Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICE NGX Addition of eight physically-settled natural gas futures contracts 09/08/2020 Certified 09/22/2020 1
ICE NGX Addition of four physically-settled natural gas futures transactions (the "New Futures Contracts") 03/05/2020 Certified 03/19/2020 1
ICECC Addition of fourteen investment grade indices to Schedule 502 of ICE Clear Credit Rules. 08/09/2012 Certified 08/24/2012 1
CME Addition of Interest Rate Swaps in EUR, GBP, JPY, CAD and CHF 09/23/2011 Certified 10/08/2011 1
CME Addition of Limited Recourse and Portfolio Gain Haircut Settlement Cycles to the Financial Safeguards Package for Base Products 10/30/2014 Withdrawn 08/31/2016 1
CMECE Addition of London Gold Forward contracts; delivery procedures for physical commodities; 11-395 10/27/2011 Certified 11/11/2011 1
CME Addition of new CDX products 08/19/2011 Certified 08/20/2011 1
ICLREU2 Addition of new cleared climate products 08/15/2011 Certified 08/16/2011 1
ICLREU2 Addition of new cleared energy products 09/09/2011 Certified 09/10/2011 1
ICLREU2 Addition of new cleared OTC products 10/20/2011 Certified 11/04/2011 1
MGEX Addition of new Rule regarding Bitnomial Exchange block trades 02/14/2022 Certified 03/01/2022 1
ICE NGX Addition of NGX representation that it will submit large trader reports to the Commission on behalf of its participants 07/18/2012 Certified 08/02/2012 1
CME Addition of Portfolio Gains Haircuts,Tear-Ups, and Limited Recourse to the Financial Safeguards Package for Base 08/31/2016 Certified 12/20/2016 10
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
ICE NGX Addition of sixteen physically settled natural gas futures contracts in the U.S. natural gas market. 06/21/2022 Certified 07/06/2022 1
ICECC Addition of standard emerging sovereign single name (security based swaps) for clearing 10/03/2011 Certified 10/19/2011 1
CMECE Addition of three new refined oil swap contracts 11/04/2011 Certified 11/22/2011 1
LCHLTD Addition of two new Approved Trade Source Systems for SwapClear. 02/12/2014 Withdrawn 02/25/2014 1
LCHLLC Addition of two new Approved Trade Source Systems for SwapClear. 02/12/2014 Withdrawn 02/25/2014 1
ICE NGX Addition of US natural gas products for clearing 09/07/2011 Certified 09/08/2011 1
CME Additions to USD Interest Rate Swap offering 08/19/2011 Certified 08/20/2011 1
CME Adds Put and Call Options on S&P Depository Receipts to Eligible Contracts for the CME-OCC Cross-Margining Agreement 01/11/2005 Certified 01/12/2005 1
OCC Adjustment to Futures and Futures Options 12/23/2005 Certified 12/23/2005 1
CME Administrative Amendments to CME, CBOT, NYMEX/COMEX Rule 816. ("Guaranty Fund Deposit") 09/21/2021 Certified 10/05/2021 1
CME Administrative Modifications to CME Clearing's Liquidity Risk Management Framework 11/09/2021 Certified 11/24/2021 2
CME Adoption of a New Framework for Initial Margin Calculations 05/28/2019 Certified 07/19/2019 3
CME Adoption of CME, CBOT, NYMEX, and COMEX Rule 543 and Amendments to CME, CBOT, NYMEX, and COMEX Rules 930.C. and 960. 01/05/2016 Certified 01/20/2016 1
ICLREU2 Adoption of enhanced margin methodology, applicable to, and providing for portfolio margining between, index and single-name CDS contracts. 02/15/2013 Certified 03/05/2013 1
OCC Adoption of Governance Fitness Standards to comply with DCO Core Principle O 08/31/2011 Certified 09/16/2011 1
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 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
CME Adoption of New CME and CBOT Rule 990. ("U.S. Withholding Tax") 12/15/2016 Certified 12/30/2016 1
CME Adoption of New CME, CBOT, NYMEX/COMEX Rule 258. ("Exchange Personal Trading Policy") 07/14/2021 Certified 07/28/2021 1
CME Adoption of New CME/CBOT/NYMEX/COMEX Rule 832. ("Foreign Currency Market Disruption") 09/14/2018 Certified 09/28/2018 1
ICLR US Adoption of New Rule 303 to give NYCC authority to debit the proprietary margin accounts of its members 11/12/2003 Certified 11/13/2003 1
CME Adoption of New Rule 771 ("Alternative Delivery Process") 09/02/2014 Withdrawn 09/16/2014 2
CME Adoption of New Rules for Liquidity Risk Management 07/18/2014 Certified 12/23/2014 2
MGEX Adoption of Regulation 2105.05 to expressly allow MGEX to rely upon customer gross margin files in the event of a Clearing Member or customer default, insolvency, or other financial emergency to determine the amount of a customer's pledged margin. 01/09/2014 Certified 01/25/2014 1
CME Adoption of Rule 771 ("Alternative Notice of Intention to Deliver") 11/14/2014 Certified 12/01/2014 2
CME Adoption of Rule 980.F by CBOT, CME and NYMEX 12/19/2013 Certified 01/07/2014 1
ICECC Advance notice of proposed rule change: New provisions addressing ICC's recovery and resolution following the exhaustion of resources available to it after the default of a clearing participant or a series of clearing participant defaults. 03/06/2013 Withdrawn 10/07/2016 1
CME Advance notice of proposed rules relating to liquidity risk management. 12/18/2013 Withdrawn 03/28/2014 2
CME Advance notice of proposed rules relating to liquidity risk management. #13-565A, 13-565AR, 13-565ARR 03/31/2014 Certified 12/23/2014 3
OCC Allocation of Cleared Trades 12/13/2005 Certified 12/13/2005 1
LCHLTD Allocation of SwapClear contracts: changes to rules to allow an unallocated Futures Commission Merchant ("FCM") SwapClear Contract to be allocated from a suspension sub-account of an FCM to the Client account of another Clearing Member which is not an FCM 08/15/2016 Certified 08/29/2016 1
OCC Amend Bylaws to allow OCC to approve OCC's form of clearing member application and form of clearing agreement; SR-OCC-2012-12 07/10/2012 Withdrawn 07/16/2012 2
ICLR US Amend Default Management Procedures 01/06/2016 Certified 01/21/2016 2
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
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
CCORP Amend definition of Exchange Market to include CCFE's options on carbon financial instrument futures. 02/26/2008 Certified 02/29/2008 1