Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
LCHLTD Acceptance for clearing of FRAs with upfront fees by the LCH.Clearnet Ltd SwapClear service. 02/04/2014 Certified 02/20/2014 1
LCHLLC Acceptance for clearing of FRAs with upfront fees by LCH.Clearnet LLC's SwapClear service. 02/04/2014 Certified 02/20/2014 1
CME Acceptable Performance Bond Deposits 11/30/2001 Certified 11/30/2001 0
NYMEX Acceptable Original Margin 12/07/2001 Certified 12/07/2001 0
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
NYMEX Acceptable Forms of Margin 05/04/2001 Certified 05/04/2001 0
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
LCHLTD A submission for self certification changes to LCH rules which codify the process for SwapClear Clearing Members and Futures Commission Merchant Clearing Members to elect eligible SwapClear Contracts. 05/24/2016 Certified 06/07/2016 1
LCHLTD A new set of rules relating to the clearing of OTC interest rate swaps ("FCM SwapClear Contracts) through LCH by registered FCMs that are clearing members of LCH. 02/15/2011 Certified 02/15/2011 1
OCC A Link Framework Agreeement and an Associate Clearinghouse Agreement between OCC and Eurex Clearing AG to implement a clearing link arrangement to facilitate trading in options listed on the International Securities Exchange by Eurex Deutschland members 10/23/2009 Certified 11/02/2009 1
LX 40.6(d) non-substantive amendments to DCO Rulebook, DCM Rulebook, SEF Rulebook, Participant Agreement, Privacy Policy, and User Agreement. 11/16/2022 Notified 11/16/2022 1
ICLREU2 40.6(a) Rule Certification in respect of amendments to delivery procedures 04/30/2018 Certified 05/14/2018 3
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
CME 11-518; New fee schedule applicable to OTC CDS clearing fees 12/15/2011 Certified 12/31/2011 1
NYMEX 11-508; Temporary Waiver of Power Futures Clearing Fees based on Power Options Fee levels 12/15/2011 Certified 12/31/2011 1
CME 11-491; changes to comply with final CFTC Part 39 regulations 12/14/2011 Certified 12/30/2011 1
CMECE 11-394 Waiver of Sovereign Immunity 10/27/2011 Certified 11/11/2011 1
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
CME Weekly Notification of Rule Amendments - Week of June 24, 2019 07/02/2019 Notified 07/02/2019 1
OCC This proposed rule change by The Options Clearing Corporation ("OCC") would adopt a Third-Party Risk Management Framework ("TPRMF") and retire the Counterparty Credit Risk Management Policy ("CCRMP"). 12/11/2020 Certified 12/28/2020 3
NYMEX Raises Working Capital "Ceiling"; Combines Margin Risk for NYMEX/COMEX Positions; Raises Max Risk % of a Firm's Capital; and Adds a Guaranty Fund Surcharge for Position Limit Exemptions 03/10/2006 Certified 03/24/2006 1
ICECC Advance notice of proposed rule changes to update ICC's Euro Eligible Collateral Requirements. 03/12/2014 Certified 05/06/2014 1