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Rule Amendments Filed Under Self-Certification
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Filings by Designated Contract Markets (DCMS)
Current Month

Date of Letter Date Filed DCM Description
10/12/2004 10/12/2004 NYMEX Listing of Additional Strike Prices for the Gold, Copper, Crude Oil, Heating Oil and Natural Gas Option Contracts.
10/12/2004 10/12/2004 CME Fixed listing cycle of twenty-four contract months for Class III Milk Futures and Options.
10/11/2004 10/12/2004 CME Deferment of the listing of European Style Options on Equity Index Futures
10/11/2004 10/12/2004 MGEX Rule Numbers – Rules 7405, 7605 and 7805, Regulations 2011, 2011.01., 2011.02., 2014, 2015, 2016.01., 2060, 2061 and 2067, and Resolutions 1402 an 2101.00.C.
The amendments are necessary to implement trading of MGEX contracts on e-cbot® powered by LIFFE CONNECT®. The changes will modify trading hours, eliminate references to morning or afternoon trading sessions, modify settlement procedures, modify the official closing period, define the relationship between contracts traded by open outcry and electronically, and amend cabinet trade capabilities.
10/07/2004 10/08/2004 NYMEX Listing of Additional Strike Prices for the Gold, Silver, Copper, Crude Oil, Heating Oil and Natural Gas Option Contracts.
10/07/2004 10/07/2004 CME Rule Numbers 358A01.C., 351A01.C., 355A01.C., 356A01.C., 557.B.
Customer demand necessitates an amendment to the E-Mini S&P 500 tick size on options. In order to remain consistent, the standard sized S&P 500, the S&P 500 Growth, and the S&P 500 Value option contracts have also been slightly amended. In addition, a GLOBEX order entry quantity limit will be imposed on E-Mini S&P 500 options.
10/07/2004 10/07/2004 CBOT Regulation 425.01
Increase speculative position limits for CBOT 5,000 oz. Silver and 100 oz. Gold futures.
10/04/2004 10/05/2004 CBOT CBOT Regulations 1504.01, 1536.01; Appendices 14A, 14B, 15A, 15B
Modify "Unit of Trading" and "Standards" regulations for CBOT 100 oz. Gold futures and specify the deliverable brands, approved vaults and assayers for CBOT 5,000 oz. Silver and 100 oz. Gold futures.
10/01/2004 10/04/2004 NYMEX Listing of Additional Strike Prices for the Gold, Silver, Copper, Crude Oil, Heating Oil, Crack Gasoline and Natural Gas Option Contracts.

 
Filings by Derivatives Clearing Organizations (DCOS)

Date of Letter Date Filed DCO Description
06/24/2003 06/25/2003 OCC Rule Numbers -- SR-OCC-2004-14
This rule change proposes to adopt an interpretation under Rule 611 regarding the timing by which clearing members need to issue resegregation instructions with respect to the long options leg of a spread after the short leg has been closed out.
06/23/2004 06/23/2004 OCC Rule Numbers -- SR-OCC-2004-13
This rule change proposes to amend Article VIII Section 5(e) of OCC's by-laws, which authorizes OCC to borrow against the clearing fund in specified situations.
06/22/2004 06/22/2004 OCC Rule Numbers -- SR-OCC-2004-12
This rule change proposes to reduce clearing fees for securities option contracts
06/07/2004 06/08/2004 OCC Rule Numbers -- SR-OCC-2404-11
This rule change proposes to amend certain by-law provisions pertaining to yield-based Treasury options to conform those sections to corresponding by-law provisions governing index options.
06/03/2004 06/04/2004 OCC Rule Numbers – SR-OCC-2004-10
Relating to Creating an Internal Cross-Margin Program
05/28/2004 05/28/2004 OCC Rule Numbers -- SR-OCC-2004-09
Relating to Eligible Securities for OCC’s Stock/Loan Hedge Program
05/10/2004 05/10/2004 OCC Rule Numbers -- SR-OCC-2004-08 The rule change will permit OCC to clear and settle futures contracts ("variance futures") on the variance over a set period of time of a reference variable, and to clear and settle options on variance futures as well.
05/07/2004 05/10/2004 OCC Rule Numbers – SR-OCC-2004-06
The Options Clearing Corporation proposes to amend Chapters VIII and XVIII of its Rules.
05/07/2004 05/10/2004 OCC Rule Numbers – SR-OCC-2004-07
The Options Clearing Corporation proposes to amend Articles I, VI and XV of its By-Laws and Chapters VI, XI and XVI of its Rules
03/19/2004 03/19/2004 OCC SR-OCC-2004-05
The filing proposes to clarify the definition of premium in respect of foreign currency and cross-rate foreign currency options cleared by OCC as an SEC registered clearing agency.
03/19/2004 03/19/2004 OCC SR-OCC-2004-04
The filing proposes to reduce the thresholds applied to equity options (cleared by OCC as an SEC registered clearing agency) for exercise by exception processing purposes on expiration.
03/11/2004 03/12/2004 CC Rules 1 - 13
(i) Deletion of all provisions relating to the Chicago Board of Trade. (ii) Relocation of certain provisions from Chapter 9 to prior Chapters to reflect that U.S. Futures Exchange, L.L.C. is now the principal market for which The Clearing Corporation provides clearing and settlement services. (iii) Various nonsubstantive editorial changes and corrections.
03/09/2004 03/11/2004 OCC Filing SR-OCC-2004-02
Amend OCC's by-laws and rules to permit clearing members to maintain with OCC two new futures accounts and to allow clearing members to carry the positions of proprietary market makers in a combined account that is a separate account from any other combined market makers account.
02/20/2004 02/23/2004 OCC Rule Numbers – SR-OCC-2004-01
Clearing Fee Reduction for Securities Options
11/12/2003 11/12/2003 NYCC Rule Numbers – Adoption of new Rules 303 and 604
New Rule 303 was adopted to give New York Clearing Corporation authority to debit the proprietary margin accounts of its members to pay fees, charges and other amounts (other than fines or penalties) due to New York Clearing Corporation or any of the Exchanges for which New York Clearing Corporation clears futures contracts. New Rule 604 was adopted to limit the obligations of New York Clearing Corporation with respect to electronic warehouse receipts that it holds as escrow agent on behalf of a member in connection with the delivery of commodities under a futures contract.
11/04/2003 11/05/2003 OCC Rule Numbers – SR-OCC-2003-13
Limitation of Liability
10/30/2003 10/31/2003 OCC Rule Numbers – SR-OOC-2003-12
Relating to a Clearing Agreement
10/30/2003 10/30/2003 The Clearing Corporation Rule Numbers – Part 12 of Rules
- Amended Part 12 of the Rules relating to ChemConnect, Inc., to detail the escrow procedure with respect to the settlement of swap contracts.
- Made conforming changes throughout the Rules to note (i) change in corporation name (ii) redesignation of Board of Governors as Board of Directors, and (iii) redesignation of Members as Participants.
10/14/2003 10/14/2003 NYCC Rule Numbers – Amendments to Rules 401, 502, 601 and 602
The Rule amendments were adopted to clarify the limitations on the liabilities and obligations of New York Clearing Corporation with respect to delivery under futures contracts cleared by New York Clearing Corporation
10/10/2003 10/14/2003 OCC Rule Numbers – SR-OOC-2003-11
CMTA Processing
10/01/2003 10/02/2003 BOTCC Part 8 of Rules
Part 10 of Rules
Part 11 of Rules
Part 12 of Rules
Part 13 of Rules
Added new Part 8 relating to guaranty funds.
Added new Parts 10, 11, 12 and 13 containing Rules relating to Merchants’ Exchange LLC, Commodities Management Exchange, Inc., ChemConnect, Inc., and Intercontinental Exchange, Inc., respectively.
Made Conforming changes elsewhere in the Rules
09/25/2003 09/25/2003 BOTCC Rule 101, Definitions of Exchange Market, Interpretations and Policies
Part 9 of Rules
Part 8 of Rules
Part 7 of Rules
Amended Rules 101 Interpretations and Policies to note (i) transition of CBOT clearing to CME, and (ii) clearing for U.S. Futures Exchange, L.L.C.
Added new Part 9 to govern clearing for U. S. Futures Exchange, L.L.C.
Deleted current Part 8 relating to Merchants’ Exchange (which is cleared by Guaranty Clearing Corporation), reserved new Part 8 for guaranty fund. It is expected that the Clearing Corporation will prepare and file the provisions of Part 8 in the near future.
Deleted existing Part 7 with respect to defunct LIFFE Link program. It is expected that the Clearing Corporation will prepare and file a new Part 7 relating to linked clearing arrangements with Eurex Clearing AG in the near future.
Made conforming changes elsewhere in the Rules.
8/21/2003 8/22/2003 OCC Rule Numbers SR-OCC-2003-08 - The rule amendment restructures and revises OCC’s rules relating to physical settlement of exercised stock options and matured stock futures
8/21/2003 8/22/2003 OCC Rule Numbers SR-OCC-2003-09 - The rule amendment specifies a minimum net capital requirement for appointed Clearing Members
8/21/2003 8/21/2003 KCT Rule 6.18 gives the KCC Board of Directors the power to suspend or revoke the clearing privileges of its clearing members and to levy fines for certain offenses
Updated October 13, 2004