Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NADEX Further amendments to rules to permit the intermediation of trading and clearing 10/21/2009 Certified 11/02/2009 1
ICE NGX Amendments to Article 3, Schedules A, C, E and H of NGX's Contracting Party's Agreement 10/21/2009 Certified 11/02/2009 1
ICE NGX Amendment to fee schedule of Contracting Party's Agreement to amend fees with respect to cleared & bilateral transactions in oil, clearing fees for physical oil at US delivery points and transaction fees for gas option transactions. 10/21/2009 Certified 11/02/2009 1
ICE NGX Amendment of the CPA to lengthen the time period in which a participant may notifty NGX of early termination in the event of an Exchange Bankruptcy Event of Default (a defined term) and to update the definition of Crude Month Accounts Net Payable. 11/06/2009 Certified 11/09/2009 1
CME New Chapter 29A for for the clearing of CBOT Dow-Jones-UBS Commodity Index Swaps 11/12/2009 Certified 11/30/2009 1
ICLR US New rules provide for the clearing of Iron Ore Swaps 11/20/2009 Certified 11/30/2009 1
ICLR US Rule 502 amended to delete unneeded paragraph and to authorize staff to determine original margin requirements 11/13/2009 Certified 11/30/2009 1
CCORP Amendment to the definition of Exchange Market to add Carbon Financial Instrument U.S. Offset and Carbon Financial Instrument EA Futures traded on CCFE 11/18/2009 Certified 11/30/2009 1
OCC Amendments to rules to accommodate an alternate settlement procedure for physically-settled treasury futures traded on ELX 11/20/2009 Certified 11/30/2009 1
LCHLTD Amendments to Rules and Agreements and Procedures governing defaults of SwapClear Clearing Members and new Deed of Assignment to grant security interest to clients of such clearing members to allow LCH to return margin directly to the clients. 12/02/2009 Certified 12/03/2009 1
ICLR US New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin 12/15/2009 Certified 12/24/2009 1
LCHLLC Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts 12/16/2009 Certified 12/24/2009 1
CME Revisions to Chapters 800-805 regarding OTC credit default swap contracts and contract specifications 12/11/2009 Certified 12/24/2009 1
CME Rule changes to CME/CBOT/NYMEX Rules 802, 813, 816, 817, 818, 827, 913, and 930 and to CME Rule 8B04 and to various provisions in Rules 8F01 - 8F25 related to the clearing of OTC credit default swaps and to make various conforming rule changes 12/11/2009 Certified 12/24/2009 1
ICE NGX Amendments to the Product Schedule of the NGX rulebook which is the Contracting Party's Agreement 01/13/2010 Certified 01/20/2010 1
ICE NGX Amendment to fee schedule of the Contracting Party's Agreement to remove fees for one-leg location and calendar spreads in natural gas swap products. 01/12/2010 Certified 01/20/2010 1
OCC Change to By-Laws and Rules to accomodate options for which the premium and exercise price are expressed on other than a per unit basis. 01/14/2010 Certified 01/20/2010 1
LCHLLC Amendments to Rule 101 - definition of "Clearing Hours" and addition of new Rules 901and 902 to incporporate existing interest rate swap and new forward start interest rate swap futures specs, respectively. 11/09/2009 Certified 02/26/2010 1
OCC Amendment to definition of term Adjustment Increment with respect to stock futures. 02/26/2010 Certified 03/01/2010 1
KCC New Rules 2100.01 and 2100.02 regarding FCM and customer requirements to particpate in clearing OTC ag swaps under Section 4(c) exemption. 03/01/2010 Certified 03/08/2010 1
CME New Chapter 415E for the clearing of S&P GSCI Excess Return Index 2 Month Forward Swap Contracts (Cleared OTC) 03/09/2010 Certified 03/12/2010 1
CME New Chapter 415F for the clearing of S&P GSCI Excess Return Index 3 Month Forward Swap Contracts (Cleared OTC) 03/09/2010 Certified 03/12/2010 1
OCC Technical amendments to the Stock Loan Hedge and Market Loan Program rules. 03/25/2010 Certified 03/31/2010 1
ICLR US Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. 03/26/2010 Certified 03/31/2010 1
ICE NGX Amendments to the Contracting Parties Agreement related to Credit Support Defaults and product specifications. 04/13/2010 Certified 04/15/2010 1
KCC Amendment to Rule 2100.02 regarding ESP participation requirements and submission of FCM Participation Agreement. 04/19/2010 Certified 04/20/2010 1
LCHLLC Amendments to Rules 901 and 902 to rename existing contracts and addition of new Rules 903 to 907 to add five new contracts to be cleared. 04/15/2010 Certified 04/20/2010 1
LCHLLC Amendment to Risk Management Procedures Manual to modify the method for calculating original performance bond requirements 04/22/2010 Certified 05/03/2010 1
CME Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 3 Month Forward for clearing 04/23/2010 Certified 05/03/2010 1
CME Acceptance of certain swap contracts based on the DJ-UBS Commodity Index 2 Month Forward for clearing 04/23/2010 Certified 05/03/2010 1
CME New Rule 949 regarding credit control policies 04/28/2010 Certified 05/03/2010 1
LCHLLC Amendments to ticker symbol formats 05/03/2010 Certified 05/17/2010 1
LCHLLC Rule amendment to reflect changes to the Risk Committee charter, the creation of a Nominating committee, and to make other conforming changes. 05/28/2010 Certified 06/04/2010 1
CME Contract specifications and market information relating to the listing of ten new wet tanker freight forward contracts on CME ClearPort for clearing only. 06/01/2010 Certified 06/10/2010 1
OCC Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. 03/22/2010 Non-Approval 06/14/2010 2
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares 12/14/2009 Approved 06/14/2010 2
OCC Change to clearing agreement schedule with ELX to add the clearing of 3 month, $1,000,000 Eurodollar Time Deposit futures contracts. 06/16/2010 Certified 06/18/2010 1
KCC New rule providing for the close-out of member positions and netting of member obligations in event of DCO insolvency. 06/17/2010 Certified 06/28/2010 1
LCHLLC Amendment to Rule 405 providing for the offset of certain contracts with same settlement date, fixed rate payment, and account . 06/23/2010 Certified 06/28/2010 1
OCC Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. 07/01/2010 Certified 07/07/2010 1
LCHLLC Amendment to Rule 415 to expand circumstances in which clearing member may transfer contract from one account to another, and to Rule 514 to modify form of acceptable performance bond deposit clearing member may accept from customers 07/20/2010 Certified 07/20/2010 1
CME CME Rulebook Chapter 8F amended in part to accomodate clearing services for Eris Exchange, LLC (exempt board of trade) 07/22/2010 Certified 07/22/2010 1
OCC Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. 07/29/2010 Certified 07/29/2010 1
OCC Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." 07/29/2010 Certified 07/29/2010 1
LCHLLC Rules 908 and 909 incorporate the contract specifications of two new futures contracts to be cleared by IDCH - the IDEX USD Defined Roll Interest Rate Swap Futures Contract and the IDEX USD Forward Start Defined Roll Interest Rate Swap Futures Contract. 08/05/2010 Certified 08/05/2010 1
OCC Revision to Article XII, Section 3, of OCC's by-laws to allow OCC to make adjustments to the settlement price of exchange-designated security futures for all cash dividends or distributions. 08/19/2010 Certified 08/19/2010 1
OCC Proposed technical change to Interpretation and Policy .06 under Rule 601 in connection with the expansion of forms of collateral incorporated into STANS 08/25/2010 Certified 08/25/2010 1
KCC Amendment to Rule 8.03 pertaining to default procedures 08/25/2010 Certified 08/25/2010 1
OCC Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security 08/25/2010 Certified 08/25/2010 1
LCHLLC Changes to membership classifications; creation of OTC Customer Segregated Account; procedures for clearing of new OTC contracts; amending settlement, performance bond, and default procedures 08/30/2010 Certified 08/30/2010 1