Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NADEX Market Makers Non Fully Paid Contracts 09/20/2004 Certified 09/20/2004 1
CCORP Eurex Phase I Memorandum and Order 10/21/2004 Certified 10/29/2004 1
OCC Price Adjustments Dividends Distributions 10/25/2004 Certified 10/25/2004 0
CCORP General Guaranty Fund ChemConnect CXX Participant Member Guaranty 11/01/2004 Certified 11/02/2004 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC Rule primarily applicable to securities 11/19/2004 Certified 11/19/2004 1
CCORP CCFE as Exchange Market 11/24/2004 Certified 11/24/2004 1
CCORP CCFE Product rules 11/24/2004 Certified 11/24/2004 1
NADEX Amended Order of Registration 12/01/2004 Certified 12/01/2004 1
CME Hedge Funds Member Fees 12/06/2004 Certified 12/06/2004 1
OCC Rule primarily applicable to securities 12/13/2004 Certified 12/13/2004 1
OCC Default: Liens on Clearing Member Accounts 12/16/2004 Certified 12/16/2005 0
OCC Rule primarily applicable to securities 12/17/2004 Certified 12/17/2004 1
NADEX Fully Paid Contracts 12/21/2004 Certified 12/21/2004 1
OCC Rule primarily applicable to securities 12/21/2004 Certified 12/21/2004 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 Rule primarily applicable to securities 01/18/2005 Certified 01/18/2005 1
CCORP New Eurex US Contracts 01/20/2005 Certified 01/20/2005 1
OCC XM Agreement: OCC-CORP 02/01/2005 Certified 02/01/2005 1
OCC Rule primarily applicable to securities 03/02/2005 Certified 03/02/2005 1
NYMEX Original Margin Depositories and Letters of Credit 03/03/2005 Certified 03/08/2005 0
ICLR US Futures Spreads Cotton Sugar 03/07/2005 Certified 03/07/2005 0
CCORP CCX Sulfur & Nitrogen Financial Futures 03/21/2005 Certified 03/21/2005 1
OCC Rule primarily applicable to securities 03/23/2005 Certified 03/23/2005 1
OCC Rule primarily applicable to securities 04/01/2005 Certified 04/01/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
NYMEX Remote Clearing Solution 06/03/2005 Certified 06/17/2005 1
ICLR US Margin Committee Members 06/16/2005 Certified 06/16/2005 1
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Rule primarily applicable to securities 06/24/2005 Certified 06/24/2005 1
OCC Rule primarily applicable to securities 07/13/2005 Certified 07/13/2005 1
OCC FCMs: 90 Days to File ARs 07/14/2005 Certified 07/14/2005 1
CME Delegates Authority from Board of Director for Rule and Clearing Member Approval Practices 08/01/2005 Certified 08/10/2005 1
NYMEX Unsecured Loans as Customer Margin 08/05/2005 Certified 08/10/2005 1
OCC Rule primarily applicable to securities 08/16/2005 Certified 08/16/2005 1
OCC Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 0
CCORP Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 1
ICLR US Margin Committee 09/23/2005 Certified 09/23/2005 1
OCC Rule primarily applicable to securities 09/29/2005 Certified 09/29/2005 1
OCC Rule primarily applicable to securities 10/13/2005 Certified 10/13/2005 1
OCC Gasoline Index Futures 10/26/2005 Certified 10/26/2005 0
OCC Netting of Member Accounts in Case of OCC Bankruptcy 10/26/2005 Certified 10/26/2005 0
OCC Correction of Post Submission Errors 10/26/2005 Certified 10/26/2005 0
NYMEX Consolidation of NYMEX/COMEX Membership Rules 10/31/2005 Certified 10/31/2005 1