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Industry Filings

  • October 2003 Filings by Designated Contract Markets (DCMs)

    Date of Letter

    Date Filed

    DCM

    Description

    10/31/2003

    10/31/2003

    CBOT

    Rule Numbers – 9B01 thru 9B.21 and Appendices 9B-1 through 9B-4
    New provisions to govern trading on the new e-cbot electronic platform.

    10/31/2003

    10/31/2003

    PBOT

    Rule Numbers – 361
    New Section 7 of PBOT Rule 367, Exchange of Futures Contracts for Physical, prohibits EFP transactions from being structured with cash-settled futures contracts.

    10/31/2003

    10/31/2003

    PBOT

    Rule Numbers – 262
    New PBOT Rule 262, Segregation and Secured Requirements, establishes certain requirements for clearing members relating to customer funds.

    10/30/2003

    10/30/2003

    NYMEX

    Listing Additional Months through Dec. 2006 in 4 Gulf coast petroleum products contracts

    10/28/2003

    10/29/2003

    MGEX

    Rule Numbers – 280.00., 281.00., 816.00., 817.00., 817.01., 901.01., 1115.00., 1116.00., and Regulations 2025.00. and 2037.00.
    The MGEX is removing the requirements that the Exchange have Sampling and Weighing Departments, that licensed public elevators report to the Weighing Department, and that all members of the Exchange operating grain facilities in the Minneapolis/St. Paul switching district use official weights. Further, delivery notices will only be in 5,000 bushel denominations.

    10/23/2003

    10/24/2003

    CBOT

    Rule Numbers – 225.00
    Establish a Designated Primary Market Maker Program for 10-Year Municipal Note Index Futures.

    10/23/2003

    10/24/2003

    CBOT

    Rule Numbers – 450.02G
    Amendments will clarify that members with firm-owned seats will be treated as members in determining broker and transaction fees for trades made for affiliates of the member firm owner.

    10/23/2003

    10/24/2003

    CBOT

    Rule Numbers – 4404.01, 4406.01
    Revisions to the Dow Jones Industrial Average Index options contract will provide for the quarterly “re-setting” of strike prices and amend cabinet trade provisions.

    10/23/2003

    10/23/2003

    CBOT

    Rule Numbers – 450.02C
    Amended qualifications for member/member firm proprietary accounts

    10/22/2003

    10/23/2003

    CBOT

    Rule Numbers – 230.05 and 450.02I
    New regulations will facilitate the registration/designation of “passive investor” entities for reduced transaction fees

    10/22/2003

    10/22/2003

    CBOT

    Rule Numbers – 425.01, 425.07
    Replace position limits in 2-Yr. T-Note futures and options with position accountability

    10/22/2003

    10/22/2003

    CBOT

    Rule Numbers – 331.03
    Lower the quantity threshold for All-or-None transactions in 5 Yr. and 10-Yr. Treasury/Swap futures spreads

    10/22/2003

    10/22/2003

    CBOT

    Rule Numbers – 1950.01(b)(2)
    Eliminate the pricing “collar” for Municipal Note Index futures contract settlements

    10/22/2003

    10/22/2003

    CBOT

    Rule Numbers - 444.04
    Expand exchange for swap transactions to include Treasury Bond and Note futures

    10/15/2003

    10/17/2003

    CME

    CME Rule 10102.D. Daily Price Limits (Live Cattle Futures)
    Emergency Rule Certification for the Daily Price Limits for the Live Cattle Futures Contract

    10/15/2003

    10/15/2003

    PBOT

    Rule Numbers – Rule 212
    New PBOT Rule 212 regarding provision of information requested by the Exchange.

    10/15/2003

    10/15/2003

    PBOT

    Rule Numbers – Rule 366
    New PBOT Rule 366 providing that wherever the context permits, all references in the Exchange’s rules to Commission rules include any successor Commission rules.

    10/15/2003

    10/16/2003

    PBOT

    Rule Numbers – Rule 365
    New PBOT Rule 365 regarding Exchange recordkeeping.

    10/15/2003

    10/15/2003

    NYMEX

    Rule Numbers – Supplement No. 2, “Licensed Depositories and Weightmasters for Silver”
    The amendment asks HSBC Bank USA as a Licensed Weighmaster for Silver.

    10/13/2003

    10/14/2003

    OneChicago

    Rule Numbers – Listing Standard II.A.v.
    Onechicago is proposing to correct Maintenance Listing Standard II.A.v in which the words “has not” were inadvertently omitted.

    10/10/2003

    10/10/2003

    NYMEX

    Rule Numbers - NYMEX Rule 8.21
    The rule amendments authorize NYMEX Floor Committee members to issue summary fines for material misstatements and misrepresentations made to the Floor Committee in connection with a bid, offer or transaction.

    10/09/2003

    10/09/2003

    CBOE Futures Exchange, LLC

    Rule Numbers - Policies and Procedures VI

    10/09/2003

    10/09/2003

    NYCE

    New Rule 6.43
    New rule establishes trading privileges for NYBOT members who are not NYCE members to trade futures and options contracts on the Russell Complex and the NYSE Composite Index.®

    10/08/2003

    10/08/2003

    NYMEX

    NYMEX Rule 6.40B
    NYMEX is extending its trading at settlement programs is its unleaded gasoline and heating oil futures contracts through the end of the year.

    10/08/2003

    10/08/2003

    CME

    Exchange is Delisting March 2004 FORTUNE e-50 Index futures and discontinuing listing future contract months.

    10/07/2003

    10/07/2003

    CBOT

    Rule 230.00; Regulations 230.02 and 450.02D
    Designation of “affiliates” for Exchange transaction fee purposes

    10/06/2003

    10/08/2003

    CME

    New Rule 105.B. and Changes to existing Rule 105.B. allowing individuals seeking membership on the Exchange who will not be accessing the trading floor to apply for membership using a short form application

    10/06/2003

    10/07/2003

    CME

    Changes to Rule 816 and Rule 821 allowing for an increase in the size of CME’s Line of Credit from $500 million to $750 million for 2004.

    10/02/2003

    10/02/2003

    CME

    Rule Number 5202.D. Daily Price Limits. Lowering the daily price limit on Class III & Class IV milk from $1.00 to $.75.

    10/01/2003

    10/082003

    NYMEX

    Rule Numbers COMEX 4.36A
    The amendment to COMEX Rule 4.36A, “Exchange of Aluminum Futures for, or in Connection with Swap Transactions”, extends the original term of the program from three years from the effective date of November 27, 2000 to five years from the effective date of the program. Therefore, the program would be extended until November 27, 2005.

    10/01/2003

    10/02/2003

    NYMEX

    Rule Numbers COMEX Rule 4.36A
    The amendment to COMEX Rule 4.36A, “Exchange of Aluminum Futures for, or in Connection with Swap Transactions, “extends the original term of the program from three years from the effective date of November 27, 2000 to five years from the effective date of the program. Therefore, the program would be extended until November 27, 2005.

    10/01/2003

    10/02/2003

    PBOT

    New Rule 364
    New PBOT Rule 364 (Reference File SR-PBOT-2003-04) – prohibition against manipulation, attempted manipulation and cornering of commodities traded on the exchange