Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
NYMEX Eliminates OTC Reference 01/22/2003 Certified 01/22/2003 0
CME Anti Money Laundering 12/17/2002 Certified 12/17/2002 0
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
LCHLTD Endex Clearing (Dutch Electricity) 12/16/2002 Certified 12/16/2002 0
NYMEX Trade submission deadlines 12/13/2002 Certified 12/13/2002 0
CCORP Categories of Governors 12/09/2002 Certified 12/09/2002 0
LCHLTD SwapClear Members & Dealers 11/25/2002 Certified 11/25/2002 0
OCC Multiple Accounts of Clearing Members 11/19/2002 Certified 11/19/2002 0
LCHLTD Collateral Rules 11/08/2002 Certified 11/08/2002 0
NYMEX Transco Basis SWAPs 11/05/2002 Certified 11/05/2002 0
CME Settlements, Settlement Prices 11/01/2002 Certified 11/01/2002 0
LCHLTD Procedural Amendments 11/01/2002 Certified 11/01/2002 0
LCHLTD SwapClear Fees & Charges 11/01/2002 Certified 11/01/2002 0
CME Remote Clearing 10/22/2002 Certified 10/22/2002 0
OCC Market Makers as Segregated Customers 10/17/2002 Certified 10/17/2002 0
ECC VMAC 10/10/2002 Certified 10/10/2002 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
ECC Letters of Credit Clearing Fund 10/09/2002 Certified 10/09/2002 0
OCC FCM requirements 10/08/2002 Certified 10/08/2002 0
OCC Stocks Hedge Loan Program 10/02/2002 Certified 10/02/2002 0
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
NYMEX OTC Trade Submission 09/25/2002 Certified 09/25/2002 0
LCHLTD EnClear Natural Gas 09/12/2002 Certified 09/12/2002 0
ECC Interim Board of Directors 09/10/2002 Certified 09/10/2002 0
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
ICLR US Default Fund Rule Amendment Approved 08/20/2002 Approved 08/20/2002 0
OCC Assignment Procedures, Exercise Notices 08/14/2002 Certified 08/14/2002 0
CME Protection of ClearingHouse Default 08/09/2002 Certified 08/09/2002 0
NYMEX Protection of Clearing House Cross Margining 08/08/2002 Certified 08/08/2002 0
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
NYMEX OTC Energy Options 07/26/2002 Certified 07/26/2002 0
NYMEX Guaranty Fund 07/26/2002 Certified 07/26/2002 0
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
ECC Fraud Insurance 07/18/2002 Certified 07/18/2002 0
NYMEX Default Rules 07/15/2002 Certified 07/15/2002 0
ECC Product, Member Rules 07/09/2002 Certified 07/09/2002 0
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0