Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
EUREX Proposed rule amendments in Eurex Clearing Circular 011-25 related to the introduction of the new session type Enhanced Drop Copy and corresponding connection fees. 03/24/2025 10 Day Review 03/24/2025 2
EUREX Proposed rule amendments in Eurex Clearing Circular 012-25 related to fee reductions related to products cleared outside Eurex Clearing's DCO license. 03/24/2025 10 Day Review 03/24/2025 2
MIAX Addition of new fee Rule 2.4.4. 03/25/2025 10 Day Review 03/25/2025 1
OCC Rule Certification by The Options Clearing Corporation Concerning a change in the maximum contingent Operational Loss Fee listed in OCC's schedule of fees in accordance with OCC's Capital Management Policy. 03/27/2025 10 Day Review 03/27/2025 1
ICECC ICE Clear Credit proposes updates to its fee schedules. 03/28/2025 10 Day Review 03/28/2025 2
ICECC ICE Clear Credit propose rule changes and adoption of procedures related to Identification of Contract Reference Obligations. 03/28/2025 10 Day Review 03/28/2025 3
EUREX Proposed rule amendments in Eurex Clearing Circular 016-25 related to removing one ongoing requirement with respect to FCM Clearing Members and other amendments related to products cleared outside Eurex Clearing's DCO license. 04/01/2025 10 Day Review 04/01/2025 2
ICECC Advance notice of ICC's expansion of the scope of its business to include operations as a central counterparty for the clearing of transactions involving U.S. Treasury securities. 01/27/2025 60 Day Review 01/27/2025 2
LX CFTC Rule 39.3 and 40.5(a) submission regarding transfer of open interest 08/21/2024 Approval Pending (45) 08/21/2024 1
ICLR US Clearing Member Account Structure 01/29/2001 Approved 05/23/2001 0
CME Reorganization Plan 08/31/2001 Approved 11/16/2001 0
MIAX MGEXPress Electronic Trading System 11/13/2001 Approved 12/12/2001 0
OCC Amends definition of "fund share" to include a publicly traded interest in a trust, investment company or similar entity principally engaged in holding or managing one or more currencies. 09/22/2006 Approved 11/06/2006 2
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
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
ICLR US Default Fund Rule Amendment Approved 08/20/2002 Approved 08/20/2002 0
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 Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
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
CME Revision to Rule 818 stating the rights of clearing members in the event of certain defaults by or bankruptcy of CME and CME clearinghouse 02/06/2009 Approved 03/23/2009 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. 07/24/2008 Approved 12/03/2008 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares 12/14/2009 Approved 06/14/2010 2
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
OCC Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares 07/23/2008 Approved 12/03/2008 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
CCH Rule changes with respect to Petition to Modify DCO Order issued April 20, 2010 to remove conditions limiting the DCO to clearing only media-related contracts. 10/06/2010 Approved 02/11/2013 6
OCC Rule amendment to establish jurisdictional status of Alpha Options 11/17/2011 Approved 01/30/2012 4
OCC Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index 09/27/2011 Approved 06/13/2013 12
NYPC Proposed amendments to expand the scope of NYPC's cross-margining program with Fixed Income Clearing Corporation to include the accounts of market professionals 03/20/2012 Approved 05/04/2012 1
ICECC Amendments to conform the ICC membership qualifications to be in compliance with Commission Regulations 39.12(a)(2)(ii) and 39.12(a)(2)(iii). 03/23/2012 Approved 05/07/2012 1
CME Request for approval to commingle customer positions and related collateral in Interest Rate Futures and Interest Rate Swaps in customer cleared swaps accounts; 12-151 05/24/2012 Approved 10/12/2012 4
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
ICECC Rule amendments to implement the Commission's Part 22 regulations for cleared swap customer collateral (commonly referred to as "LSOC"). 09/21/2012 Approved 11/05/2012 1
CME New Chapter 10 and new Rule 1001 regarding swap data repository reporting; New submission amending submission 12-391. 12/06/2012 Approved 03/06/2013 2
CME Request for Approval to Commingle Significantly and Reliably Correlated Base Guaranty Fund Products 12/20/2016 Approved 02/03/2017 1
CME Modifications to Euro-Denominated Interest Rate Swap Products to Support Transition to ?STR Price Alignment and Discounting 05/22/2020 Approved 07/06/2020 1
ICLREU2 ICEU 40.5 commingling request for IFAD 07/03/2020 Approved 08/18/2020 4
CME Modifications to USD-Denominated Interest Rate Swap Products to Support Transition to SOFR Price Alignment and Discounting 08/25/2020 Approved 10/13/2020 1
CME Request for Approval to Commingle Customer Positions and Related Collateral in Listed Options on Interest Rate Futures Contracts and Interest Rate Swaps 10/19/2020 Approved 12/04/2020 2
CME Modifications to Interest Rate Swap Products to Implement IBOR Fallbacks 12/08/2020 Approved 01/25/2021 1
ICLR US Amendments to the ICE Clear U.S. Risk Management Framework 09/01/2021 Approved 11/19/2021 2
CME Modification of Cleared Over-the-Counter ("OTC") U.S. Dollar ("USD") Denominated Interest Rate Swap Products Referencing the London Interbank Offered Rate ("LIBOR") and Limitation of Acceptance for Clearing and Modification and Withdrawal of Clearing ... 01/30/2023 Approved 03/17/2023 1
CME Request for Approval of Amended and Restated Cross-Margining Agreement and Service Level Agreement between Chicago Mercantile Exchange Inc. and Fixed Income Clearing Corporation 07/17/2023 Approved 09/01/2023 2
ICLR US Clearing Member Eligibility Requirements 02/20/2001 Certified 02/20/2001 0
CCORP Revision of Cross-Margining Arrangement with Goverment Securities Clearing Corporation 04/03/2001 Certified 04/03/2001 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
BCC Ownership Structure 07/03/2001 Certified 07/03/2001 0
CCORP Listing of Products Eligible for BOTCC-GSCC Cross-Margining 07/20/2001 Certified 07/20/2001 0