| CME |
New Rule 949 regarding credit control policies |
04/28/2010 |
Certified |
05/03/2010 |
|
1 |
| KCC |
Amendment to Rule 2100.02 regarding ESP participation requirements and submission of FCM Participation Agreement. |
04/19/2010 |
Certified |
04/20/2010 |
|
1 |
| LCHLLC |
Amendments to Rules 901 and 902 to rename existing contracts and addition of new Rules 903 to 907 to add five new contracts to be cleared. |
04/15/2010 |
Certified |
04/20/2010 |
|
1 |
| ICE NGX |
Amendments to the Contracting Parties Agreement related to Credit Support Defaults and product specifications. |
04/13/2010 |
Certified |
04/15/2010 |
|
1 |
| OCC |
Technical amendments to the Stock Loan Hedge and Market Loan Program rules. |
03/25/2010 |
Certified |
03/31/2010 |
|
1 |
| ICLR US |
Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. |
03/26/2010 |
Certified |
03/31/2010 |
|
1 |
| CME |
New Chapter 415E for the clearing of S&P GSCI Excess Return Index 2 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
| CME |
New Chapter 415F for the clearing of S&P GSCI Excess Return Index 3 Month Forward Swap Contracts (Cleared OTC) |
03/09/2010 |
Certified |
03/12/2010 |
|
1 |
| KCC |
New Rules 2100.01 and 2100.02 regarding FCM and customer requirements to particpate in clearing OTC ag swaps under Section 4(c) exemption. |
03/01/2010 |
Certified |
03/08/2010 |
|
1 |
| OCC |
Amendment to definition of term Adjustment Increment with respect to stock futures. |
02/26/2010 |
Certified |
03/01/2010 |
|
1 |
| LCHLLC |
Amendments to Rule 101 - definition of "Clearing Hours" and addition of new Rules 901and 902 to incporporate existing interest rate swap and new forward start interest rate swap futures specs, respectively. |
11/09/2009 |
Certified |
02/26/2010 |
|
1 |
| ICE NGX |
Amendments to the Product Schedule of the NGX rulebook which is the Contracting Party's Agreement |
01/13/2010 |
Certified |
01/20/2010 |
|
1 |
| ICE NGX |
Amendment to fee schedule of the Contracting Party's Agreement to remove fees for one-leg location and calendar spreads in natural gas swap products. |
01/12/2010 |
Certified |
01/20/2010 |
|
1 |
| OCC |
Change to By-Laws and Rules to accomodate options for which the premium and exercise price are expressed on other than a per unit basis. |
01/14/2010 |
Certified |
01/20/2010 |
|
1 |
| ICLR US |
New Rule 806 and amendments to Rule 504 - establishes new close-out mechanism in event of DCO insolvency and amendments regarding making advance intra-day calls for margin |
12/15/2009 |
Certified |
12/24/2009 |
|
1 |
| LCHLLC |
Add defined term "Clearinghouse Approved Depositories" and amend Rule 509 to clarify ownership and control over clearing member's securities deposited to meet margin requirements and the depository custody accounts |
12/16/2009 |
Certified |
12/24/2009 |
|
1 |
| CME |
Revisions to Chapters 800-805 regarding OTC credit default swap contracts and contract specifications |
12/11/2009 |
Certified |
12/24/2009 |
|
1 |
| CME |
Rule changes to CME/CBOT/NYMEX Rules 802, 813, 816, 817, 818, 827, 913, and 930 and to CME Rule 8B04 and to various provisions in Rules 8F01 - 8F25 related to the clearing of OTC credit default swaps and to make various conforming rule changes |
12/11/2009 |
Certified |
12/24/2009 |
|
1 |
| LCHLTD |
Amendments to Rules and Agreements and Procedures governing defaults of SwapClear Clearing Members and new Deed of Assignment to grant security interest to clients of such clearing members to allow LCH to return margin directly to the clients. |
12/02/2009 |
Certified |
12/03/2009 |
|
1 |
| CME |
New Chapter 29A for for the clearing of CBOT Dow-Jones-UBS Commodity Index Swaps |
11/12/2009 |
Certified |
11/30/2009 |
|
1 |
| ICLR US |
New rules provide for the clearing of Iron Ore Swaps |
11/20/2009 |
Certified |
11/30/2009 |
|
1 |
| ICLR US |
Rule 502 amended to delete unneeded paragraph and to authorize staff to determine original margin requirements |
11/13/2009 |
Certified |
11/30/2009 |
|
1 |
| CCORP |
Amendment to the definition of Exchange Market to add Carbon Financial Instrument U.S. Offset and Carbon Financial Instrument EA Futures traded on CCFE |
11/18/2009 |
Certified |
11/30/2009 |
|
1 |
| OCC |
Amendments to rules to accommodate an alternate settlement procedure for physically-settled treasury futures traded on ELX |
11/20/2009 |
Certified |
11/30/2009 |
|
1 |
| ICE NGX |
Amendment of the CPA to lengthen the time period in which a participant may notifty NGX of early termination in the event of an Exchange Bankruptcy Event of Default (a defined term) and to update the definition of Crude Month Accounts Net Payable. |
11/06/2009 |
Certified |
11/09/2009 |
|
1 |
| CME |
New CME Chapter 415B setting forth the terms and conditions and the rules for clearing new OTC-traded contracts based on the S&P/GSCI ER Index |
10/14/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
New CME Chapter 415C setting forth the terms and conditions and the rules for clearing cleared-only OTC-traded S&P/GSCI Excess Return Index Swap Contracts |
10/15/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
New CME Chapter 415D setting forth the terms and conditions and the rules for clearing cleared-only S&P GSCI Crude Oil Excess Return Index Swap Contracts |
10/15/2009 |
Certified |
11/02/2009 |
|
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 |
| OCC |
Rule amendments to allow clearing members to deposit fully paid or excess margin securities carried for the account of a securities customer to the extent that such deposits are permitted per SEC or SRO interpretive guidance or no-action relief |
10/23/2009 |
Certified |
11/02/2009 |
|
1 |
| CBT |
Amendment to CBT's Rule 817 regarding its liquidity facility to harmonize with the liquidity facility rules of the CME and NYMEX. |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
Clarification to CME Rule 975 concerning financial emergencies |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| CBT |
Clarification to CBT Rule 975 concerning financial emergencies |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| NYMEX |
Clarification to Nymex Rule 975 concerning financial emergencies |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
Changes to CME Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| CBT |
Changes to CBT Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization |
10/30/2009 |
Certified |
11/02/2009 |
|
0 |
| NYMEX |
Changes to NYMEX Rule 820 concerning performance bonds in connection with CME/CBT/NYMEX rulebook harmonization |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
Various amendments to CME Chapter 8F regarding OTC Derivative Clearing |
10/30/2009 |
Certified |
11/02/2009 |
|
1 |
| NADEX |
Further amendments to rules to permit the intermediation of trading and clearing |
08/21/2009 |
Certified |
11/02/2009 |
|
1 |
| NADEX |
Further amendments to rules to permit the intermediation of trading and clearing |
10/21/2009 |
Certified |
11/02/2009 |
|
1 |
| ICE NGX |
Amendments to Article 3, Schedules A, C, E and H of NGX's Contracting Party's Agreement |
10/21/2009 |
Certified |
11/02/2009 |
|
1 |
| ICE NGX |
Amendment to fee schedule of Contracting Party's Agreement to amend fees with respect to cleared & bilateral transactions in oil, clearing fees for physical oil at US delivery points and transaction fees for gas option transactions. |
10/21/2009 |
Certified |
11/02/2009 |
|
1 |
| CME |
Amendments to Rule 537 regarding substitution of futures for forwards and other CME rules to allow acceptance of OTC FX spot, forward and swap transactions as cleared-only futures through CME ClearPort. |
10/15/2009 |
Certified |
10/15/2009 |
|
1 |
| ICLR US |
Rule amendments to allow DCO President to require additional margin be deposited to preserve DCO fiscal integrity and an orderly marketplace when certain conditions are determined to exist. |
09/30/2009 |
Certified |
10/05/2009 |
|
1 |
| OCC |
Rule change to permit dividend equivalent payments to be principally effected through the facilities of the DTC with respect to OCC's Market Loan Program. |
09/28/2009 |
Certified |
09/28/2009 |
|
1 |
| LCHLTD |
LCH submits its Clearing Relationship Agreement (CRA), Termination Agreement (TA) and Tripartite Clearing Membership Agreement (TCMA). Only the latter is not subject to a request for confidential treatment. |
09/22/2009 |
Certified |
09/25/2009 |
|
1 |
| CME |
Amendments to Rule 8F15 regardiing trade submission to CME Clearport |
09/22/2009 |
Certified |
09/22/2009 |
|
1 |
| OCC |
Rule change to revise minimum eligibility criteria applicable to common stock deposited as performance and to common stock loaned through OCC's Stock Loan Programs. |
08/28/2009 |
Certified |
09/02/2009 |
|
1 |
| CCORP |
Definition of Exchange Market in Chapter 1 of the rules is amended to add the Carbon Financial Instrument United States Futures contract traded on the Chicago Climate Futures Exchange, LLC. |
08/26/2009 |
Certified |
08/27/2009 |
|
1 |
| NYMEX |
Amendments to rules to establish expiration accountability level last day contracts, reportable level and aggregation allocation for the OTC London Gold forwards contract. |
08/18/2009 |
Certified |
08/27/2009 |
|
1 |
