Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
OCC OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options 03/07/2007 Certified 03/07/2007 1
OCC Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
NYMEX 10 Diesel Fuel Futures Contracts to be traded and cleared on NYMEX Clearport 02/22/2007 Certified 03/12/2007 1
OCC 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 By-Law 5.5 Deficiency in Guaranty Fund 02/13/2007 Certified 02/26/2007 1
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
OCC Futures Trade Matching 12/19/2006 Certified 01/08/2007 1
NYMEX Extension of Maximum Maturity Date for Letters of Credit 12/18/2006 Certified 06/22/2007 0
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 0
CME FXMarketSpace 12/15/2006 Certified 01/03/2007 1
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
NYMEX Floor-traded electricity options cleared on ClearPort 12/05/2006 Certified 12/05/2006 0
LCHLTD Semiannual rule filing 12/01/2006 Certified 01/11/2007 0
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 COMEX Settlement Rules and ByLaws 11/20/2006 Certified 11/20/2006 1
NYMEX COMEX/NYMEX Metals cleared GLOBEX 11/20/2006 Certified 12/18/2006 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
CME Clearing House Manual 11/14/2006 Certified 12/11/2006 1
CBT Ethanol Swaps 11/09/2006 Certified 11/13/2006 1
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
LCHLTD Financial Resource Data 10/19/2006 Certified 10/20/2006 0
OCC OCC-2006-19 OCC Bankruptcy Procedures 10/12/2006 Certified 10/12/2006 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 PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
CCORP OTC Benchmark Treasury Futures Contracts 10/03/2006 Certified 10/16/2006 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
OCC Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 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 OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 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
NYMEX CME GLOBEX Prices Incorporated into settlement prices 09/01/2006 Certified 09/01/2006 1
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
CCORP ChemConnect Ethane and Propane Forwards 08/28/2006 Certified 08/29/2006 1
CCORP Seaboard Securities 08/17/2006 Certified 08/17/2006 0
OCC August 14, 2006, OCC-2006-14, Discounted Clearing Fees 08/14/2006 Certified 08/14/2006 1
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC Rule primarily applicable to securities 07/24/2006 Certified 07/24/2006 1
OCC ByLaw V, VIII, Margin Committee to Risk Committee 07/19/2006 Certified 07/19/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
ICLR US Settlement Premiums 07/13/2006 Certified 07/13/2006 1
ICLR US NYBOT Pass Through Letters of Credit 07/13/2006 Certified 07/13/2006 1
ICLR US CLS System 07/13/2006 Certified 07/13/2006 0