Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CME Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
NYMEX Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
CBT Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
NYMEX New rules for Chapter 7b regarding delivery. 06/24/2009 Certified 06/30/2009 1
CME Amendments to OTC substitution rule. 06/30/2009 Certified 06/30/2009 1
CME New rules concerning credit default swaps and amendmens to OTC clearing rules. 06/16/2009 Certified 06/30/2009 1
NADEX Amendment of all rules to change the name of the DCO to the North American Deriviatives Exchange, Inc. ("Nadex") effective June 21, 2009, delete references to "Hedgelets," and amend a footnote to Rule 12.7. 06/19/2009 Certified 06/23/2009 1
ICLR US Amendments to By-Law Section 5.5 to revise order in which assets and sources are to be applied to cover a defaulted obligation of a cleairng member and to Rule 505 to allow use of pass-through letters of credit in lieu of cash margin deposits. 06/08/2009 Certified 06/09/2009 1
ICE NGX Amendment to Product List of CPA to add nine new products for trading and/or clearing on the NGX tradign system and/or NGX clearing system. 06/02/2009 Certified 06/04/2009 1
ICE NGX Amendments to CPA sections to change the effective period for certain revisions to Terms and Conditions and Schedules, clarify that NAFTA representation relates to North American oil and gas, and reduce notice period required for CPA termination. 06/02/2009 Certified 06/04/2009 1
CME Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/26/2009 Certified 06/01/2009 1
OCC Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/22/2009 Certified 06/01/2009 1
OCC Rule change to reduce ancillary service fees charged to Tier I, II, III and IV clearing members and to reduce leased line charges for subscribing clearing members. 05/28/2009 Certified 06/01/2009 1
ICE NGX Amendments to rules of the Contracting Party's Agreement primarily for the purpose of adding crude oil products to those offered by NGX. 04/30/2009 Certified 05/04/2009 2
OCC Amendments to ByLaws to accommodate clearing of conventional cash-settled commodity options, binary commodity options, and event options. 03/18/2009 Certified 04/21/2009 1
CME Filing of six revised participant agreements related to the CME/OCC non-proprietary cross-margining agreeement. 04/21/2009 Certified 04/21/2009 1
ICLR US Amendment to ByLaw Section 5.6 limiting increase of Permitted Position Risk and to Rule 403(b) allowing offset of positions in contracts having same specfications other than size and which have been designated as fungible. 11/12/2008 Certified 04/20/2009 1
CME Amended and Restated Non-Proprietary Cross-Margining Agreement with addition of security futures on two ETFs based on broad-based securities indices as new eligible contracts. 04/17/2009 Certified 04/20/2009 1
OCC Rule change certifying security futures contracts on two ETFs based on broad-based securities indices as eligible contracts for purposes of non=proprietary cross-margining. 04/17/2009 Certified 04/20/2009 1
ICLR US Rule amendments altering the composition of the Board of Directors and creating a Risk Committee 04/16/2009 Certified 04/17/2009 1
OCC Rule changes revising eligibility requirements for deposit of ETFs and stocks as margin. 04/14/2009 Certified 04/16/2009 1
CCORP Definition of Exchange Market is amended to add four new renewable energy certificates futures contracts. 04/15/2009 Certified 04/16/2009 1
CME Notice that CME will clear OTC agricultural swap contracts listed by CBOT for clearing-only. 04/02/2009 Certified 04/16/2009 1
OCC Rule change to charge clearing fees for trades executed on OneChicago one side of which are cleared by CME equal to fees charged for trades both sides of which are cleared by OCC clearing members. 03/25/2009 Certified 04/16/2009 1
OCC ByLaw and Rule changes to accommodate the clearing and settling of NYSE Liffe metals futures and options on metals futures 03/25/2009 Certified 04/16/2009 1
LCHLTD Changes to General Regulations and Default Fund Rules to support clearing of the Nodal Exchange 04/01/2009 Certified 04/16/2009 1
LCHLTD Changes to Rules 15 and 19 to support clearing Nodal Exchange transactions 04/01/2009 Certified 04/16/2009 1
CME Revision to Rule 818 stating the rights of clearing members in the event of certain defaults by or bankruptcy of CME and CME clearinghouse 02/06/2009 Approved 03/23/2009 1
OCC OCC By-Law amendments to allow the clearing and settling of flexibly structured options traded on CBOE consistently wtih CBOE's rules. 03/19/2009 Certified 03/20/2009 1
OCC Rule change to modify fee schedule to adopt fee for Stock/Loan Hedge and Market Loan Program transactions 03/06/2009 Certified 03/12/2009 1
CCORP Definition of Exchange Market in Chapter 1 is amended to add the California Climate Action Registry- Climate Reserve Tons options on futures contract traded on CCFE. 03/11/2009 Certified 03/12/2009 1
CME Rule amendments to Chapter 415x to accept for clearing Cleared-Only S&P GSCI ER Index Swap contracts 03/04/2009 Certified 03/06/2009 1
CCORP Definition of Exchange Market is amended to conform to change in name of product cleared from "California Climate Action Reserve - Climate Reserve Tons" to " Califormia Climate Action Registry - Climate Reseve Tons" traded on CFFE. 02/27/2009 Certified 03/02/2009 1
LCHLTD Amendments to Definitions and Regulation 62 to allow for the co-clearing of specific contracts on behalf of members with other clearing houses where one clearinghouse acts for the buyer and the other acts for the seller. 01/28/2009 Certified 02/26/2009 1
CCORP Definition of Exchange Market is amended to add the California Climate Action Reserve - Climate Reserve Tons traded on Chicago Climate Futures Exchange, LLC. 02/18/2009 Certified 02/26/2009 1
CBT New CBOT Rule 818 "Close-Out Netting." 02/12/2009 Certified 02/26/2009 1
ICLR US Amendments to rules to replace the terms "NYBOT" and "Exchange" with the term "ICE Futures U.S." 02/10/2009 Certified 02/12/2009 1
LCHLTD Submission of Section 2A clearing procedures that will accomodate clearing of CDSs on Index CDSs processed via Bclear made available to LIFFE members 02/12/2009 Certified 02/12/2009 1
CME New rule setting forth procedures for trade submissions on ClearPort clearing. 01/30/2009 Certified 02/03/2009 1
CME Amendment to Rule 8F04 regarding recordkeeping requirements for clearing credit default swap contracts 01/30/2009 Certified 02/03/2009 1
CME Amendments to clearinghouse substitution rule for OTC Derivatives 02/03/2009 Certified 02/03/2009 1
LCHLLC Amendment to Rule 421 to correct a typographical error 01/22/2009 Certified 01/26/2009 1
ICLR US New rules and rule changes implementing the Commission's Section 4(c) order regarding the clearing of agricultural swaps. 01/23/2009 Certified 01/26/2009 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
OCC Rule change clarifying that an individual may occupy more than one Exchange directorship and if so, would count as separate director for each for all bylaw purposes 01/12/2009 Certified 01/15/2009 1
ICE NGX Amendment to Product List of CPA to add new products 12/29/2008 Certified 01/02/2009 1
ICE NGX Fee schedule changes to CPA for trading and clearing products 12/29/2008 Certified 01/02/2009 1
NYMEX Renumbering of Rule 9.00B Close-Out Netting to Rule 8.18 12/30/2008 Certified 01/02/2009 1
OCC Technical clarification to Rule 1506 which prohibits the deposit in lieu of margin in respect of certain options to add references to range options. 12/31/2008 Certified 01/02/2009 1
OCC Rule changes creating a framework for OCC to provide clearing services for stock loan and borrow transactions effected through electronic trading systems. 12/22/2008 Certified 12/30/2008 1