Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICLREU2 Amendments to add DCM Customer Account structure 05/27/2011 Certified 05/27/2011 1
CME Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
CBT Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
NYMEX Amendment to prohibit clearing members from asserting sovereign immunity. 06/01/2011 Certified 06/01/2011 1
OCC Rule change allowing clearing members to use OCC systems to update certain non-critical trade data in respect of exchange transactions involving securities and other options, provided that such update does not contravene any exchange rules 06/07/2011 Certified 06/07/2011 1
LCHLLC Rule amendments to Risk Procedures, OTC terms and conditions and other definitions 06/08/2011 Certified 06/08/2011 1
LCHLLC Amendment to Rule 1101 to correct typographical error re: minimum notional principal for US interest rate swap 06/14/2011 Certified 06/14/2011 1
ICLR US Amendments eliminate the use of Letters of Credit as Clearing Member Original Margin at ICE Clear US. 06/24/2011 Certified 06/24/2011 1
ICLR US Amendments to modify clearing member eligibility requirements to no longer reference ICE Futures US exchange rules. 06/24/2011 Certified 06/24/2011 1
OCC Changes to accomodate introduction by ELX Futures of a transaction type called Price Differential Spread 06/24/2011 Certified 06/24/2011 1
OCC Rule change to specify auction process as one possible way to liquidate a defaulting clearing member 06/30/2011 Certified 06/30/2011 2
CME Changes to Rule 957 to specify types of information to be included on customer confirmations for both futures and swaps 07/06/2011 Certified 07/06/2011 1
LCHLLC Amend risk management procedures to modify stress test parameters, quarterly risk monitoring, and clarify construction of revaluation curves. 07/13/2011 Certified 07/13/2011 1
ICLREU2 Amendments to Rules to comply with Dodd-Frank Act including the accomodation of clearing members that are registered futures commission merchants. 07/13/2011 Certified 07/13/2011 1
CME Changes to Interest Rate Swap rule relating to calculation of assessment authority and changes to operational procedures and margin methodology 07/13/2011 Certified 07/13/2011 1
CME Amendments re: separate financial safeguards for CDS, certainty of assessment liability; liquidity facility, and close-out netting 07/13/2011 Certified 07/13/2011 1
ICLREU2 Replacement of IntercontinentalExchange Inc. as the operator of its OTC market by ICE Commodity Markets, LLC 07/14/2011 Certified 07/14/2011 1
ICLREU2 Amendments to facilitate the clearing of foreign exchange products 07/14/2011 Certified 07/14/2011 1
ICLREU2 Amendments to procedures and contract terms in order to comply with Dodd-Frank Act 07/14/2011 Certified 07/14/2011 1
CME CME Cleared Credit Default Swaps; establish separate guaranty fund, limited-recourse structure 07/15/2011 Certified 07/15/2011 1
OCC Clearing of Real Estate Index Futures listed on CBOE Futures Exchange 07/19/2011 Certified 08/03/2011 1
ICE NGX Addition of 23 US Crude Oil products 08/04/2011 Certified 08/05/2011 1
CME New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 1
CBT New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
NYMEX New Rule 819 grants first priority unencumbered lien on clearing member collateral to the clearing house 07/26/2011 Certified 08/10/2011 0
CME Amendments to reflect differences in proprietary trading Exchange fees based on ownership of CME Group shares 07/28/2011 Certified 08/12/2011 1
ICLREU2 Addition of new cleared climate products 08/15/2011 Certified 08/16/2011 1
OCC Change to method by which clearing fund size is determined 08/03/2011 Certified 08/18/2011 1
ICE NGX Decrease in clearing transaction fee per barrel for crude oil at Canadian delivery points 08/04/2011 Certified 08/19/2011 1
CME Additions to USD Interest Rate Swap offering 08/19/2011 Certified 08/20/2011 1
CME Addition of new CDX products 08/19/2011 Certified 08/20/2011 1
ICLREU2 Amendments to Delivery Procedures 08/15/2011 Certified 08/30/2011 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
CME Addition of CDX North American Investment Grade and High Yield Index Series 17 products 09/06/2011 Certified 09/07/2011 1
ICE NGX Addition of US natural gas products for clearing 09/07/2011 Certified 09/08/2011 1
ICLREU2 Addition of new cleared energy products 09/09/2011 Certified 09/10/2011 1
OCC Adoption of Governance Fitness Standards to comply with DCO Core Principle O 08/31/2011 Certified 09/16/2011 1
ICE NGX Increase in clearing fees for crude oil at US delivery points 09/07/2011 Certified 09/22/2011 1
CME Addition of CDX North American Investment Grade Index Series 9 09/23/2011 Certified 09/24/2011 1
CME Amendments to reflect Eris Exchange change from EBOT to a DCM and related change in status of contracts from OTC to futures 09/12/2011 Certified 09/27/2011 1
ICLREU2 Amendments to contract terms for Brent 1st Line Swap 09/22/2011 Certified 10/07/2011 1
CME Introduction of FX spot, forward and swap transactions 09/23/2011 Certified 10/08/2011 2
CME Addition of Interest Rate Swaps in EUR, GBP, JPY, CAD and CHF 09/23/2011 Certified 10/08/2011 1
ICECC Addition of standard emerging sovereign single name (security based swaps) for clearing 10/03/2011 Certified 10/19/2011 1
NYPC Amendments to LLC Agreement re fiduciary duties of directors. 10/05/2011 Certified 10/21/2011 1
ICLREU2 Rule amendments re conversion of the MISO Cinergy Hub to the MISO Indiana Hub 10/06/2011 Certified 10/22/2011 1
ICLR US Delisting cleared only coffee, sugar and cocoa swaps as and when there is no open interest 10/24/2011 Certified 10/25/2011 1
OCC Amendment to clarify use of suspended clearing member's margin deposits in order to meet liquidity needs. 10/12/2011 Certified 10/27/2011 1