Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYMEX Voiding OTC Contract Submissions Clearport 03/18/2004 Certified 03/18/2004 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
CCORP CBOT references, Guaranty Fund, clearing members 03/11/2004 Certified 03/11/2004 1
OCC Rule primarily applicable to securities 03/11/2004 Certified 03/11/2004 1
NADEX VPH Contracts 02/27/2004 Certified 02/27/2004 0
NADEX Heating Oil and Propane Contracts 02/27/2004 Certified 02/27/2004 0
OCC Rule primarily applicable to securities 02/23/2004 Certified 02/23/2004 1
NADEX DCO Application, Staff Memo, Order 02/18/2004 Certified 02/18/2004 0
CME Equity Index Performance Bonds 02/02/2004 Certified 02/02/2004 0
CME Authority to Adopt Rule Changes 01/20/2004 Certified 01/21/2004 1
LCHLTD Penultimate Henry Hub Nat Gas Options & Swaps 01/16/2004 Certified 01/16/2004 0
MGEX Gross Speculative Position Limits 01/16/2004 Certified 01/16/2004 0
ICLR US Price Limits Margining 12/15/2003 Certified 12/15/2003 0
CME FICC Cross-Margining 11/21/2003 Certified 11/21/2003 0
CBT Acceptable Margin 11/21/2003 Certified 11/21/2003 0
CBT Rules Streamlining Clearing Requirements 11/20/2003 Certified 11/20/2003 0
CME Cross-Margining Program 11/19/2003 Certified 11/19/2003 0
ICLR US Adoption of New Rule 303 to give NYCC authority to debit the proprietary margin accounts of its members 11/12/2003 Certified 11/13/2003 1
NYMEX Staff Members Settlement Committee 11/11/2003 Certified 11/11/2003 1
OCC Limitation of liability to members 11/04/2003 Certified 11/04/2003 1
CBT E-CBOT Clearing 10/31/2003 Certified 10/31/2003 1
OCC PBOT Clearing Agreement 10/31/2003 Certified 10/31/2003 1
CCORP Amended Articles of Incorporation, By-Laws and Rules 10/30/2003 Certified 10/30/2003 1
ICLR US Delivery Obligations on Default 10/14/2003 Certified 10/14/2003 1
OCC CMTA Facility 10/10/2003 Certified 10/10/2003 1
CBT CBOT Approved as DCO Approval Process Required Implementing Rules 10/07/2003 Certified 10/07/2003 0
CME Performance Bond Deposits Line of Credit 10/06/2003 Certified 10/06/2003 1
CCORP CCORP Replaces GCC as DCO 10/01/2003 Certified 10/01/2003 0
CCORP CCORP (BOTCC) Replaces GCC as DCO for ME, ChemConnect, ICE 10/01/2003 Certified 10/01/2003 1
CCORP USFE 09/25/2003 Certified 09/25/2003 1
CCORP Reorganization & Proxy Materials 09/24/2003 Certified 09/24/2003 0
CBT Financial Filing Requirements 09/22/2003 Certified 09/22/2003 1
CME Clearing Member Net Capital 09/05/2003 Certified 09/05/2003 1
CME Disaster Recovery 09/05/2003 Certified 09/05/2003 1
KCC Power of Board to suspend or revoke privileges of clearing members 08/21/2003 Certified 08/21/2003 1
OCC Settlement of Stock Futures 08/21/2003 Certified 08/21/2003 1
OCC Appointed Clearing Members 08/21/2003 Certified 08/21/2003 1
CBT Transfer of Clearing Accounts 08/06/2003 Certified 08/06/2003 0
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
ICLR US Segregation Requirements 07/17/2003 Certified 07/17/2003 0
CBT Rule 701.1 Transfer of Clearing Accounts 10/07/2003 Certified 07/14/2003 0
ECC By-Laws and Rules 06/22/2003 Certified 06/23/2003 0
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
NYMEX Consolidation of NYMEX & COMEX Clearing 05/14/2003 Certified 05/14/2003 0
CME Clearing Membership Assignment Requirements 04/23/2003 Certified 04/23/2003 0
NYMEX PJM Electricity Futures 04/10/2003 Certified 04/10/2003 0
ICLR US Closing Out Positions of Expelled or Suspended Clearing Members 02/24/2003 Certified 02/24/2003 0
CCORP Non-cash margin 02/20/2003 Certified 02/20/2003 0