Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CCORP Listing of Products Eligible for BOTCC-GSCC Cross-Margining 07/20/2001 Certified 07/20/2001 0
ICLR US Committees; Guaranty Fund 08/16/2001 Certified 08/20/2001 0
ECC Board of Directors 12/04/2001 Certified 12/04/2001 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
OCC Officers and Closing Writing Transactions 12/19/2001 Certified 12/19/2001 0
ICLR US Adoption of New Rule 303 to give NYCC authority to debit the proprietary margin accounts of its members 11/12/2003 Certified 11/13/2003 1
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
CME Securities Lending Program 02/02/2001 Certified 02/02/2001 0
CME Proposed Addition of iShares S&P 100 Index Fund to Cross-Margining Program 02/09/2001 Certified 02/09/2001 0
CME Clearing Membership Requirements 03/15/2001 Certified 03/15/2001 0
CME Protection of Clearing House 04/09/2001 Certified 04/09/2001 0
CME Security Deposit 04/09/2001 Certified 04/09/2001 0
CME Limitation of Liability 04/09/2001 Certified 04/09/2001 0
CME Satisfaction of Clearing House Obligation 04/20/2001 Certified 04/20/2001 0
CME Security Deposit 07/05/2001 Certified 07/05/2001 0
CME Performance Bond Requirement 07/05/2001 Certified 07/05/2001 0
CME Cross-Margining Program with the Government Securities Clearing Corporation 07/30/2001 Certified 07/30/2001 0
CME Liquidity Facility 10/25/2001 Certified 10/25/2001 0
CME Clearing Membership 11/30/2001 Certified 11/30/2001 0
CME Acceptable Performance Bond Deposits 11/30/2001 Certified 11/30/2001 0
CME Clearing Member Approval 11/30/2001 Certified 11/30/2001 0
CME Authority to Adopt Rule Changes 01/20/2004 Certified 01/21/2004 1
CME Reduction in the Number of Class A Shares Required to be held by Clearing Firms 09/20/2004 Certified 09/24/2004 1
CME Adds Put and Call Options on S&P Depository Receipts to Eligible Contracts for the CME-OCC Cross-Margining Agreement 01/11/2005 Certified 01/12/2005 1
CME Delegates Authority from Board of Director for Rule and Clearing Member Approval Practices 08/01/2005 Certified 08/10/2005 1
CME Clarification of Settlement Dates on Cleared-only Eurodollar Futures 03/17/2006 Certified 03/24/2006 1
MIAX Exchange Regulatory Fee 01/31/2001 Certified 01/31/2001 0
NYMEX Investment of Customer Segregated Funds in Money Market Mutual Funds 02/20/2001 Certified 02/20/2001 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
NYMEX Acceptable Original Margin 12/07/2001 Certified 12/07/2001 0
NYMEX Original Margin Depositories and Letters of Credit 03/03/2005 Certified 03/08/2005 0
NYMEX Remote Clearing Solution 06/03/2005 Certified 06/17/2005 1
NYMEX Unsecured Loans as Customer Margin 08/05/2005 Certified 08/10/2005 1
NYMEX Amends the Trade Submission Deadlines for Off-Exchange Trades Submitted for Clearing 11/17/2005 Certified 11/18/2005 1
NYMEX Increases the Maximum Dollar Value of Letters of Credit to $500 Million, Retains the Percentage Basis at 10% and Increases the Collateralized Maximum to $600 Million 01/12/2006 Certified 01/17/2006 1
NYMEX Extends Rule 6.21G through August 4, 2006, as CFTC Granted an Extension to its Order Allowing NYMEX Floor Members to Trade in OTC Markets under Specified Conditions 02/03/2006 Certified 02/10/2006 1
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
NYMEX Raises Clearing Member Fund Balance Min; Uses Hybrid Formula to Calculate Contributions; Adds Surcharge for Position Limit Exemptions; and Adds MM Mutual Funds to Acceptable Deposits 03/10/2006 Certified 03/10/2006 1
NYMEX Requires Exchange Clearing Members to Own Two Exchange Memberships and 180K Shares of NYMEX Holdings Common Stock 03/13/2006 Certified 03/13/2006 1
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC ByLaw V, VIII, Margin Committee to Risk Committee 07/19/2006 Certified 07/19/2006 1
OCC August 14, 2006, OCC-2006-14, Discounted Clearing Fees 08/14/2006 Certified 08/14/2006 1
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
NYMEX CME GLOBEX Prices Incorporated into settlement prices 09/01/2006 Certified 09/01/2006 1
LCHLTD Amended Default Rules September 2006 09/14/2006 Certified 09/14/2006 0
ICLR US Reg. 1.25 Funds to fulfill obligations to the Guaranty Fund 10/03/2006 Certified 10/03/2006 1
CBT Restatement of clearing member membership and shareholding requirements 09/27/2006 Certified 09/30/2006 1