| LCHLLC |
Amendments to Rule 101 - definition of "Clearing Hours" and addition of new Rules 901and 902 to incporporate existing interest rate swap and new forward start interest rate swap futures specs, respectively. |
11/09/2009 |
Certified |
02/26/2010 |
|
1 |
| KCC |
New Rules 2100.01 and 2100.02 regarding FCM and customer requirements to particpate in clearing OTC ag swaps under Section 4(c) exemption. |
03/01/2010 |
Certified |
03/08/2010 |
|
1 |
| CME |
New Chapter 415E for the clearing of S&P GSCI Excess Return Index 2 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
| CME |
New Chapter 415F for the clearing of S&P GSCI Excess Return Index 3 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
| OCC |
Technical amendments to the Stock Loan Hedge and Market Loan Program rules. |
03/25/2010 |
Certified |
03/31/2010 |
|
1 |
| ICLR US |
Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. |
03/26/2010 |
Certified |
03/31/2010 |
|
1 |
| ICE NGX |
Amendments to the Contracting Parties Agreement related to Credit Support Defaults and product specifications. |
04/13/2010 |
Certified |
04/15/2010 |
|
1 |
| KCC |
Amendment to Rule 2100.02 regarding ESP participation requirements and submission of FCM Participation Agreement. |
04/19/2010 |
Certified |
04/20/2010 |
|
1 |
| LCHLLC |
Amendments to Rules 901 and 902 to rename existing contracts and addition of new Rules 903 to 907 to add five new contracts to be cleared. |
04/15/2010 |
Certified |
04/20/2010 |
|
1 |
| LCHLLC |
Amendment to Risk Management Procedures Manual to modify the method for calculating original performance bond requirements |
04/22/2010 |
Certified |
05/03/2010 |
|
1 |
| CME |
Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 3 Month Forward for clearing |
04/23/2010 |
Certified |
05/03/2010 |
|
1 |
| CME |
Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 2 Month Forward for clearing |
04/23/2010 |
Certified |
05/03/2010 |
|
1 |
| CME |
New Rule 949 regarding credit control policies |
04/28/2010 |
Certified |
05/03/2010 |
|
1 |
| LCHLLC |
Amendments to ticker symbol formats |
05/03/2010 |
Certified |
05/17/2010 |
|
1 |
| LCHLLC |
Rule amendment to reflect changes to the Risk Committee charter, the creation of a Nominating committee, and to make other conforming changes. |
05/28/2010 |
Certified |
06/04/2010 |
|
1 |
| CME |
Contract specifications and market information relating to the listing of ten new wet tanker freight forward contracts on CME ClearPort for clearing only. |
06/01/2010 |
Certified |
06/10/2010 |
|
1 |
| OCC |
Change to clearing agreement schedule with ELX to add the clearing of 3 month, $1,000,000 Eurodollar Time Deposit futures contracts. |
06/16/2010 |
Certified |
06/18/2010 |
|
1 |
| KCC |
New rule providing for the close-out of member positions and netting of member obligations in event of DCO insolvency. |
06/17/2010 |
Certified |
06/28/2010 |
|
1 |
| LCHLLC |
Amendment to Rule 405 providing for the offset of certain contracts with same settlement date, fixed rate payment, and account . |
06/23/2010 |
Certified |
06/28/2010 |
|
1 |
| OCC |
Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. |
07/01/2010 |
Certified |
07/07/2010 |
|
1 |
| LCHLLC |
Amendment to Rule 415 to expand circumstances in which clearing member may transfer contract from one account to another, and to Rule 514 to modify form of acceptable performance bond deposit clearing member may accept from customers |
07/20/2010 |
Certified |
07/20/2010 |
|
1 |
| CME |
CME Rulebook Chapter 8F amended in part to accomodate clearing services for Eris Exchange, LLC (exempt board of trade) |
07/22/2010 |
Certified |
07/22/2010 |
|
1 |
| OCC |
Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. |
07/29/2010 |
Certified |
07/29/2010 |
|
1 |
| OCC |
Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." |
07/29/2010 |
Certified |
07/29/2010 |
|
1 |
| LCHLLC |
Rules 908 and 909 incorporate the contract specifications of two new futures contracts to be cleared by IDCH - the IDEX USD Defined Roll Interest Rate Swap Futures Contract and the IDEX USD Forward Start Defined Roll Interest Rate Swap Futures Contract. |
08/05/2010 |
Certified |
08/05/2010 |
|
1 |
| OCC |
Revision to Article XII, Section 3, of OCC's by-laws to allow OCC to make adjustments to the settlement price of exchange-designated security futures for all cash dividends or distributions. |
08/19/2010 |
Certified |
08/19/2010 |
|
1 |
| OCC |
Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security |
08/25/2010 |
Certified |
08/25/2010 |
|
1 |
| OCC |
Proposed technical change to Interpretation and Policy .06 under Rule 601 in connection with the expansion of forms of collateral incorporated into STANS |
08/25/2010 |
Certified |
08/25/2010 |
|
1 |
| KCC |
Amendment to Rule 8.03 pertaining to default procedures |
08/25/2010 |
Certified |
08/25/2010 |
|
1 |
| LCHLLC |
Changes to membership classifications; creation of OTC Customer Segregated Account; procedures for clearing of new OTC contracts; amending settlement, performance bond, and default procedures |
08/30/2010 |
Certified |
08/30/2010 |
|
1 |
| OCC |
Amendment to Interpretation and Policy .01 under Section 11A, Article VI and Interpretation and Policy .01 under Section 3, Article XII |
08/31/2010 |
Certified |
08/31/2010 |
|
1 |
| LCHLTD |
Specifications for new Monthly Cash Settled Natural Gas Financial Swap, Henry Hub Contract to be cleared for Nodal Exchange. |
09/01/2010 |
Certified |
09/01/2010 |
|
1 |
| OCC |
Article I, Section 1, Rule 801, 805, and 1804 - proposed rule change to accomodate Weekly Options and Monthly Options |
09/15/2010 |
Certified |
09/15/2010 |
|
1 |
| MIAX |
Minneapolis Grain Exchange, Inc. Rulebook (includes Ch. 21 - Clearing House Regulations) |
09/20/2010 |
Certified |
09/20/2010 |
|
1 |
| CME |
CBOT Rules 10C03, 11D03, 14C03, and 16C03: Settlement procedures during the final month of clearing for CBOT Ethanol Forward Month Swaps, Corn Calendar Swaps, Soybean Calendar Swaps, and Wheat Calendar Swaps |
09/17/2010 |
Certified |
09/17/2010 |
|
1 |
| OCC |
Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 |
10/04/2010 |
Certified |
10/04/2010 |
|
1 |
| CBT |
CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" |
10/01/2010 |
Certified |
10/01/2010 |
|
1 |
| NYMEX |
CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" |
10/01/2010 |
Certified |
10/01/2010 |
|
1 |
| CME |
CME, CBOT and NYMEX are adopting rules to implement substantive requirements for the pre-bankruptcy treatment of customer "cleared OTC derivatives" |
10/01/2010 |
Certified |
10/01/2010 |
|
1 |
| ICE NGX |
Rule amendments clarify language relating to daily settlement products/transactions and to add new products |
10/14/2010 |
Certified |
10/14/2010 |
|
1 |
| ICE NGX |
Amendments to Schedule D to add new products to its product list (US natural gas products) and removal of a crude oil product |
10/14/2010 |
Certified |
10/14/2010 |
|
1 |
| CME |
New rules with respect to the clearing of over-the-counter interest rate swaps |
10/14/2010 |
Certified |
10/14/2010 |
|
1 |
| CBT |
Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps |
10/14/2010 |
Certified |
10/14/2010 |
|
1 |
| NYMEX |
Conforming amendments to existing rules to allow for clearing of over-the-counter interest rate swaps |
10/14/2010 |
Certified |
10/14/2010 |
|
1 |
| OCC |
New rule to accommodate futures contracts that are settled in a non-US currency. |
10/22/2010 |
Certified |
10/22/2010 |
|
1 |
| CME |
Amendment to reduce required amount of CME Group Class A Shares required for clearing member privileges. |
10/26/2010 |
Certified |
10/26/2010 |
|
1 |
| NADEX |
Amend responsibilities of Chief Operating Officer as set forth in Nadex Rule 2.3. |
11/04/2010 |
Certified |
11/04/2010 |
|
1 |
| LCHLLC |
Amendments to Risk Management Procedures to (i) incorporate price alignment interest (PAI) into variation performance bond for OTC contracts; and (ii) amend list of currently acceptable Collateral |
11/10/2010 |
Certified |
11/10/2010 |
|
1 |
| OCC |
Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program |
12/16/2010 |
Certified |
12/16/2010 |
|
1 |
| OCC |
Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). |
01/19/2011 |
Certified |
01/19/2011 |
|
1 |
