Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
EUREX Proposed amendments in Eurex Clearing Circular 034-22 relating to the introduction of the ISA Direct Indemnified Model, which expands the current ISA Direct Model to an additional client scope 05/12/2022 Certified 05/26/2022 20
EUREX Proposed amendments in Eurex Clearing Circular 053-22 to the Clearing Conditions, Pledge Agreement relating to pledges by an ISA Direct Light License Holder and Price List in relation to C7 SCS; Xemac Decommissioning Project and further measures. 08/04/2022 Certified 08/18/2022 19
OCC Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index 09/27/2011 Approved 06/13/2013 12
EUREX Proposed amendments in Eurex Clearing Circular 081/21 relating to the transition of cleared OTC transactions referencing EONIA or LIBOR and the support of OTC transactions concluded under the 2021 ISDA Definitions. 09/16/2021 Certified 09/29/2021 12
EUREX Proposed rule amendments in Eurex Clearing Circular 032-18 related to extending the Individual Clearing Model to Specified Clients of Clearing Members and providing clarification in the event of a new execution of the Pledge Agreement by a Clearing Member 03/23/2018 Certified 04/06/2018 11
CME Addition of Portfolio Gains Haircuts,Tear-Ups, and Limited Recourse to the Financial Safeguards Package for Base 08/31/2016 Certified 12/20/2016 10
CME Implementation of New CME, CBOT, NYMEX, and COMEX Rules 830.C., 900.C., 902.B., 912.A., and 912.B.; Amendments to CME Rule 8G831; and Implementation of New CME Rule 8G912 to Create Direct Funding Participant Clearing Membership. 07/22/2016 Withdrawn 09/19/2018 10
ICECC ICC proposes amendments to its Clearing Rules (and the adoption of related procedures) involving clearing house default management, recovery and wind-down. 10/06/2016 Certified 12/23/2016 9
EUREX Proposed rule amendments in Eurex Clearing Circular 020-19 related to extending the product range offered on its electronic request-for-quote service, Eurex EnLight. (At this time, Eurex EnLight is currently only available to non-U.S. participants.) 03/05/2019 Certified 03/19/2019 9
LCHSA LCH SA is proposing to amend its CDS Clearing Rules and Liquidity Risk Modelling Framework. 08/29/2023 Certified 09/13/2023 9
ICLREU2 ICE Clear Europe proposes to make amendments to its F&O Guaranty Fund Policy to, among other things,make changes to its calculation methodology and make drafting clarifications and improvements. 10/30/2018 Certified 11/13/2018 8
LCHSA LCH SA is proposing to amend its CDS Clearing Rule Book in order to offer client clearing services in respect of single name CDS to US customers of its clearing members. 04/09/2021 Certified 04/23/2021 8
LCHLTD LCH is submitting for self-certification revisions to its rules related to the rates conversion for benchmark reform. 09/17/2021 Certified 10/01/2021 8
LCHLTD LCH is submitting for self-certification revisions to its rules to expand its eligible SwapClear transactions as well as make an operational enhancement related to basis swap splitting. 11/25/2022 Certified 12/09/2022 7
LCHSA SA ISDA New CDS Definitions 09/04/2014 Certified 09/18/2014 7
LCHLTD LCH is submitting for self-certification revisions to its rules related to extension of the opening hours for the SwapClear Service and the introduction of a new overnight funding account. 04/01/2022 Certified 04/15/2022 7
EUREX Proposed rule amendments in Eurex Clearing Circular 072-18 related to introduction of renewed, stand-alone FCM Regulations, FCM Default Rules, and other amendments in order to implement Eurex Clearing's LSOC compliant offering for client clearing of swaps 08/29/2018 Certified 09/13/2018 7
CME Self-certification of CME Clearing Advisory Notice Expanding Performance Bond Collateral Program to Include Singapore Government Debt 06/08/2015 Certified 06/22/2015 6
LCHLTD LCH is submitting for self-certification amendments to its Rules. 01/13/2022 Certified 01/28/2022 6
EUREX Propose amendments to the Clearing Conditions, FCM Regulations, EMIR Risk Committee Statutes, and other documents of the legal framework in Eurex Clearing Circular 065-21 07/21/2021 Certified 08/03/2021 6
EUREX Proposed rule amendments in Eurex Clearing Circular 111-17 related to introduction of Gross Omnibus Segregated Accounts, introduction of an appropriation right for pledged margin securities, and related amendments to the Pledge Agreement 11/08/2017 Certified 11/24/2017 6
CCH Rule changes with respect to Petition to Modify DCO Order issued April 20, 2010 to remove conditions limiting the DCO to clearing only media-related contracts. 10/06/2010 Approved 02/11/2013 6
ICECC ICC proposes amendments to the ICC Clearing Rules, the ICC Treasury Operations Policies and Procedures, and the ICC Liquidity Risk Management Framework to update ICC's liquidity thresholds for Euro denominated products. 01/17/2017 Certified 01/31/2017 6
OCC Rule Certification Concerning OCC's Risk Management Framework and Corporate Risk Management Policy 10/25/2022 Certified 11/08/2022 6
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
EUREX Proposed rule amendments in Eurex Clearing Circular 025-19 related to clarifying that Difference Claims are subject to taxes or other charges, holiday calendars, Settlement Compensation Margin, and allowing the use of a third-party account holder at CBF 03/11/2019 Certified 03/25/2019 6
ICECC The purpose of the proposed rule change is to amend ICC rules to modify the terms and conditions for physical settlement of cleared CDS contracts, and to adopt certain new delivery procedures relating to physical settlement. 04/28/2015 Certified 06/29/2015 5
OCC Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
LX LedgerX Revised Operations Manual 06/15/2021 Certified 06/29/2021 5
LCHLTD LCH will change the address of its registered office to 10 Paternoster Square, London EC4M 7LS and will reflect this change in certain parts of the Rulebook. 01/21/2022 Certified 02/04/2022 5
LCHSA LCH SA is proposing to expand the eligible non-cash collateral by amending its CDSClear Clearing Rulebook and publishing a new Clearing Notice. LCH SA is also amending its Liquidity Risk Modelling Framework. 10/08/2021 Certified 10/25/2021 5
ICLREU2 ICEU proposes to formalize its F&O Stress Testing Policy. 11/28/2018 Certified 12/12/2018 5
ICECC The purpose of the proposed rule change is to amend ICC rules to modify the terms and conditions for physicalsettlement of cleared CDS contracts, and to adopt certain new delivery procedures relating to physical settlement. 03/25/2015 Withdrawn 04/07/2015 5
EUREX Proposed rule amendments in Eurex Clearing Circular 102-18 related to new categorization of Direct Clients, classification as Indirect Client Market Participant, Individual Segregation Model, tri-partite agreements no longer required for ECM, and other 12/03/2018 Certified 12/17/2018 5
LX Amendments to Operations Manual. 01/29/2018 Withdrawn 02/09/2018 5
LCHLTD LCH is submitting for self-certification revisions to its rules to move definitions currently located in multiple procedures to be represented consistently in its Default Rules. 09/01/2022 Certified 09/16/2022 5
CME Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii) 05/03/2012 Certified 05/03/2012 5
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
ICLR US Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
ICLREU2 Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
KCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
MGEX Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
NYPC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
OCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
ICLREU2 ICE Clear Europe is amending its Rules relating to Clearing House default management, recovery and wind-down to address the risk of uncovered losses from a Clearing Member default or series of defaults, among other risks. 05/29/2019 Certified 06/11/2019 5
LCHLTD LCH is submitting changes to its rulebook related to rate changes for the ForexClear service. 07/09/2021 Certified 07/23/2021 5
LCHLTD LCH is submitting for self-certification revisions to the LCH rules to accommodate the 2021 International Swaps and Derivatives Association, Inc. ("ISDA") Interest Rate Derivatives Definitions. 09/17/2021 Certified 10/01/2021 5
OCC Rule Certification by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards 04/27/2023 Certified 05/11/2023 5