Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
NYMEX CME GLOBEX Prices Incorporated into settlement prices 09/01/2006 Certified 09/01/2006 1
LCHLTD Amended Default Rules September 2006 09/14/2006 Certified 09/14/2006 0
NYMEX Depository Banks 09/14/2006 Certified 09/14/2006 1
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
OCC Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 1
CBT Comprehensive Update of Chapter 2 Membership Requirements 09/28/2006 Certified 09/29/2006 1
CBT Restatement of clearing member membership and shareholding requirements 09/27/2006 Certified 09/30/2006 1
ICLR US Mutual Funds Guaranty Fund 10/03/2006 Certified 10/03/2006 0
ICLR US Reg. 1.25 Funds to fulfill obligations to the Guaranty Fund 10/03/2006 Certified 10/03/2006 1
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
LCHLTD Financial Resource Data 10/19/2006 Certified 10/20/2006 0
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Amends definition of "fund share" to include a publicly traded interest in a trust, investment company or similar entity principally engaged in holding or managing one or more currencies. 09/22/2006 Approved 11/06/2006 2
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
CBT Ethanol Swaps 11/09/2006 Certified 11/13/2006 1
NYMEX COMEX Settlement Rules and ByLaws 11/20/2006 Certified 11/20/2006 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
CME Chapter 9 Clearing 11/27/2006 Certified 12/04/2006 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
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 0
NYMEX COMEX/NYMEX Metals cleared GLOBEX 11/20/2006 Certified 12/18/2006 1
CCORP EUREX Currencies & OTC Treasuries 01/11/2006 Certified 12/25/2006 0
LCHLTD General Regulations 01/31/2006 Certified 12/31/2006 0
CME FXMarketSpace 12/15/2006 Certified 01/03/2007 1
OCC Futures Trade Matching 12/19/2006 Certified 01/08/2007 1
LCHLTD Semiannual rule filing 12/01/2006 Certified 01/11/2007 0
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
OCC Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
OCC OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options 03/07/2007 Certified 03/07/2007 1
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
CCORP CCX Options on Sulfur and Nitrogen Financial Instrument Futures 03/28/2007 Certified 03/28/2007 1
NYMEX NYMEX 07.45 Position Reporting Dubai Mercantile Exchange 04/03/2007 Certified 04/03/2007 1
CCORP Eurex Futures CME/CBOT and CME/ICE Merger Binary Event Futures 04/18/2007 Certified 04/18/2007 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
NADEX Change in Payout Criteria for several contracts 06/01/2007 Certified 06/01/2007 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