Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLTD SwapClear service new standard pricing plan for client clearing fees 06/18/2012 Certified 07/03/2012 1
NYMEX Modifications to NYMEX OTC Broker Incentive Program; 12-191 06/15/2012 Certified 06/30/2012 1
CME Changes to CME's offering for cleared interest rate swaps; 12-204 06/15/2012 Certified 06/30/2012 2
NYMEX Diverse Trading Non-Member International Commercial Firms Energy Incentive Program; 12-162 06/12/2012 Certified 06/27/2012 2
NYMEX Modifications to NYMEX Incentive Program for Natural Gas Products; 12-163 06/12/2012 Certified 06/27/2012 1
NYMEX Modifications to Non-Member Cross-Venue Incentive Program for certain NYMEX energy products; 12-166 06/11/2012 Certified 06/26/2012 2
NYMEX Modifications to existing NYMEX Energy Products Cross-Venue Incentive Program; 12-167 06/11/2012 Certified 06/26/2012 2
NYMEX Modifications to Cross-Venue Energy & Metals Products Incentive Program for High Volume Contributors; 12-192 06/11/2012 Certified 06/26/2012 2
CME Adoption of Modified Split Allocation feature of CME's SPAN methodology for certain energy futures contracts; 12-189. 06/08/2012 Certified 06/22/2012 1
NYMEX Modifications to Flex Energy Futures and Options Incentive Program; 12-161 06/07/2012 Certified 06/22/2012 2
MGEX Extension of trading hours and deadline for submission of information to the clearing house 06/08/2012 Certified 06/22/2012 1
LCHLTD Amendments to admit Futures Commission Merchants to join ForexClear service and clear transactions on behalf of their clients. 06/06/2012 Certified 06/21/2012 1
CME Amend Rule 802 to make CME's capital contribution to the financial safeguards package that includes the Base Guaranty Fund $100 million 06/05/2012 Certified 06/20/2012 1
NADEX Amendment to Expiration time for Daily and Weekly Corn and Soybean Binary and Variable Payout Contracts to be consistent with corresponding underlying market; Emergency Rule filing 06/13/2012 Certified 06/13/2012 1
CME Modifications to CME OTC FX Fee Waiver Program; 12-156 05/30/2012 Certified 06/13/2012 1
CME Expansion of acceptable performance bond deposits in Rule 930.C; expansion of clearing member reporting requirements relating to customer funds in Rule 971; 12-178 05/30/2012 Certified 06/13/2012 1
OCC Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. 05/24/2012 Certified 06/09/2012 1
ICECC Amendment of rulebook to provide for the clearance of the CDX Emerging Markets Index CDS (CDX.EM) and to make a conforming change to the definition of "Restructuring CDS Contract" to encompass components of CDX.EM subj to a restructuring credit event. 05/21/2012 Certified 06/05/2012 1
NYMEX Change to NYMEX Brent Block Trade Broker Rebate Program 05/16/2012 Certified 06/01/2012 1
ICE NGX Crude Oil Incentive Program 05/16/2012 Certified 06/01/2012 1
OCC Technical amendments to fitness standards for directors, clearing members and others 05/15/2012 Certified 05/31/2012 1
MGEX Codify roles of Chief Regulatory Officer, Chief Compliance Officer and Chief Risk Officer 05/11/2012 Certified 05/26/2012 1
ICLREU2 Amendments to minimum capital requirements of CDS Clearing Members 05/08/2012 Certified 05/22/2012 1
CME Modifications to CME Incentive Program for Over-the-Counter Interest Rate Swaps; 12-136 05/08/2012 Certified 05/22/2012 2
OCC Updates procedures to adjustment panel voting 05/07/2012 Certified 05/22/2012 1
ICLR US Amend rule to codify duty to collect higher level of margin for non-hedge positions; 12-29 05/04/2012 Certified 05/19/2012 1
LCHLTD Addition of precious metals as margin collateral, Extension of use of Collateral Management System to include third party collateral 05/02/2012 Certified 05/17/2012 1
MGEX Update to procedures with regard to financial oversight of FCM Clearing Members 04/30/2012 Certified 05/15/2012 1
ICLR US Amendment increasing maximum size of a clearing member's Guaranty Fund contribution; 12-25 04/24/2012 Certified 05/09/2012 1
ICECC Changes to comply with CFTC Reg. 39.13(g)(8)(ii) 04/23/2012 Certified 05/08/2012 1
ICECC Amendments to conform the ICC membership qualifications to be in compliance with Commission Regulations 39.12(a)(2)(ii) and 39.12(a)(2)(iii). 03/23/2012 Approved 05/07/2012 1
KCC Clearing member risk management policies and procedures, failure to comply with participation requirements, offset of economically equivalent swaps, and swap clearing procedures. 04/20/2012 Certified 05/05/2012 1
KCC Risk limits on clearing member positions by house and customer origin 04/20/2012 Certified 05/05/2012 1
CME IRS Clearing Member Obligations and Qualifications; 12-123 04/20/2012 Certified 05/05/2012 1
CME CDS Clearing Member Obligations and Qualifications; 12-124 04/20/2012 Certified 05/05/2012 1
ICE NGX Clearing member risk management policies and risk limits 04/20/2012 Certified 05/05/2012 1
NYPC Rule amendments to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/20/2012 Certified 05/05/2012 1
ICLR US Rule amendments to conform with CFTC Part 39 DCO rules effective May 7, 2012; 12-26 04/20/2012 Certified 05/05/2012 1
ICLREU2 Rule amendment relating to use of Letters of Credit by Clearing Members as Permitted Cover in respect of Original Margin 04/20/2012 Certified 05/05/2012 3
ICLREU2 Minimum capital requirements of CDS Clearing Members 04/20/2012 Certified 05/05/2012 1
LCHLLC Rule changes to comply with CFTC Rules applicable to DCOs that become effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
LCHLTD Amendments re ForexClear Default Management Process and membership criteria, changes to SwapClear Membership criteria, changes to comply with CFTC regulations applicable to DCOs effective May 7, 2012 04/20/2012 Certified 05/05/2012 1
KCC Risk Management Policies 04/20/2012 Certified 05/05/2012 1
ICLREU2 Changes to comply with CFTC Reg 39.13(g)(8)(ii) collection of margin by clearing members 04/20/2012 Certified 05/05/2012 1
MGEX Changes to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/19/2012 Certified 05/04/2012 1
ICLR US Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
ICLREU2 Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
KCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
MGEX Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
NYPC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5