Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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 Permits OCC to clear and settle a type of credit default product traded by CBOE 04/23/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 4
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
LCHLLC LCH.Clearnet LLC, in connection with its acquisition of International Derivatives Clearinghouse, LLC, has submitted its Rulebook consisting of regulations and procedures and a compliance matrix demonstrating its compliance with the DCO Core Principles. 08/24/2012 Approved 01/23/2013 LCH.Clearnet LLC acquired the International Derivatives Clearinghouse, LLC. 2
EUREX Proposed rule changes in Eurex Clearing Circular 092-16 related to allowing accounts with certain commercial banks for cash obligations, introduction of the British pound, allowing cash balances to be held in pounds, and introducing a settlement bank fee 07/11/2016 Certified 07/25/2016 . 2
ICE NGX Updates and changes to the Default Management Procedures 06/26/2024 Certified 07/11/2024 . 2
CCORP Reorganization & Proxy Materials 09/24/2003 Certified 09/24/2003 0
NYMEX NYMEX Brent Block Trade Broker Rebate Program 04/10/2012 Certified 04/25/2012 1
MIAX Rule amendment to update the membership requirement as it pertains to clearing privileges. 07/19/2012 Certified 08/03/2012 1
LCHLTD Amendments to rules to admit Futures Commission Merchants to join the EnClear and Nodal service and clear transactions on behalf of their clients. 09/25/2012 Certified 10/11/2012 1
SGX-DC Weekly notification of rule amendments for the week of 14 November 2016. 11/20/2016 Notified 11/20/2016 2
LCHLTD Rule changes to include provisions for Custodial Segregated Accounts, a new type of client account being offered under LCH's EMIR Client account model. 12/15/2016 Certified 12/30/2016 1
ICECC ICC proposes to formalize the ICC Model Validation Framework. 03/28/2017 Certified 04/11/2017 2
EUREX Proposed rule amendments in Eurex Clearing Circular 108-17 related to amending the last trading day and final settlement day for listed FX futures and options contracts 10/27/2017 Certified 11/13/2017 2
EUREX Weekly Notification of Rule Amendments - Week of December 4, 2017 12/08/2017 Notified 12/08/2017 1
EUREX Proposed rule amendments in Eurex Clearing Circular 023-18 related to broadening the scope of the Multiple Clearing Relationship Framework, align outsourcing rules with German law, and amending one technical agreement 02/27/2018 Certified 03/13/2018 2
EUREX Proposed rule amendments in Eurex Clearing Circular 055-18 related to termination fees for compression runs, repayment of excess prefunding amounts, and editorial changes 06/01/2018 Certified 06/15/2018 2
CME Weekly Notification of Rule Amendments - Week of December 21, 2020 12/30/2020 Notified 12/30/2020 1
LCHLTD LCH is submitting for self-certification changes to the ForexClear fee schedule. 12/15/2021 Certified 12/30/2021 1
ICLREU2 ICE Clear Europe Limited proposes to amend Part H of its Delivery Procedures to cover ICE Endex German THE Natural Gas Daily Futures Contracts 03/08/2022 Certified 03/21/2022 2
OCC Rule Certification Concerning OCC's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit 01/19/2023 Certified 02/02/2023 3
CME Delisting of the Swiss Franc ("CHF"), British Pound Sterling ("GBP"), and Japanese Yen ("JPY") London Inter-Bank Offered Rate ("LIBOR") Interest Rate Swaps ("CHF IRS", "GBP IRS", "JPY IRS") Contracts for Clearing 12/02/2024 Certified 12/02/2024 1
CME Performance Bond Deposits Line of Credit 10/06/2003 Certified 10/06/2003 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 Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 04/10/2012 Certified 04/25/2012 1
NYMEX Delisting eleven tanker freight forwards contracts 07/23/2012 Certified 07/23/2012 1
CME Amendments to Chapter 8H of CME Rulebook 12/04/2014 Certified 12/18/2014 1
LCHLTD In exceptional circumstances, LCH.Clearnet will manually accept a SwapClear Transaction on behalf of a Clearing Member that is unable to do so itself, rule changes are being implemented to describe the acceptance process. 07/23/2015 Certified 08/06/2015 1
CMECE Weekly Notification of Rule amendments for week of January 30, 2017. 02/10/2017 Notified 02/10/2017 1
OCC Proposed rule change concerning the requirement for Clearing Members to participate in default management testing. 03/28/2017 Certified 04/11/2017 2
SGX-DC Weekly notification of rule amendments for the week of 28 May 2018. 06/04/2018 Notified 06/04/2018 2
ICECC ICC proposes amendments to the ICC Rulebook relating to Mark-to-Market Margin. 07/11/2018 Certified 07/25/2018 2
ICLREU2 ICE Clear Europe proposes a revised approach to computing single name CDS liquidity charges. Specifically, ICE Clear Europe proposes to introduce minimum instrument liquidity requirements independent of instrument maturities. 05/13/2019 Certified 05/28/2019 2
MIAX Amendments to Chapters 1, 21, and 23 of MGEX's Rules to incorporate the clearing of Bitnomial Exchange, LLC contracts. 07/14/2020 Certified 07/28/2020 1
ICE NGX Amendments to ICE NGX's Risk Management Framework 02/19/2021 Certified 03/05/2021 2
LX LedgerX revised Rulebook 12/15/2021 Certified 12/30/2021 2
MIAX Notification of margin changes made prior week 03/08/2022 Notified 03/08/2022 1
CME Weekly Notification of Rule Amendments - Week of May 30, 2022 06/07/2022 Notified 06/07/2022 1
CME Cross-Margining Program 11/19/2003 Certified 11/19/2003 0
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
ICLREU2 Certification in relation to fees for EMIR customer accounts 07/23/2015 Certified 08/06/2015 1
CME Weekly Notification of Rule Amendments - Week of December 5, 2016 12/15/2016 Notified 12/15/2016 1
SGX-DC Self certification of amendments to SGX-DC Clearing Rules in relation to iron ore swap contracts for implementation on July 2017. 06/19/2017 Certified 07/03/2017 2
MIAX Amendments to MGEX Chapter 21 Rules to enhance transparency and compliance with CFTC regulations. 10/27/2017 Certified 11/13/2017 1
EUREX Proposed rule amendments in Eurex Clearing Circular 047-19 related to providing the fees applicable for Xetra order book and off-book transactions in cash equity products 05/13/2019 Certified 05/28/2019 2
LCHLTD LCH is submitting for self-certification corrections to the ForexClear Product Specific Contract Terms and Eligibility Criteria Manual and FCM Product Specific Contract Terms and Eligibility Criteria Manual. 01/06/2022 Certified 01/21/2022 3
CME See filing. 01/19/2023 Certified 02/02/2023 2
LCHLTD Pursuant to CFTC, LCH Limited is submitting for self-certification changes to its Rulebook required to implement a new initiative permitting ForexClear Clearing Members to contribute to the default fund in EUR cash. 05/03/2023 Certified 05/16/2023 1
LCHLTD LCH proposes adding a provision limiting use of Information received by Potential Transferees in default scenarios for the purpose of assessing the transfer of one or more of the Defaulter's FCM Contract(s) / collateral, to be used for this purpose only. 12/14/2023 Certified 12/29/2023 1
KKL Amendment to Rule 6.3.A to replace remove references to specific payment rails 10/11/2024 Certified 10/25/2024 1