Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
MIAX 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
MIAX 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
MIAX 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
OCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
NYPC Proposed amendments to expand the scope of NYPC's cross-margining program with Fixed Income Clearing Corporation to include the accounts of market professionals 03/20/2012 Approved 05/04/2012 1
CME Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii) 05/03/2012 Certified 05/03/2012 5
ICLREU2 Change to initial payment date on CDS Contracts to be T+1; change to daily calculation and payment of interest on mark to market margin on CDS Contracts 04/17/2012 Certified 05/02/2012 1
LCHLTD Changes to SwapClear default fund, default management process and membership criteria 04/16/2012 Certified 05/01/2012 2
CME Change to fees in S&P GSCI-ER cleared swap contracts; 12-119 04/13/2012 Certified 04/28/2012 1
CME Portfolio margining program for CME Eurodollar futures together with Eris Exchange Interest Rate Swap futures, for both customer and house accounts; 12-114 04/12/2012 Certified 04/27/2012 1
CME Delisting cleared only S&P GSCI-ER Index Forwards; 12-133 04/27/2012 Certified 04/27/2012 1
CME Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
CBT Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
NYMEX Daily segregation reporting requirement for FCM Clearing Members pursuant to CME/CBOT/NYMEX Rule 970.D; 12-112 04/11/2012 Certified 04/26/2012 1
NYMEX NYMEX Brent Block Trade Broker Rebate Program 04/10/2012 Certified 04/25/2012 1
OCC Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 04/10/2012 Certified 04/25/2012 1
NYMEX Modifications to NYMEX Brent 25 day Futures Incentive Program; 12-107 04/10/2012 Certified 04/25/2012 1
ICLREU2 Amendments to certain Financial Power contracts: alterations to the last trading day and/or the contract series; changes to last trading day will not affect final settlement price 04/05/2012 Certified 04/20/2012 1
CME Change from SPAN to HVaR methodology for calculating "cash mark-to-market" margin for CME Cleared OTC FX Spot, Forward and Swap Transactions; 12-102 03/30/2012 Certified 04/14/2012 1
CME CME Rule 8F04 (OTC Clearing Member Obligations and Qualifications); Amendments to comply with 39.12(a)(2)(iii); 12-097 03/28/2012 Certified 04/12/2012 1
OCC Rescinds a policy interpretation adopted by OCC's Securities Committee with respect to adjustments of listed equity options for dividends, and the corresponding policy in OCC bylaws applicable to security futures. 03/26/2012 Certified 04/10/2012 1
MIAX Update procedures for transfer of customer positions; modify disciplinary committees' structure 03/26/2012 Certified 04/10/2012 1
CME Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
CBT Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
NYMEX Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
ICECC Modifications to the ICC Risk Model 03/23/2012 Certified 04/07/2012 1
OCC Changes to rules re: clearance of stock loan transactions in Market Loan and Stock Loan programs; proposed changes to clearing agreement between OCC and operator of the Loan Market. 03/22/2012 Certified 04/06/2012 1
NYMEX Changes to Incentive Program for OTC Energy Options Products; 12-089 03/19/2012 Certified 04/03/2012 2