Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYMEX Changes to Incentive Program for OTC Energy Options Products; 12-089 03/19/2012 Certified 04/03/2012 2
NYMEX Renumbering of Rule 9.00B Close-Out Netting to Rule 8.18 12/30/2008 Certified 01/02/2009 1
NYMEX Change to NYMEX Brent Block Trade Broker Rebate Program 05/16/2012 Certified 06/01/2012 1
NYMEX Unsecured Loans as Customer Margin 08/05/2005 Certified 08/10/2005 1
NYMEX Eleven new option contracts on Natural Gas Basis locations which are EOOs will be submitted for clearing on CME ClearPort. 07/29/2009 Certified 08/11/2009 1
NYMEX Revision to submission for eleven new opitions on Natural Gas Basis locations so that first contract month for all will be September 2009 rather than August 2009. These EOOs are submitted to CME ClearPort for clearing. 07/30/2009 Certified 08/11/2009 1
NYMEX Amends the Trade Submission Deadlines for Off-Exchange Trades Submitted for Clearing 11/17/2005 Certified 11/18/2005 1
NYMEX NYMEX Energy Products Incentive Program for High Volume Hedging Contributors; 12-229 07/11/2012 Certified 07/26/2012 2
NYMEX Non-Member Core Energy Futures and Options Products and Overnight Trading Incentive Program; 12-236 07/16/2012 Withdrawn 07/27/2012 2
NYMEX NYMEX and COMEX Futures and Options Products Cross-Venue Incentive Program; 12-239 07/16/2012 Certified 07/31/2012 2
NYMEX Increases the Maximum Dollar Value of Letters of Credit to $500 Million, Retains the Percentage Basis at 10% and Increases the Collateralized Maximum to $600 Million 01/12/2006 Certified 01/17/2006 1
NYMEX OTC Broker Incentive Program, 12-018 01/13/2012 Certified 01/31/2012 1
NYMEX Changes to Non-Member Cross-Venue Incentive Program for NYMEX Energy Products, 12-019 01/13/2012 Certified 01/31/2012 2
NYMEX Extends Rule 6.21G through August 4, 2006, as CFTC Granted an Extension to its Order Allowing NYMEX Floor Members to Trade in OTC Markets under Specified Conditions 02/03/2006 Certified 02/10/2006 1
NYMEX NYMEX European and Asian Petroleum Products Incentive Program, 12-014 01/13/2012 Certified 01/31/2012 2
NYMEX International Crude and Refined Products Incentive Program; 12-243 07/20/2012 Certified 08/04/2012 2
NYMEX Incentive Program for Natural Gas Products, 12-016 01/13/2012 Certified 01/31/2012 1
NYMEX Coal Incentive Program, 12-020 01/13/2012 Certified 01/31/2012 1
NYMEX Energy Products Cross-Venue Incentive Program, 12-015 01/13/2012 Certified 01/31/2012 2
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
NYMEX Raises Clearing Member Fund Balance Min; Uses Hybrid Formula to Calculate Contributions; Adds Surcharge for Position Limit Exemptions; and Adds MM Mutual Funds to Acceptable Deposits 03/10/2006 Certified 03/10/2006 1
NYMEX Requires Exchange Clearing Members to Own Two Exchange Memberships and 180K Shares of NYMEX Holdings Common Stock 03/13/2006 Certified 03/13/2006 1
NYMEX Changes to NYMEX Rule 984 governing Give Up Trades (now entitled Clearing Member Acceptance of Executed Customer Trades) 11-443 11/28/2011 Certified 12/13/2011 1
NYMEX Amendment to eliminate CME Group share assignment requirement for clearing purposes. 05/11/2011 Certified 05/11/2011 1
NYMEX Amendment to allow clearing members to accept physical gold as performance bond. 06/24/2009 Certified 06/30/2009 1
NYMEX Amendments to clearing membership assignment requirements to harmonize CME/CBT/NYMEX rulebooks. 06/24/2009 Certified 06/30/2009 1
NYMEX Investment of Customer Segregated Funds in Money Market Mutual Funds 02/20/2001 Certified 02/20/2001 0
NYMEX Expansion of anti-money laundering rule to include economic sanctions compliance; 12-094 03/26/2012 Certified 04/10/2012 1
NYMEX New rules for Chapter 7b regarding delivery. 06/24/2009 Certified 06/30/2009 1
NYMEX Amendments to capital requirements and reporting requirements applicable to bank clearing members. 04/18/2011 Certified 04/18/2011 1
NYMEX Listing of a Cleared OTC London Gold Forwards (cash margin) contract; 12-092 03/29/2012 Certified 03/29/2012 1
NYMEX Clearing members prohibited from making cash disbursements to customers; additional ATM machines installed for cash access for customers 07/25/2007 Certified 08/03/2007 1
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Haircut reduction on MM mutual funds as margin from 5 to 2 percent 07/13/2007 Certified 08/03/2007 1
NYMEX NYMEX Brent 25-Day Futures Incentive Program; 11-459 11/29/2011 Certified 12/14/2011 1
NYMEX Floor-traded electricity options cleared on ClearPort 12/05/2006 Certified 12/05/2006 0
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
NYMEX Forms of Margin 05/23/2001 Certified 05/23/2001 0
NYMEX Clearing contracts executed on DME 05/30/2007 Certified 06/01/2007 1
NYMEX Deletion of Risk Filter Rule 9.04B 05/31/2007 Certified 06/01/2007 1
NYMEX Modifications to NYMEX Brent 25 day Futures Incentive Program; 12-107 04/10/2012 Certified 04/25/2012 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
NYPC Amendments to LLC Agreement re fiduciary duties of directors. 10/05/2011 Certified 10/21/2011 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
NYPC Amendments to the NYPC Amended LLC Agreement to reduce the number of directors on the NYPC Board of Directors from nine to seven directors and to eliminate all Board Committees. 12/04/2013 Certified 12/19/2013 1
NYPC Rule amendments to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/20/2012 Certified 05/05/2012 1
NYPC Amendment to LLC Agreement (i) to require the contribution of additional capital to meet estimate of twelve months of operating cash (ii) to amend Board rights and obligations 02/17/2011 Certified 02/17/2011 1
NYPC Amendments re: Transfers of Contracts 08/16/2011 Certified 08/31/2011 1
NYPC Amendment to Disciplinary Proceedings 08/16/2011 Certified 08/31/2011 1
NYPC Amendment re: Waiver of Rules 08/16/2011 Certified 08/31/2011 1