Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NODALCL Transaction Fee Schedule Update 07/27/2023 Certified 08/10/2023 2
NODALCL Amendments to Nodal Clear Risk Policies and Risk Management Framework 01/24/2024 Certified 02/07/2024 2
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
CME OCC as Clearinghouse 04/22/2002 Certified 04/22/2002 0
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
OCC Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. 08/12/2009 Certified 08/18/2009 1
CME Adoption of Modified Split Allocation feature of CME's SPAN methodology for certain energy futures contracts; 12-189. 06/08/2012 Certified 06/22/2012 1
LCHLTD Changes to certain parameters of the Forexclear service Initial Margin model. 01/31/2014 Certified 02/15/2014 1
LCHSA LCH.Clearnet SA has modified its fee schedule for CDSClear in line with recent service developments (introduction of clearing fees for Client Clearing activities and introduction of clearing fees for self clearing activities on CDS single names). 04/15/2014 Certified 04/30/2014 1
SGX-DC SGX-DC Clearing Rule amendments for an increase in clearing fund size 07/22/2015 Certified 08/04/2015 2
SGX-DC Weekly notification of rule amendments for the week of 6 February 2017. 02/13/2017 Notified 02/13/2017 2
CME Weekly Notification of Rule Amendments - Week of September 18, 2017 09/29/2017 Notified 09/29/2017 1
ICECC ICE Clear Credit LLC ("ICC") proposes to formalize the ICC Clearing Participant Default Management Procedures and update the ICC Risk Management Framework. 07/16/2019 Certified 07/30/2019 2
EUREX Proposed rule amendments in Eurex Clearing Circular 019-20 related to the introduction of Related Security Spread Futures on Eurex Deutschland 02/24/2020 Certified 03/09/2020 2
LCHLTD LCH is submitting for self-certification revisions to align the provisions that address the change of interest rate for determining the Price Alignment Amount in the LCH FCM Procedures with those under LCH Procedure 2C. 11/08/2021 Certified 11/23/2021 3
ICE NGX CPA Amendments regarding Settlement Processing 06/20/2023 Certified 07/05/2023 1
CME Amendments to the Credit Risk Management Assessment Methodology and Counterparty Exposure Methodology 01/24/2024 Certified 02/07/2024 2
CME Weekly Notification of Rule Amendments - March 11, 2024 03/18/2024 Notified 03/18/2024 1
MIAX MGEX Bylaw Amendment 07/24/2024 Certified 08/07/2024 1
ICLR US Amendments to the ICE Clear U.S., Inc Risk Management Framework -- Stress Test Extension to All Products 10/15/2024 Certified 10/29/2024 2
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
LCHLTD SwapClear Members & Dealers 11/25/2002 Certified 11/25/2002 0
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
OCC Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. 06/10/2008 Certified 06/17/2008 1
NADEX Emergency Action: Closing Silver and Copper Daily and Weekly Contracts and Not Listing Silver and Copper Intraday Contracts on 5/28/13, Cancelling Certain Open Positions in the Silver and Copper Contracts, Amending Rulebook for Reuter's Scaling Change. 05/28/2013 Certified 06/11/2013 1
ICLR US Amendment to procedures regarding valuation of maturing US Treasury securities. 04/15/2014 Certified 04/30/2014 1
OCC This change would consolidate OCC's Governance Committee and Nominating Committee into a single committee, make changes to OCC's nomination process for directors and increase the number of Public Directors on OCC's Board of Directors. OCC #SR-OCC-2014-09 05/13/2014 Certified 05/28/2014 1
ICLREU2 Proposed changes to adopt a new Collateral and Haircut Policy applicable to Permitted Cover posted by Clearing Members to meet the Clearing House's Margin and Guaranty Fund requirements. 04/24/2015 Certified 05/08/2015 2
LCHSA Submission for self-certification the addition of the new trade name "LCH SA" 05/19/2016 Certified 06/02/2016 1
SGX-DC Weekly notification of rule amendments for the week of 26 September 2016. 10/02/2016 Notified 10/02/2016 2
CME Amendment to List of Acceptable Collateral 06/07/2018 Certified 06/21/2018 1
SGX-DC Weekly notification of rule amendments for the week of 8 July 2019. 07/16/2019 Notified 07/16/2019 2
CME Amendments to CBOT Rule 900. ("Categories of Clearing Members") 10/22/2020 Certified 11/05/2020 1
EUREX Proposed rule amendments in Eurex Clearing Circular 044-21 related to supporting additional compression methodologies with TriOptima AG, front stub periods, clarifying PAI and PAA for T+2 currencies, and clarifying backloading conditions 06/05/2021 Certified 06/18/2021 2
CME Weekly Notification of Rule Amendments - Week of August 1, 2022 08/09/2022 Notified 08/09/2022 1
CME Weekly Notification of Rule Amendments - Week of October 23, 2023 11/01/2023 Notified 11/01/2023 1
LCHLTD Procedural Amendments 11/01/2002 Certified 11/01/2002 0
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
OCC Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index 09/27/2011 Approved 06/13/2013 12
OCC Rule changes related to the change of expiration date from the Saturday following the third Friday of the specified expiration month to the third Friday of the specified expiration month; SR-OCC-2013-04 and SR-OCC-2013-802. 04/17/2013 Certified 05/02/2013 2
ICECC The purpose of the proposed rule change is to amend Subchapter 26D of the ICC Rules to provide for the clearance of additional Standard Emerging Sovereign Single Name constituents of the CDX Emerging Markets Index. 08/12/2014 Certified 08/26/2014 3
EUREX Proposed rule changes in Eurex Clearing Circular 064-16 related to changes to EurexOTC Clear IRS Release 6.1 and Clearing Member request to split ICM collateral pools. 05/19/2016 Certified 06/03/2016 2
CME Weekly Notification of Rule Amendments - Week of March 20, 2017 03/30/2017 Notified 03/30/2017 1
LCHLTD Amendment to the LCH Rulebook to clarify that a branch of a ForexClear member submits a trade on behalf of the ForexClear clearing member. 11/03/2017 Certified 11/20/2017 1
MIAX Notification of changes to HRSW spread margin rates 06/07/2018 Notified 06/07/2018 1
LCHLTD LCH Limited is submitting for self-certification changes to the ForexClear fee schedule to allow Clearing Members clearing deliverable FX products to receive a fee holiday in their first four months of joining the service. 07/17/2019 Certified 07/30/2019 1
SGX-DC Weekly notification of rule amendments for the week of 28 October 2019. 11/05/2019 Notified 11/05/2019 2
ICLREU2 ICE Clear Europe is adopting the amendments to the Procedures to clarify the requirements for investment of customer funds provided by FCM/BD Clearing Members. 11/27/2020 Certified 12/10/2020 2
ICLREU2 ICE Clear Europe is amending its F&O Risk Policy and F&O Risk Procedures. 02/25/2021 Certified 03/11/2021 2
CME Modifications to CME Clearing's Collateral Policy 11/08/2021 Certified 11/23/2021 2