Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLTD EnClear Natural Gas 09/12/2002 Certified 09/12/2002 0
NYMEX Trade submission deadlines 12/13/2002 Certified 12/13/2002 0
NYMEX Transco Basis SWAPs 11/05/2002 Certified 11/05/2002 0
NYMEX OTC Trade Submission 09/25/2002 Certified 09/25/2002 0
NYMEX Protection of Clearing House Cross Margining 08/08/2002 Certified 08/08/2002 0
NYMEX OTC Energy Options 07/26/2002 Certified 07/26/2002 0
NYMEX Guaranty Fund 07/26/2002 Certified 07/26/2002 0
NYMEX Default Rules 07/15/2002 Certified 07/15/2002 0
OCC Assignment Procedures, Exercise Notices 08/14/2002 Certified 08/14/2002 0
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
OCC Multiple Accounts of Clearing Members 11/19/2002 Certified 11/19/2002 0
OCC Market Makers as Segregated Customers 10/17/2002 Certified 10/17/2002 0
OCC FCM requirements 10/08/2002 Certified 10/08/2002 0
OCC Stocks Hedge Loan Program 10/02/2002 Certified 10/02/2002 0
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
OCC Limitation of liability to members 11/04/2003 Certified 11/04/2003 1
KCC Power of Board to suspend or revoke privileges of clearing members 08/21/2003 Certified 08/21/2003 1
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
CCORP Eurex Futures CME/CBOT and CME/ICE Merger Binary Event Futures 04/18/2007 Certified 04/18/2007 1
CCORP CCX Options on Sulfur and Nitrogen Financial Instrument Futures 03/28/2007 Certified 03/28/2007 1
OCC OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options 03/07/2007 Certified 03/07/2007 1
OCC Close out netting 05/15/2007 Certified 06/01/2007 1
NADEX New contracts based on M&As 05/17/2007 Certified 06/01/2007 0
OCC Yield based Treasury options 05/24/2007 Certified 06/01/2007 1
NYMEX Clearing contracts executed on DME 05/30/2007 Certified 06/01/2007 1
NADEX Discontinue Free Trade Promotion Program 05/31/2007 Certified 06/01/2007 1
NYMEX Deletion of Risk Filter Rule 9.04B 05/31/2007 Certified 06/01/2007 1
NADEX Change in Payout Criteria for several contracts 06/01/2007 Certified 06/01/2007 1
NADEX New contracts based on M&As 06/07/2007 Certified 06/22/2007 1
NADEX Amendments to Preliminary Storm Damage Estimate Binary Contracts and Suspension of Listing any Series of Hurrican Season Binary Hedgelet Contracts 06/08/2007 Certified 06/22/2007 1
OCC Amendments to rules for clearing credit default products 06/14/2007 Certified 06/19/2007 1
NYMEX Extension of Maximum Maturity Date for Letters of Credit 12/18/2006 Certified 06/22/2007 0
OCC Amendment to close out netting procedures with respect to FIN 39 06/22/2007 Certified 06/22/2007 1
CME Rule 730 is amended to lower the threshold from $50 million to $25 million for being required to use the Continuous Linked Settlement Bank System for deliveries on currency futures contracts. 07/10/2007 Certified 07/12/2007 1
NYMEX Rule 9.03, Guaranty Fund, is amended to raise the minimum contribution required of each clearing member from $2M to $2.5M and the Guaranty Fund is being increased from $200M to $250M based on annual analysis of appropriate size. 06/21/2007 Certified 07/17/2007 1
CBT Technical revisions to denatured fuel ethanol forward month swaps to reflect cleared only status after trading OTC 06/27/2007 Certified 06/29/2007 1
NYMEX GLOBEX Rules-Clearing 06/09/2006 Certified 06/09/2006 1
CCORP The definition of Exchange Market in Chapter 1 of The Clearing Corporations rules is amended to add the following product to be traded on Chicago Climate Futures Exchange, LLC: ECO-Clean Energy Index Futures. 07/12/2007 Certified 07/12/2007 1
OCC The proposed rule changes would amend OCC's by-laws and rules to permit OCC to clear and settle various types of binary options, including "fixed return options" proposed to be listed by the American Stock Exchange and binary options on broad-based securi 06/28/2007 Certified 06/28/2007 1
CCORP The definition of OTC Contract in Chapter 1 of the Clearing Corporations rules is amended to add the following OTC products to be listed for clearing:OTC SO2 Option contracts. Also adds Chapter 17 and Appendix 17A establishing the contract specification 05/01/2007 Certified 05/01/2007 1
OCC Proposed rule change would make permanent the current discount clearing fee schedule for specified contracts, further discount the newly adopted clearing fee schedule, and modify the new product clearing fee schedule, effective May 1, 2007. 04/11/2007 Certified 05/01/2007 1
OCC Various changes to clearing fee schedule 08/03/2007 Certified 08/03/2007 1