Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC OCC-2006-19 OCC Bankruptcy Procedures 10/12/2006 Certified 10/12/2006 1
CCORP OTC Benchmark Treasury Futures Contracts 10/03/2006 Certified 10/16/2006 1
CBT Comprehensive Update of Chapter 2 Membership Requirements 09/28/2006 Certified 09/29/2006 1
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service 05/15/2006 Certified 05/15/2006 1
OCC OCC-2006-04, 4.26.06, Policy Statement on Internet Access 04/26/2006 Certified 04/26/2006 1
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
CCORP CCFE as Exchange Market 11/24/2004 Certified 11/24/2004 1
CCORP CCORP Replaces GCC as DCO 10/01/2003 Certified 10/01/2003 0
CCORP OTC Treasury Futures 05/08/2006 Certified 05/08/2006 1
CCORP EUREX Currencies & OTC Treasuries 01/11/2006 Certified 12/25/2006 0
CCORP Seaboard Securities 08/17/2006 Certified 08/17/2006 0
CCORP ChemConnect Ethane and Propane Forwards 08/28/2006 Certified 08/29/2006 1
LCHLTD Financial Resource Data 10/19/2006 Certified 10/20/2006 0
CBT Ethanol Swaps 11/09/2006 Certified 11/13/2006 1
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
CME CME 06-103 Clearing CBOT Ethanol Fowards and Swaps 11/27/2006 Certified 12/04/2006 1
NYMEX Floor-traded electricity options cleared on ClearPort 12/05/2006 Certified 12/05/2006 0
CME Clearing House Manual 11/14/2006 Certified 12/11/2006 1
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 0
OCC Futures Trade Matching 12/19/2006 Certified 01/08/2007 1
LCHLTD Semiannual rule filing 12/01/2006 Certified 01/11/2007 0
CME Chapter 9 Clearing 11/27/2006 Certified 12/04/2006 1
CME FXMarketSpace 12/15/2006 Certified 01/03/2007 1
NYMEX COMEX/NYMEX Metals cleared GLOBEX 11/20/2006 Certified 12/18/2006 1
NADEX Real-Time Account Funding Program 02/01/2007 Certified 02/01/2007 1
ICLR US NYBOT NYCC Clearing members 01/11/2007 Certified 02/05/2007 1
ICLR US By-Law 5.5 Deficiency in Guaranty Fund 02/13/2007 Certified 02/26/2007 1
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
CME Chapters 7 and 8 Clearing et al. 03/22/2006 Certified 03/22/2006 1
NADEX Trading Members on the Intermediated Market 07/07/2006 Certified 07/07/2006 0
NADEX Composition of Board 03/13/2006 Certified 03/22/2006 1
NADEX Market Makers 01/05/2006 Certified 01/05/2006 1
NADEX CBOE Merger 02/21/2006 Certified 02/21/2006 0
LCHLTD General Regulations 01/31/2006 Certified 12/31/2006 0
ICLR US Mutual Funds Guaranty Fund 10/03/2006 Certified 10/03/2006 0
ICLR US Settlement Premiums 07/13/2006 Certified 07/13/2006 1
ICLR US NYBOT Pass Through Letters of Credit 07/13/2006 Certified 07/13/2006 1
ICLR US Liability, Options premiums, Default 07/12/2006 Certified 07/12/2006 1
ICLR US Clearing Member Loans 04/06/2006 Certified 04/06/2006 1
ICLR US Clearing Guarantee 03/27/2006 Certified 03/27/2006 1
ICLR US CLS System 07/13/2006 Certified 07/13/2006 0
NYMEX COMEX Settlement Rules and ByLaws 11/20/2006 Certified 11/20/2006 1
NYMEX Depository Banks 09/14/2006 Certified 09/14/2006 1
NYMEX OTC Floor Member Guarantee 02/03/2006 Certified 02/03/2006 0