Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CME Weekly Notification of Rule Amendments - Week of May 6, 2019 05/15/2019 Notified 05/15/2019 1
LCHLTD Weekly Notification of Rule Amendment for the Week of 06 January 2020 01/09/2020 Notified 01/09/2020 1
CME Weekly Notification of Rule Amendments - Week of November 1, 2021 11/08/2021 Notified 11/08/2021 1
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
OCC Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. 08/12/2009 Certified 08/18/2009 1
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
LCHLTD Changes to certain parameters of the Forexclear service Initial Margin model. 01/31/2014 Certified 02/15/2014 1
LCHSA LCH.Clearnet SA has modified its fee schedule for CDSClear in line with recent service developments (introduction of clearing fees for Client Clearing activities and introduction of clearing fees for self clearing activities on CDS single names). 04/15/2014 Certified 04/30/2014 1
CME Weekly Notification of Rule Amendments - Week of September 18, 2017 09/29/2017 Notified 09/29/2017 1
ICE NGX CPA Amendments regarding Settlement Processing 06/20/2023 Certified 07/05/2023 1
CME Weekly Notification of Rule Amendments - March 11, 2024 03/18/2024 Notified 03/18/2024 1
OCC Interp clarifying that "securities contracts" and 'commodity contracts" held by a CLM in a proprietary account are held pursuant to "a cross-margining agreement or similar arrangement" for purposes of Section 561(b)(3)(A) of the U.S. Bankruptcy Code 10/23/2007 Certified 10/29/2007 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
NADEX Emergency Action: Closing Silver and Copper Daily and Weekly Contracts and Not Listing Silver and Copper Intraday Contracts on 5/28/13, Cancelling Certain Open Positions in the Silver and Copper Contracts, Amending Rulebook for Reuter's Scaling Change. 05/28/2013 Certified 06/11/2013 1
ICLR US Amendment to procedures regarding valuation of maturing US Treasury securities. 04/15/2014 Certified 04/30/2014 1
OCC This change would consolidate OCC's Governance Committee and Nominating Committee into a single committee, make changes to OCC's nomination process for directors and increase the number of Public Directors on OCC's Board of Directors. OCC #SR-OCC-2014-09 05/13/2014 Certified 05/28/2014 1
LCHSA Submission for self-certification the addition of the new trade name "LCH SA" 05/19/2016 Certified 06/02/2016 1
CME Amendment to List of Acceptable Collateral 06/07/2018 Certified 06/21/2018 1
CME Amendments to CBOT Rule 900. ("Categories of Clearing Members") 10/22/2020 Certified 11/05/2020 1
CME Weekly Notification of Rule Amendments - Week of August 1, 2022 08/09/2022 Notified 08/09/2022 1
CME Weekly Notification of Rule Amendments - Week of October 23, 2023 11/01/2023 Notified 11/01/2023 1
CBT Revised Chapter 8 regarding Clearing House and Performance Bonds and Chapter 9 regarding Clearing Members to harmonize with the CME's rulebook since the two DCOs are affiliated under a common parent entity, CME Group, Inc. 10/25/2007 Certified 10/25/2007 1
CME Weekly Notification of Rule Amendments - Week of March 20, 2017 03/30/2017 Notified 03/30/2017 1
LCHLTD Amendment to the LCH Rulebook to clarify that a branch of a ForexClear member submits a trade on behalf of the ForexClear clearing member. 11/03/2017 Certified 11/20/2017 1
MGEX Notification of changes to HRSW spread margin rates 06/07/2018 Notified 06/07/2018 1
LCHLTD LCH Limited is submitting for self-certification changes to the ForexClear fee schedule to allow Clearing Members clearing deliverable FX products to receive a fee holiday in their first four months of joining the service. 07/17/2019 Certified 07/30/2019 1
LX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
NADEX New contracts based on M&As 06/07/2007 Certified 06/22/2007 1
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
ICECC Addition of standard emerging sovereign single name (security based swaps) for clearing 10/03/2011 Certified 10/19/2011 1
LCHLTD Changes related to implementation of SwapClear's Strategic Initial Margin Methodology. 04/15/2013 Certified 04/30/2013 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
CMECE Weekly Notification of Rule Amendments - Week of March 20, 2017 03/31/2017 Notified 03/31/2017 1
MGEX Amendment of Rule 2106.00. 02/25/2021 Certified 03/11/2021 1
CME Modification of Cleared Euro Overnight Index Average ("EONIA") Overnight Index Swaps to Reference Euro Short Term Rate ("?STR") Ahead of Scheduled Discontinuation of EONIA 09/29/2021 Certified 10/14/2021 1
CME Modifications to CME Clearing's Schedule of Acceptable Performance Bond 11/08/2021 Certified 11/23/2021 1
CME Revised Chapters 8 and 9 regarding Clearing House and Performance Bond and Clearing Members to harmonize with CBT rulebook Chapters 8 and 9 on the same topics since they are affiliated under common parent 10/25/2007 Certified 10/29/2007 1
NYPC Amendments to LLC Agreement re fiduciary duties of directors. 10/05/2011 Certified 10/21/2011 1
LCHLLC Amendments to LCH.Clearnet LLC's Rules and Regulations concerning the introduction of Legally Segregated, Operationally Commingled ("LSOC") Accounts under CFTC Regulation Part 22. 10/26/2012 Certified 11/10/2012 1
LCHLTD Rulebook changes to accommodate straight-through processing. 04/15/2013 Certified 04/30/2013 1
LCHLTD Circular to FCM SwapClear, ForexClear, and EnClear Clearing Members clarifying how FCM Clearing Member requests for the return of excess amounts will be treated where the request does not specify whether the FCM clearing member seeks the return of Unal 11/12/2013 Certified 11/27/2013 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
ICLREU2 ICE Clear Europe submits for self-certification amendments that modify the Clearing Rules in order to comply with requirements under the European Market Infrastructure Regulation that will apply to ICE Clear Europe as an authorized central counterparty. 08/12/2014 Certified 08/26/2014 1
LCHLTD LCH.Clearnet Limited is announcing the transition from 'linked' to 'unlinked' model of trade booking workflow; which will mean that the original executing party is no longer visible on LCH.Clearnet Limited member reporting. 09/16/2014 Certified 09/29/2014 1
LCHSA Pursuant to CFTC regulation 40.6(a), LCH SA is submitting for self-certification the refinement of the CDS Liquidity Margin initiative (Lot 3) to be implemented on 26 July 2016 07/12/2016 Certified 07/26/2016 1
LCHSA Pursuant to CFTC regulation 40.6(a), LCH SA is submitting for self-certification an incentive fee rebate program. 10/05/2016 Certified 10/20/2016 1
CME Weekly Notification of Rule Amendments - Week of November 14, 2016 11/22/2016 Notified 11/22/2016 1
LCHLTD LCH Ltd intends to extend the contracts eligible for portfolio margining with SwapClear products. 10/02/2017 Certified 10/16/2017 1
CME Weekly Notification of Rule Amendments - Week of October 28, 2019 11/06/2019 Notified 11/06/2019 1