Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 04/01/2005 Certified 04/01/2005 1
OCC Rule primarily applicable to securities 03/23/2005 Certified 03/23/2005 1
CCORP CCX Sulfur & Nitrogen Financial Futures 03/21/2005 Certified 03/21/2005 1
NYMEX Original Margin Depositories and Letters of Credit 03/03/2005 Certified 03/08/2005 0
ICLR US Futures Spreads Cotton Sugar 03/07/2005 Certified 03/07/2005 0
OCC Rule primarily applicable to securities 03/02/2005 Certified 03/02/2005 1
OCC XM Agreement: OCC-CORP 02/01/2005 Certified 02/01/2005 1
CCORP New Eurex US Contracts 01/20/2005 Certified 01/20/2005 1
OCC Rule primarily applicable to securities 01/18/2005 Certified 01/18/2005 1
CME Adds Put and Call Options on S&P Depository Receipts to Eligible Contracts for the CME-OCC Cross-Margining Agreement 01/11/2005 Certified 01/12/2005 1
NADEX Fully Paid Contracts 12/21/2004 Certified 12/21/2004 1
OCC Rule primarily applicable to securities 12/21/2004 Certified 12/21/2004 1
OCC Rule primarily applicable to securities 12/17/2004 Certified 12/17/2004 1
OCC Rule primarily applicable to securities 12/13/2004 Certified 12/13/2004 1
CME Hedge Funds Member Fees 12/06/2004 Certified 12/06/2004 1
NADEX Amended Order of Registration 12/01/2004 Certified 12/01/2004 1
CCORP CCFE as Exchange Market 11/24/2004 Certified 11/24/2004 1
CCORP CCFE Product rules 11/24/2004 Certified 11/24/2004 1
OCC Rule primarily applicable to securities 11/19/2004 Certified 11/19/2004 1
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 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
CCORP General Guaranty Fund ChemConnect CXX Participant Member Guaranty 11/01/2004 Certified 11/02/2004 1
CCORP Eurex Phase I Memorandum and Order 10/21/2004 Certified 10/29/2004 1
OCC Price Adjustments Dividends Distributions 10/25/2004 Certified 10/25/2004 0
CME Reduction in the Number of Class A Shares Required to be held by Clearing Firms 09/20/2004 Certified 09/24/2004 1
NADEX Market Makers Non Fully Paid Contracts 09/20/2004 Certified 09/20/2004 1
NADEX Market Makers 09/08/2004 Certified 09/08/2004 1
ICLR US Self Clearing Members 08/17/2004 Certified 08/17/2004 0
CCORP CDX Exchange 07/28/2004 Certified 07/28/2004 0
NADEX Market Makers Line of Credit 07/26/2004 Certified 07/26/2004 1
NADEX Financing et al. 07/15/2004 Certified 07/15/2004 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC Rule primarily applicable to securities 06/25/2004 Certified 06/25/2004 1
ICLR US Individual Clearing Members 06/24/2004 Certified 06/24/2004 0
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
CBT CBOT: EUREX-CCorp Link 05/14/2004 Certified 05/14/2004 0
CME Collateral Management Program 05/11/2004 Certified 05/11/2004 0
OCC Variance Futures 05/10/2004 Certified 05/10/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
ICLR US NYBOT Merger 05/06/2004 Certified 05/06/2004 0
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
NYMEX OTC Look-Alike Contract Position Limits 03/19/2004 Certified 03/19/2004 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