Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NADEX Nadex amends trading hours for Germany 30 and FTSE 100 Contracts 01/09/2014 Certified 01/25/2014 1
LCHLTD Self-certification to align the rulebook with recent operational changes resulting inthe decommissioning of the declear and termination by automated service functionalities. 03/07/2014 Certified 03/22/2014 1
CME Advance notice of proposed rules relating to liquidity risk management. #13-565A, 13-565AR, 13-565ARR 03/31/2014 Certified 12/23/2014 3
CME Amendments to Seven (7) Cleared OTC Spot, Forwards and Swaps Contracts 10/01/2014 Certified 10/16/2014 1
LCHLTD LCHLTD is submitting changes to its rules related to bunched orders, which clarify the legal nature of a pre-allocation transaction and allow an FCM to re-allocate erroneously booked bunched orders back to its suspense account. 10/15/2015 Certified 10/28/2015 1
OCC Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. 06/06/2017 Certified 06/20/2017 2
OCC Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. 07/31/2018 Certified 08/14/2018 2
EUREX Proposed rule amendments in Eurex Clearing Circular 102-18 related to new categorization of Direct Clients, classification as Indirect Client Market Participant, Individual Segregation Model, tri-partite agreements no longer required for ECM, and other 12/03/2018 Certified 12/17/2018 5
ICLR US Self Clearing Members 08/17/2004 Certified 08/17/2004 0
ICLREU2 Addition of new cleared climate products 08/15/2011 Certified 08/16/2011 1
CBT Interest Rate Swap (IRS) Portfolio Margining; IRS Guaranty Fund changes; third party outsourcing; 12-061 02/28/2012 Certified 03/14/2012 1
ICLREU2 ICE Clear Europe is amending its rules, general contract terms and delivery procedures to designate ICE Endex as a market for which ICE Clear Europe provides clearing services and to add provisions to reflect the clearing of ICE Endex contracts. 09/13/2013 Certified 09/28/2013 1
NADEX Implementation of market maker incentive program 01/13/2014 Certified 01/29/2014 1
LCHLLC Self-certification to align the rulebook with recent operational changes resulting inthe decommissioning of the declear and termination by automated service functionalities. 03/07/2014 Certified 03/22/2014 1
LCHLTD LCH self-certifies clarification changes to the rules applicable to its Listed Interest Rates clearing service and SwapClear BAU transfers. 09/09/2016 Certified 09/23/2016 1
LCHLTD LCH is self certifying rule changes to enhance the current arrangements for Collateralisation to Stress Loss for clients 03/09/2017 Certified 03/23/2017 1
LX Amendments to Rulebook. 01/29/2018 Certified 02/12/2018 1
ICLREU2 Ice Clear Europe Ltd amends its CDS Clearing Back-Testing Policy. 09/19/2019 Certified 10/02/2019 2
NODALCL CFTC Regulation 40.6(a) Certification: Amendments to Nodal Clear Arbitration Rules and Risk Management Framework 08/10/2021 Certified 08/24/2021 3
OCC OCC Rule Certification Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility 02/15/2024 Certified 03/01/2024 2
CCD Cboe Clear Digital make minor, non-substantive updates to various policies and procedures. 04/05/2024 Certified 04/19/2024 2
ICLR US Individual Clearing Members 06/24/2004 Certified 06/24/2004 0
CME Addition of new CDX products 08/19/2011 Certified 08/20/2011 1
LCHLTD New Disciplinary procedures and amendments to appeals procedures 12/20/2011 Certified 01/06/2012 1
NYMEX Interest Rate Swap (IRS) Portfolio Margining; IRS Guaranty Fund changes; third party outsourcing; 12-061 02/28/2012 Certified 03/14/2012 1
ICLR US New Rule 605 re Deliveries of New Gold Daily Futures Contract 12/05/2016 Certified 12/19/2016 1
LCHLTD LCH is self certifying rules enabling the SwapClear service to i) operationally combine the processing of individual events to create a "Multiple Bulk Event" process; and ii) enhance the Duo Compression offering for Clearing Members. 03/09/2017 Certified 03/23/2017 1
ICLREU2 ICE Clear Europe proposes to make amendments to its F&O Guaranty Fund Policy to, among other things,make changes to its calculation methodology and make drafting clarifications and improvements. 10/30/2018 Certified 11/13/2018 8
LCHLTD LCH Limited Self-Certification: New Margin Collateral Haircut Schedule 09/19/2019 Certified 10/03/2019 2
ICLREU2 ICE Clear Europe Limited is amending its CDS Procedures and CDS Default Management Policy. 01/25/2021 Certified 02/05/2021 3
EUREX Proposed rule amendments in Eurex Clearing Circular 051-21 related to the introduction of hedging auctions as a tool to improve the hedging process during a Default Management Process of Eurex Clearing and related adaptation of the Default Fund waterfall 06/23/2021 Certified 07/08/2021 4
CME Extension of the OTC FX Options Fee Waiver Program 12/01/2021 Certified 12/15/2021 1
ICE NGX CPA, DMP and RMF amendments regarding new environmental products. 02/15/2024 Certified 03/01/2024 2
CBT Specifications for three basis swap products that will be traded OTC and cleared through CBT's clearing service provider 09/10/2007 Certified 09/19/2007 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
KCC Changes to the By-Laws and conforming amendments; 12-01. 11/15/2012 Certified 12/01/2012 1
ICLREU2 New Rule 411, which governs SDR reporting pursuant to Part 45 of the Commission's regulations. 05/19/2013 Certified 06/04/2013 1
LCHLTD LCH is self-certifying changes to its rules to add Variable Notional Swaps ("VNS") denominated in certain additional currencies (CHF, CZK, DKK, HKD, HUF, NZD, SGD and ZAR) to the list of SwapClear eligible products. 03/10/2017 Certified 03/24/2017 1
SGX-DC To facilitate SGX-DC's acceptance for clearing of the SGX Options on TSI FOB Australia Premium Coking Coal Swap 08/31/2017 Certified 09/14/2017 1
ICLR US Risk Management Framework Amendments 01/23/2020 Certified 02/06/2020 2
CCORP Definition of Exchange Market is amended to add new products to be traded on CCFE and USFE as follows: Nitrogen Financial Instrument Futures and European Carbon Financial Instrument Futures on CCFE and Spot Equivalent Futures Currencies in the following 09/19/2007 Certified 09/20/2007 1
ICLR US Amendments relating to clearing member financial emergencies and conflicts of interest 12/11/2008 Certified 12/17/2008 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
CME Modifications to the CME OTC FX Fee Waiver Program; 12-390. 11/16/2012 Certified 12/04/2012 1
ICLREU2 Rule changes obligating CDS clearing members to make certain payments related to FATCA as necessary. 05/19/2013 Certified 06/04/2013 1
LCHLTD LCH is self-certifying changes to its rules to offer updated post trade synchronization facility with ATSS in SwapClear. 03/10/2017 Certified 03/24/2017 1
ICECC ICC proposes changes to the ICC Rulebook, the ICC Risk Management Model Description Document, the ICC Risk Management Framework, the ICC Stress Testing Framework, and the ICC Liquidity Risk Management Framework. 01/29/2018 Certified 02/12/2018 3
ICE NGX To reflect recent changes in the indices made available by third-parties in respect of the Transco-65 delivery point 09/26/2023 Certified 10/11/2023 1
NYMEX New Rule 993 fka Rule 9.25 12/11/2008 Certified 12/11/2008 1
ICLREU2 Amendments to ICE Clear Europe Procedures in relation to the Clearing of ICE Futures Europe emissions auction contracts. 11/19/2012 Certified 12/05/2012 1