Fuel Ethanol Basis Swaps traded OTC 09/04/2007 Certified 09/05/2007 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 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
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
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
CBT Reduction in minimum price increments for CBT cleared-only OTC Denatured Fuel Ethanol Swap products 01/04/2008 Certified 02/12/2008 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
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
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
CBT New CBOT Rule 818 "Close-Out Netting." 02/12/2009 Certified 02/26/2009 1
CBT Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
CBT Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
CBT Ten new OTC Asian-Style and European-Style options on corn, soybeans, wheat, soybean oil, and soybean meal listed for clearing only on CBOT will be cleared by CME 07/29/2009 Certified 08/11/2009 1
CBT Amendment to CBT's Rule 817 regarding its liquidity facility to harmonize with the liquidity facility rules of the CME and NYMEX. 10/30/2009 Certified 11/02/2009 1
CBT Clarification to CBT Rule 975 concerning financial emergencies 10/30/2009 Certified 11/02/2009 1
CBT Changes to CBT Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization 10/30/2009 Certified 11/02/2009 0
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
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
CBT Rules to implement the Financial Instruments Clearing Member (FICM) program. 02/25/2011 Certified 02/25/2011 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
CBT Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
CBT Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
CBT New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
CBT Interest Rate Swap (IRS) Portfolio Margining; IRS Guaranty Fund changes; third party outsourcing; 12-061 02/28/2012 Certified 03/14/2012 1
CBT Revisions to comport with CFTC Part 190 Regulations; 12-066 03/06/2012 Certified 03/21/2012 1
CBT Amendments to comply with CFTC Regs 39.12(a)(5)(B) and 39.13(h)(5) re: clearing member reporting; 12-067 03/07/2012 Certified 03/22/2012 1
CBT Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
CBT Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
CBT CBOT and NYMEX rules being amended to harmonize all three CME Rule books; 12-217 06/19/2012 Certified 07/04/2012 1
CCD Self-Certification Pursuant to CFTC Regulation 40.6 - Permit FCM Clearing Members to Clear on Behalf of Customers 11/13/2019 Certified 11/27/2019 2