| LX |
40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. |
11/16/2022 |
Notified |
11/16/2022 |
|
1 |
| LCHLTD |
Collateral Rules |
11/08/2002 |
Certified |
11/08/2002 |
|
0 |
| NADEX |
New contracts based on M&As |
06/07/2007 |
Certified |
06/22/2007 |
|
1 |
| OCC |
Amendment of rules to expand use and functionality of sub-accounts available to clearing members. |
09/28/2007 |
Certified |
10/29/2007 |
|
1 |
| ICECC |
Addition of standard emerging sovereign single name (security based swaps) for clearing |
10/03/2011 |
Certified |
10/19/2011 |
|
1 |
| LCHLTD |
Changes related to implementation of SwapClear's Strategic Initial Margin Methodology. |
04/15/2013 |
Certified |
04/30/2013 |
|
1 |
| NYPC |
NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. |
05/07/2014 |
Certified |
05/22/2014 |
|
1 |
| ICLREU2 |
The purpose of the changes is to allow ICE Clear Europe F&O Clearing Members to provide qualifying high grade corporate and other non-sovereign or "semi-government" bonds to satisfy original margin requirements for the F&O product category. |
02/29/2016 |
Certified |
03/14/2016 |
|
3 |
| CMECE |
Weekly Notification of Rule Amendments - Week of March 20, 2017 |
03/31/2017 |
Notified |
03/31/2017 |
|
1 |
| CME |
Notification Regarding Amendments to CME Rule 743. ("Delivery Infractions") to Adopt New CME Rule 743.C. ("Final Settlement Finality Rule Applicable in Delivery Obligation Failure") for FX Delivery |
05/18/2017 |
Certified |
06/02/2017 |
|
2 |
| SGX-DC |
Weekly notification of rule amendments for the week of 25 September 2017. |
10/01/2017 |
Notified |
10/01/2017 |
|
2 |
| ICLREU2 |
To amend ICEU's Clearing Rules, Clearing Procedures and CDS Procedures to implement certain requirements under MiFID II and MiFIR, and relating implementing regulations and technical standards relating to indirect clearing. |
12/11/2017 |
Certified |
12/26/2017 |
|
2 |
| ICECC |
ICC hereby submits notification of changes to risk parameters established by ICC in consultation with the ICC Risk Committee, Trading Advisory Group and/or Risk Working Group. |
12/06/2019 |
Notified |
12/06/2019 |
|
2 |
| LCHSA |
LCH SA is submitting for self-certification the proposed amendments to its Liquidity Risk Modelling Framework. |
02/25/2020 |
Certified |
03/10/2020 |
|
2 |
| MIAX |
Amendment of Rule 2106.00. |
02/25/2021 |
Certified |
03/11/2021 |
|
1 |
| CME |
Modification of Cleared Euro Overnight Index Average ("EONIA") Overnight Index Swaps to Reference Euro Short Term Rate ("?STR") Ahead of Scheduled Discontinuation of EONIA |
09/29/2021 |
Certified |
10/14/2021 |
|
1 |
| CME |
Modifications to CME Clearing's Schedule of Acceptable Performance Bond |
11/08/2021 |
Certified |
11/23/2021 |
|
1 |
| ICECC |
ICC hereby submits notification of changes to risk parameters established by ICC in consultation with the ICC Risk Committee, Trading Advisory Group and/or Risk Working Group. |
06/24/2022 |
Notified |
06/24/2022 |
|
2 |
| NODALCL |
CFTC Regulation 40.6(a) Certification: Amendments to Nodal Clear Risk Policies |
08/09/2022 |
Certified |
08/23/2022 |
|
2 |
| EUREX |
Proposed rule amendments in Eurex Clearing Circular 020/24 related to the introduction of the Authorised Manager setup in the FCM Regulations |
03/19/2024 |
Certified |
04/02/2024 |
|
4 |
| CME |
Amendments to CME, CBOT, NYMEX/COMEX Rules 802.A, 804, 805, 8F006 and 8F025 Regarding Default Management; Default Management Guidelines |
11/08/2024 |
Certified |
11/25/2024 |
|
2 |
| LCHLTD |
SwapClear Fees & Charges |
11/01/2002 |
Certified |
11/01/2002 |
|
0 |
| CME |
Revised Chapters 8 and 9 regarding Clearing House and Performance Bond and Clearing Members to harmonize with CBT rulebook Chapters 8 and 9 on the same topics since they are affiliated under common parent |
10/25/2007 |
Certified |
10/29/2007 |
|
1 |
| NYPC |
Amendments to LLC Agreement re fiduciary duties of directors. |
10/05/2011 |
Certified |
10/21/2011 |
|
1 |
| LCHLLC |
Amendments to LCH.Clearnet LLC's Rules and Regulations concerning the introduction of Legally Segregated, Operationally Commingled ("LSOC") Accounts under CFTC Regulation Part 22. |
10/26/2012 |
Certified |
11/10/2012 |
|
1 |
| LCHLTD |
Rulebook changes to accommodate straight-through processing. |
04/15/2013 |
Certified |
04/30/2013 |
|
1 |
| LCHLTD |
Circular to FCM SwapClear, ForexClear, and EnClear Clearing Members clarifying how FCM Clearing Member requests for the return of excess amounts will be treated where the request does not specify whether the FCM clearing member seeks the return of Unal |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| NYPC |
NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. |
05/07/2014 |
Certified |
05/22/2014 |
|
1 |
| ICLREU2 |
ICE Clear Europe submits for self-certification amendments that modify the Clearing Rules in order to comply with requirements under the European Market Infrastructure Regulation that will apply to ICE Clear Europe as an authorized central counterparty. |
08/12/2014 |
Certified |
08/26/2014 |
|
1 |
| LCHLTD |
LCH.Clearnet Limited is announcing the transition from 'linked' to 'unlinked' model of trade booking workflow; which will mean that the original executing party is no longer visible on LCH.Clearnet Limited member reporting. |
09/16/2014 |
Certified |
09/29/2014 |
|
1 |
| LCHSA |
Pursuant to CFTC regulation 40.6(a), LCH SA is submitting for self-certification the refinement of the CDS Liquidity Margin initiative (Lot 3) to be implemented on 26 July 2016 |
07/12/2016 |
Certified |
07/26/2016 |
|
1 |
| LCHSA |
Pursuant to CFTC regulation 40.6(a), LCH SA is submitting for self-certification an incentive fee rebate program. |
10/05/2016 |
Certified |
10/20/2016 |
|
1 |
| CME |
Weekly Notification of Rule Amendments - Week of November 14, 2016 |
11/22/2016 |
Notified |
11/22/2016 |
|
1 |
| ICLR US |
Change to Concentration Charge for Agricultural Products |
03/31/2017 |
Certified |
04/14/2017 |
|
2 |
| LCHLTD |
LCH Ltd intends to extend the contracts eligible for portfolio margining with SwapClear products. |
10/02/2017 |
Certified |
10/16/2017 |
|
1 |
| ICLR US |
ICUS is amending its Risk Management Framework to provide for enhancements related to concentration charges for agricultural products. |
01/09/2018 |
Certified |
01/24/2018 |
|
2 |
| CME |
Termination of the OTC FX Non-Deliverable Forwards Incentive Program |
10/04/2018 |
Certified |
10/19/2018 |
|
2 |
| ICECC |
ICE Clear Credit LLC ("ICC") proposes changes to its cash investment yield schedule. |
03/26/2019 |
Certified |
04/09/2019 |
|
2 |
| CME |
Weekly Notification of Rule Amendments - Week of October 28, 2019 |
11/06/2019 |
Notified |
11/06/2019 |
|
1 |
| LCHLTD |
LCH Limited Self-Certification: minor amendments to the ForexClear fee schedule |
12/06/2019 |
Certified |
12/20/2019 |
|
1 |
| CME |
Weekly Notification of Rule Amendments - Week of September 7, 2020 |
09/16/2020 |
Notified |
09/16/2020 |
|
1 |
| CME |
Administrative Modifications to CME Clearing's Liquidity Risk Management Framework |
11/09/2021 |
Certified |
11/24/2021 |
|
2 |
| EUREX |
Weekly Notification of Rule Amendments - Week of June 20, 2022 |
06/24/2022 |
Notified |
06/24/2022 |
|
1 |
| LCHLTD |
LCH Limited is submitting for self-certification revisions to its rules to withdraw eligibility for certain swaps denominated in Singapore Dollar. |
09/23/2022 |
Certified |
10/07/2022 |
|
3 |
| ICE NGX |
Amendment to Default Management Procedures |
12/16/2022 |
Certified |
01/03/2023 |
|
2 |
| CME |
Weekly Notification of Rule Amendments - Week of March 20, 2023 |
03/28/2023 |
Notified |
03/28/2023 |
|
1 |
| OCC |
Rule Certification Concerning the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation. |
11/01/2023 |
Certified |
11/16/2023 |
|
4 |
| LCHLTD |
Endex Clearing (Dutch Electricity) |
12/16/2002 |
Certified |
12/16/2002 |
|
0 |
| ICLREU2 |
Rule amendments re conversion of the MISO Cinergy Hub to the MISO Indiana Hub |
10/06/2011 |
Certified |
10/22/2011 |
|
1 |
| NYMEX |
Cross-Venue Futures Options Energy Incentive Program; 11-487 |
12/08/2011 |
Certified |
12/23/2011 |
|
2 |
