Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLTD Self-certification relating to implementation of a margin model floor for the EnClear Clearing Service. 05/08/2014 Certified 05/23/2014 1
LCHLTD Self-certification pursuant to Sec. 40.6(a) in respect of corrections to LCH.Clearnet Limited's rules and regulations. 06/13/2014 Certified 06/28/2014 1
ICLREU2 To amend certain ICEU Rules and Clearing Procedures relating to the margining of Customer Accounts, principaslly in the case of Non-FCM/BD Clearing Members. 10/30/2015 Certified 11/16/2015 2
ICECC ICC proposes amendments to its Clearing Rules to comply with certain requirements of the European Union General Data Protection Regulation. 05/24/2018 Certified 06/08/2018 2
ICE NGX Amendment to Definitions, Section 2.6, 7.2, 7.3 and Schedule "C" of the CPA 03/14/2019 Certified 03/28/2019 1
ICLR US Amendments to the ICE Clear U.S. Risk Management Framework 04/07/2020 Certified 04/21/2020 2
EUREX Proposed amendments to the Clearing Conditions and Price List in Eurex Clearing Circular 061-21 relating to the launch of Mini-Futures and -Options on the MDAXr index at Eurex Deutschland. 07/12/2021 Certified 07/26/2021 2
ICLR US Amendments to the ICUS Risk Management Framework Related to ICE Risk Model 2.0 05/26/2022 Certified 06/10/2022 2
ICLR US Committees; Guaranty Fund 08/16/2001 Certified 08/20/2001 0
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
OCC Rule primarily applicable to securities 12/09/2005 Certified 12/09/2005 1
ICLR US New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin 12/15/2009 Certified 12/24/2009 1
CME Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
OCC Modify corporate governance structure of OCC, OCC-2012-01 01/20/2012 Certified 02/04/2012 1
NADEX Amendments to clarify notice of authorized trader resignation, provide for discretionary adjustment of underlying delivery month, amend title of index binary contracts for consistency, and correct typographical error in holiday product schedule guidelines 07/26/2013 Certified 08/10/2013 1
CME Self-certification of CME Clearing Advisory Notice for Performance Bond Collateral Categorization Changes. CME 14-240 06/13/2014 Certified 06/28/2014 1
CME Extension of the CME OTC FX Fee Waiver Program 12/03/2014 Certified 12/17/2014 1
NODALCL Fee schedule for trucking freight futures 03/14/2019 Certified 03/28/2019 2
EUREX Proposed rule amendments in Eurex Clearing Circular 081-20 related to providing that transaction fees in certain single stock dividend futures will be reduced by 50 percent and post-trade fees for single stock futures will be adjusted 10/08/2020 Certified 10/23/2020 2
OCC Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel. 10/28/2021 Certified 11/12/2021 2
LX Rulebook update 04/08/2022 Certified 04/22/2022 2
ICECC The principal purpose of the proposed changes to the ICC Treasury Policy & Procedures is to add clarifications and updates with respect to collateral asset haircuts and additional details on ICC's foreign exchange conversion methods. 08/31/2023 Certified 09/15/2023 2
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 Rule primarily applicable to securities 11/09/2005 Certified 11/09/2005 1
LCHLTD LCH submits its Clearing Relationship Agreement (CRA), Termination Agreement (TA) and Tripartite Clearing Membership Agreement (TCMA). Only the latter is not subject to a request for confidential treatment. 09/22/2009 Certified 09/25/2009 1
LCHLLC Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts 12/16/2009 Certified 12/24/2009 1
CBT Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
ICECC Enhancements to margin methodology ("Decomp Model") 11/25/2011 Certified 12/10/2011 1
CME Amendments to CDS Guaranty Fund allocation calculation; 12-029 01/19/2012 Certified 02/03/2012 2
CME Acceptance for clearing of SEK, DKK and NOK Interest Rate Swaps; OIS Swaps up to 5 years; 1-month Designated Maturity for IRS denominated in EUR, GBP and JPY; 13-047. 02/14/2013 Certified 03/02/2013 1
LCHLTD LCH has amended its rules to reflect that only those clearing members that participate in the General Business services are permitted to vote on the LCH's changes to its General Business default management program. 06/13/2013 Certified 06/28/2013 1
LCHLTD Introduction of wording to set out the requirements of clearing members to participate in business continuity testing planning coordination and testing programs. 07/29/2013 Certified 08/13/2013 1
CME This submission contains product title amendments for two DJ-UBS Commodity Index futures, and for three DJ-UBS Commodity Index Cleared Swaps to reflect a change in the index calculation agent from DJ to Bloomberg. #14-243 06/16/2014 Certified 07/01/2014 1
CCH Changing entity name from "Cantor Clearinghouse, L.P." to "CX Clearinghouse, L.P." 02/16/2018 Certified 03/05/2018 2
LCHLTD LCH Limited Self-Certification: SwapClear NZD Clearing, AUD and ZAR tenor extensions 10/30/2019 Certified 11/14/2019 1
OCC Proposed rule change to modify The Options Clearing Corporation's fees for exercise notices submitted after the deadlines and to change the deadline for submitting a late exercise notice on non-expiration dates. 02/11/2020 Certified 02/26/2020 1
LCHLTD LCH is submitting for self-certification changes to its Rulebook required to implement a new ForexClear proposal to enhance the ForexClear trade registration workflow for eligible products traded on trading venues. 08/31/2023 Certified 09/15/2023 1
ICECC The principal purpose of the purposed rule change is to make changes to the ICC Collateral Risk Managment Framework. 04/29/2024 Certified 05/13/2024 2
ICLREU2 ICE Clear Europe is submitting amendments to the Rules that are intended to make a variety of updates, improvements and clarifications. 10/07/2024 Certified 10/22/2024 2
OCC Rule primarily applicable to securities 10/13/2005 Certified 10/13/2005 1
OCC Amendment to interp providing guidance relating to new method for adjusting security options for cash dividends and distributions 01/06/2009 Certified 01/15/2009 1
CME Amendments to Rule 8F15 regardiing trade submission to CME Clearport 09/22/2009 Certified 09/22/2009 1
CME Revisions to Chapters 800-805 regarding OTC credit default swap contracts and contract specifications 12/11/2009 Certified 12/24/2009 1
LCHLLC Amend risk management procedures to modify stress test parameters, quarterly risk monitoring, and clarify construction of revaluation curves. 07/13/2011 Certified 07/13/2011 1
NYMEX Changes to NYMEX Rule 984 governing Give Up Trades (now entitled Clearing Member Acceptance of Executed Customer Trades) 11-443 11/28/2011 Certified 12/13/2011 1
CME Emergency actions taken as a result of Hurricane Sandy; 12-363. 10/29/2012 Certified 10/29/2012 1
CME Change to the Collateral Categorization for Treasury Inflation Protected Securities; 13-049. 02/14/2013 Certified 03/02/2013 1
CCH Change to rules in relation to Participant Clearing Accounts to reflect that funds are Member Property, and to prevent confusion as the current term ("segregation") implies customer property. 04/08/2013 Certified 04/23/2013 1
NADEX Rulebook amendments to identify contracts as "swaps" as defined under 17 USC 1a(47), to accommodate swaps, and reflect appropriate language. 06/14/2013 Certified 06/29/2013 1
LCHLTD Self-certification pursuant to 40.6(a) notifying of the extension of the ForexClear Client Clearing fees waiver program. 06/16/2014 Certified 07/01/2014 1