Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
CCORP EUREX Currencies & OTC Treasuries 01/11/2006 Certified 12/25/2006 0
NYMEX COMEX/NYMEX Metals cleared GLOBEX 11/20/2006 Certified 12/18/2006 1
NYMEX Amended Electricity Options Description & Pricing 12/5/06 Filing 12/15/2006 Certified 12/15/2006 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 Floor-traded electricity options cleared on ClearPort 12/05/2006 Certified 12/05/2006 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
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
NYMEX COMEX Settlement Rules and ByLaws 11/20/2006 Certified 11/20/2006 1
CBT Ethanol Swaps 11/09/2006 Certified 11/13/2006 1
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 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 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
CCORP OTC Benchmark Treasury Futures Contracts 10/03/2006 Certified 10/16/2006 1
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
CBT Restatement of clearing member membership and shareholding requirements 09/27/2006 Certified 09/30/2006 1
CBT Comprehensive Update of Chapter 2 Membership Requirements 09/28/2006 Certified 09/29/2006 1
OCC Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 1
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
ICLR US Liability, Options premiums, Default 07/12/2006 Certified 07/12/2006 1
OCC Rule primarily applicable to securities 07/12/2006 Certified 07/12/2006 1
NADEX Trading Members on the Intermediated Market 07/07/2006 Certified 07/07/2006 0
OCC Rule primarily applicable to securities 06/26/2006 Certified 06/26/2006 1
NYMEX GLOBEX Rules-Clearing 06/09/2006 Certified 06/09/2006 1
OCC Rule primarily applicable to securities 06/08/2006 Certified 06/08/2006 1
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service 05/15/2006 Certified 05/15/2006 1
CCORP OTC Treasury Futures 05/08/2006 Certified 05/08/2006 1
OCC OCC-2006-04, 4.26.06, Policy Statement on Internet Access 04/26/2006 Certified 04/26/2006 1
OCC Rule primarily applicable to securities 04/26/2006 Certified 04/26/2006 1