| CME |
Chapter 8F rules governing the clearing and settlement of OTC derivatives deemed eligible for clearing including credit default swaps |
12/19/2008 |
Certified |
12/22/2008 |
|
1 |
| ICLR US |
Amendments relating to clearing member financial emergencies and conflicts of interest |
12/11/2008 |
Certified |
12/17/2008 |
|
1 |
| NYMEX |
New Rule 993 fka Rule 9.25 |
12/11/2008 |
Certified |
12/11/2008 |
|
1 |
| OCC |
Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. |
07/24/2008 |
Approved |
12/03/2008 |
|
1 |
| OCC |
Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares |
07/23/2008 |
Approved |
12/03/2008 |
|
1 |
| NYMEX |
Modification to Rule 974 concerning suspension of non-clearing member firms subject to a bankruptcy proceeding |
11/24/2008 |
Certified |
12/01/2008 |
|
1 |
| OCC |
Amendment to the Third Amended and Restated Options Exercise Settlement Agreement between OCC and NSCC |
11/17/2008 |
Certified |
11/24/2008 |
|
1 |
| CME |
New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions |
11/14/2008 |
Certified |
11/24/2008 |
|
1 |
| CBT |
New Rule 818 provides for close-out netting of obligations in the event of clearing house insolvency. This rule was implemented for the purpose, inter alia, of reducing certain capital charge relief for bank clearing members for proprietary positions |
11/14/2008 |
Certified |
11/24/2008 |
|
1 |
| CBT |
Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. |
11/10/2008 |
Certified |
11/24/2008 |
|
1 |
| CME |
Rule amendment to permit clearing members to place customer cleared swaps in a CFTC Regulation 30.7 account. |
11/10/2008 |
Certified |
11/24/2008 |
|
1 |
| NYMEX |
Amendments updating various Nymex rules to harmonize them with CME and CBOT rules |
11/13/2008 |
Certified |
11/24/2008 |
|
1 |
| CME |
Amendments to OTC Derivative Clearing Chapter to (1) permit clearing members to place swaps cleared for customers in house, non-segregated origin and (2) update OTC clearing member insolvency provisions. |
11/10/2008 |
Certified |
11/24/2008 |
|
1 |
| CCORP |
Definition of Exchange Market is amended to add Dow Jones Sustainability World Index Futures as product traded on Chicago Climate Futures Exchange |
11/12/2008 |
Certified |
11/24/2008 |
|
1 |
| NYMEX |
New Rule 9.00B provides for close-out netting of positions in the event of a clearing house default. |
11/19/2008 |
Approved |
11/19/2008 |
This Rule was Self-Certified on 11/19/2008 and Deemed Approved on 11/19/2008. |
1 |
| KCC |
New Rules 8.02 and 8.03 establishing security deposits and default procedures to supplement resources and actions available in the event of a member default. |
10/30/2008 |
Certified |
10/30/2008 |
|
1 |
| NYMEX |
New Rule 9.23A titled Liquidity Facility adds Nymex and the clearing member collateral it holds to CME's credit facility. |
10/20/2008 |
Certified |
10/20/2008 |
|
1 |
| OCC |
Amendment to correct clerical errors to previous submission amending and supplementing rules to address certain issues related to OCC's Stock Loan/Hedge Program |
10/20/2008 |
Certified |
10/20/2008 |
|
1 |
| CCORP |
Definition of Exchange Market is amended to inlcude mini$DAX Index Futures |
09/12/2008 |
Certified |
09/29/2008 |
|
1 |
| CME |
Clarifying text added to provisions regarding the insolvency and liquidation of an OTC clearing member and the definition of close-out amount related to OTC clearing. |
08/25/2008 |
Certified |
08/28/2008 |
|
1 |
| CME |
Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. |
08/20/2008 |
Certified |
08/28/2008 |
|
1 |
| CBT |
Amendment to combine the CME security deposit and pool of funds and the NYMEX guaranty fund for purposes of satisfying claims against the clearing house in the event of a clearing member default and applies default insurance currently maintained by NYMEX. |
08/20/2008 |
Certified |
08/28/2008 |
|
1 |
| CCORP |
Definition of Exchange Market in Rules Chapter 1 is amended to add Regional Greenhouse gas Initiative futures and options. |
08/13/2008 |
Certified |
08/28/2008 |
|
1 |
| NYMEX |
Amend's to Ch. 1 & 101 to modify def'n of Clearing Assoc., Clearing House, or Clearing Dept.; amend. to Rule 3.31 to reflect that membership comm'ee no longer governs clearing firms; and other amend's in Ch. 9 due to change in corporate structure. |
08/20/2008 |
Certified |
08/28/2008 |
|
1 |
| CME |
New rules in new Chapter 438D governing new OTC product - WRS Hurricane Risk Landfill Options |
08/18/2008 |
Certified |
08/28/2008 |
|
1 |
| ICLR US |
Amendment to ByLaw Section 5.2 regarding clearing member eligibility and new Rules 10.00-10.05 regarding clearing of OTC ag swaps in coffee, sugar, and cocoa to replace Rules 1000-1013 |
08/05/2008 |
Certified |
08/07/2008 |
|
1 |
| OCC |
Amendment to ByLaw to permit the clearing and settling of options on the realized variance and realized volatility of an index. |
07/30/2008 |
Certified |
07/31/2008 |
|
1 |
| OCC |
By-Law amendment to modify provisions that determine whether outstanding stock options will be adjusted to reflect special cash dividends. |
07/24/2008 |
Certified |
07/29/2008 |
|
1 |
| OCC |
Amendment changing description of fixed exercise settlement amount and clarifying that escrow deposits are not permitted in respect of binary options |
07/23/2008 |
Certified |
07/29/2008 |
|
1 |
| CCORP |
Amend definition of Exchange Market to change name of CCFE IFEX U.S. Wind Binary Futures to IFEX Event Linked Futures Contract: U.S. Tropical Wind Events, and add two new futures contracts: Florida Tropical Wind Events and Gulf Coast Tropical Wind Events |
07/10/2008 |
Certified |
07/10/2008 |
|
1 |
| NYMEX |
Amends Rule 9.04A to clarify procedures for submitting for clearing via ClearPort NYMEX transactions (listed and cleared) and DME transactions (cleared only) and that latter trades governed by DME rules. |
07/09/2008 |
Certified |
07/10/2008 |
|
1 |
| OCC |
Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. |
06/10/2008 |
Certified |
06/17/2008 |
|
1 |
| OCC |
Amendments to rules needed to accommodate clearing of range options to be listed on CBOE. |
05/28/2008 |
Certified |
06/04/2008 |
|
1 |
| OCC |
Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities |
02/05/2008 |
Approved |
05/30/2008 |
|
5 |
| OCC |
Adoption of interpretative guidance regarding the administration and application of a new adjustment method for cash dividends and distributions |
05/23/2008 |
Certified |
05/27/2008 |
|
1 |
| CME |
Amendments to rules to require that cleared-only ethanol swap products participants must be ECPs and to apply position accountability and reporting levels to cleared-only ethanol products. |
05/22/2008 |
Certified |
05/22/2008 |
|
1 |
| OCC |
Amendments to eliminate foreign currency and foreign currency-denominated LOCs as eligible margin and render inoperative rules regarding physical delivery currency options since PHSX delisted them. |
05/15/2008 |
Certified |
05/19/2008 |
|
1 |
| CME |
Amendments to Rules concerning the clearing of Over-the-Counter Derivatives Contracts |
04/29/2008 |
Certified |
05/01/2008 |
|
1 |
| OCC |
Amendment to Rule 309 to provide for expedited process for reviewing a managed clearing member's request to operate without a facilities management agreement |
04/21/2008 |
Certified |
04/21/2008 |
|
1 |
| CCORP |
Definition of Exchange Market is amended to include USD SENSEX index futures traded on USFE |
04/03/2008 |
Certified |
04/10/2008 |
|
1 |
| MIAX |
Amendments to regulations to clarify and improve Clearing House default procedures and other operational procedures |
03/20/2008 |
Certified |
03/21/2008 |
|
1 |
| CCORP |
Definition of Exchange Market is amended to add options on Nitrogen Financial Instrument Futures traded on CCFE |
03/12/2008 |
Certified |
03/21/2008 |
|
1 |
| NYMEX |
De-listing by DME of the Brent-Oman and WTI-Oman Financial Spreads. |
02/28/2008 |
Certified |
03/05/2008 |
|
1 |
| OCC |
Amendments to OCC's stock loan and hedge program. |
02/25/2008 |
Certified |
02/29/2008 |
|
1 |
| MIAX |
Reduction in membership pledge requirement for clearing privileges from two memberships to one |
02/28/2008 |
Certified |
02/29/2008 |
|
1 |
| NYMEX |
Delisting of two cleared contracts traded on Dubai Mercantile Exchange |
02/28/2008 |
Certified |
02/29/2008 |
|
1 |
| CCORP |
Amend definition of Exchange Market to include CCFE's options on carbon financial instrument futures. |
02/26/2008 |
Certified |
02/29/2008 |
|
1 |
| OCC |
Modify pro rata assignment procedure description to eliminate reference to application to exercises of physical delivery, flexibly structured FCOs that are securities options since no longer traded on Phlx |
02/13/2008 |
Certified |
02/14/2008 |
|
1 |
| CCORP |
Definition of Exchange Market amended to add new Global Clearing Link contracts; Appendix 9B amended to add settlement procedures and minimum block size for such contracts; 9B sections re-referenced re original contracts' settlement price rules |
01/09/2008 |
Certified |
02/12/2008 |
|
1 |
| CBT |
Reduction in minimum price increments for CBT cleared-only OTC Denatured Fuel Ethanol Swap products |
01/04/2008 |
Certified |
02/12/2008 |
|
1 |
