Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
CBT CBOT Approved as DCO Approval Process Required Implementing Rules 10/07/2003 Certified 10/07/2003 0
CBT Rule 701.1 Transfer of Clearing Accounts 10/07/2003 Certified 07/14/2003 0
CBT Financial Filing Requirements 09/22/2003 Certified 09/22/2003 1
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
CBT Transfer of Clearing Accounts 08/06/2003 Certified 08/06/2003 0
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
CBT E-CBOT Clearing 10/31/2003 Certified 10/31/2003 1
CME Clearing Membership Assignment Requirements 04/23/2003 Certified 04/23/2003 0
ICLR US Delivery Obligations on Default 10/14/2003 Certified 10/14/2003 1
ICLR US Segregation Requirements 07/17/2003 Certified 07/17/2003 0
ICLR US Closing Out Positions of Expelled or Suspended Clearing Members 02/24/2003 Certified 02/24/2003 0
ICLR US Price Limits Margining 12/15/2003 Certified 12/15/2003 0
NYMEX Eliminates OTC Reference 01/22/2003 Certified 01/22/2003 0
NYMEX Staff Members Settlement Committee 11/11/2003 Certified 11/11/2003 1
NYMEX Consolidation of NYMEX & COMEX Clearing 05/14/2003 Certified 05/14/2003 0
NYMEX PJM Electricity Futures 04/10/2003 Certified 04/10/2003 0
OCC CMTA Facility 10/10/2003 Certified 10/10/2003 1
OCC PBOT Clearing Agreement 10/31/2003 Certified 10/31/2003 1
OCC Settlement of Stock Futures 08/21/2003 Certified 08/21/2003 1
OCC Appointed Clearing Members 08/21/2003 Certified 08/21/2003 1
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
CCORP CCORP (BOTCC) Replaces GCC as DCO for ME, ChemConnect, ICE 10/01/2003 Certified 10/01/2003 1
CCORP Non-cash margin 02/20/2003 Certified 02/20/2003 0
CCORP USFE 09/25/2003 Certified 09/25/2003 1
CCORP Amended Articles of Incorporation, By-Laws and Rules 10/30/2003 Certified 10/30/2003 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 1
OCC Rule primarily applicable to securities 07/24/2006 Certified 07/24/2006 1
OCC Rule primarily applicable to securities 07/12/2006 Certified 07/12/2006 1
OCC Rule primarily applicable to securities 06/26/2006 Certified 06/26/2006 1