NYPC |
Amend Rule 410 re transfer of customer positions |
12/16/2011 |
Certified |
01/04/2012 |
|
1 |
NYPC |
Amend Rule 506 (close out netting) action taken in event of insolvency |
12/16/2011 |
Certified |
01/04/2012 |
|
1 |
NYPC |
Amend rules 101, 102, 306, and 308 re: financial reporting, reporting of ownership/structure changes and conforming definition changes. |
03/30/2011 |
Certified |
03/30/2011 |
|
1 |
NYPC |
Amendments related to clearing firm membership and default management. |
01/30/2013 |
Certified |
02/14/2013 |
|
1 |
NYPC |
Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). |
05/04/2012 |
Certified |
05/04/2012 |
|
5 |
NYPC |
Proposed amendments to expand the scope of NYPC's cross-margining program with Fixed Income Clearing Corporation to include the accounts of market professionals |
03/20/2012 |
Approved |
05/04/2012 |
|
1 |
NYPC |
In connection with migration of NYPC-cleared interest rate futures contracts to ICE Clear Europe and wind-down of operations, the NYPC Board of Directors has determined that NYPC Clearing Members must post their required Guaranty Fund deposits in cash. |
04/11/2014 |
Certified |
04/26/2014 |
|
1 |
OCC |
Rule Certification Concerning OCC's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit |
01/19/2023 |
Certified |
02/02/2023 |
|
3 |
OCC |
Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 |
04/10/2012 |
Certified |
04/25/2012 |
|
1 |
OCC |
Proposed rule change concerning the requirement for Clearing Members to participate in default management testing. |
03/28/2017 |
Certified |
04/11/2017 |
|
2 |
OCC |
Modification of description of assignment proceudres for processing exercise notices to reflect expanded use of sub-accounts established by a clearing member for a single beneficial owner |
10/09/2007 |
Certified |
10/17/2007 |
|
1 |
OCC |
This proposed rule change concerns enhancements to OCC's governance arrangements. |
02/24/2016 |
Certified |
03/09/2016 |
|
2 |
OCC |
OCC Rule Certification to Update Its Operational Loss Fee for 2022 |
12/15/2021 |
Certified |
12/30/2021 |
|
3 |
OCC |
Amendment to the Third Amended and Restated Options Exercise Settlement Agreement between OCC and NSCC |
11/17/2008 |
Certified |
11/24/2008 |
|
1 |
OCC |
The proposed rule change concerns charters for the OCC Board of Directors, Membership/Risk Committee, Audit Committee, and Performance Committee. |
10/17/2013 |
Certified |
11/01/2013 |
|
1 |
OCC |
Proposed technical change to Interpretation and Policy .06 under Rule 601 in connection with the expansion of forms of collateral incorporated into STANS |
08/25/2010 |
Certified |
08/25/2010 |
|
1 |
OCC |
Proposed rule change to revise OCC's Schedule of Fees. |
09/30/2016 |
Certified |
10/17/2016 |
|
1 |
OCC |
Amendment to Interpretation and Policy .01 under Section 11A, Article VI and Interpretation and Policy .01 under Section 3, Article XII |
08/31/2010 |
Certified |
08/31/2010 |
|
1 |
OCC |
Certification of Proposed Change to Revise The Options Clearing Corporation's Schedule of Fees |
09/28/2021 |
Certified |
10/13/2021 |
|
1 |
OCC |
Changes to Stock Loan/Hedge Program and Market Loan Program; SR-OCC-2012-24. |
12/13/2012 |
Withdrawn |
01/09/2013 |
|
1 |
OCC |
OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service |
05/15/2006 |
Certified |
05/15/2006 |
|
1 |
OCC |
Technical changes to OCC's By-laws and Rules in connection with the modification of the individual registration categories of the Investment Industry Regulatory Organization of Canada. |
11/08/2013 |
Certified |
11/26/2013 |
|
1 |
OCC |
Proposed Rule Change to Modify the Sequence for Processing Options Transactions |
04/17/2020 |
Certified |
05/01/2020 |
|
1 |
OCC |
OCC-2006-04, 4.26.06, Policy Statement on Internet Access |
04/26/2006 |
Certified |
04/26/2006 |
|
1 |
OCC |
Amendment to Schedule of Fees in order to charge monthly fee to non-clearing member subscribers of certain non-proprietary data (i.e., product/series and prices) that elect to receive such data on a real-time basis; SR-OCC-2012-25. |
12/14/2012 |
Certified |
01/01/2013 |
|
1 |
OCC |
This proposed rule change concerns updated to clearing member documents. |
11/04/2014 |
Certified |
11/19/2014 |
|
1 |
OCC |
Proposed rule change concerning OCC's Counterparty Credit Risk Management Policy. |
11/02/2017 |
Certified |
11/17/2017 |
|
2 |
OCC |
Proposed rule change to make administrative updates to The Options Clearing Corporation's risk managementpolicies. |
07/16/2019 |
Certified |
07/30/2019 |
|
2 |
OCC |
Proposed rule change concerning The Options Clearing Corporation's Fee Policy. |
01/09/2018 |
Certified |
01/24/2018 |
|
2 |
OCC |
OCC 2006-03, 4.13.06, Fees for Ancillary Services |
04/13/2006 |
Certified |
04/13/2006 |
|
1 |
OCC |
Rule changes necessary to accommodate the introduction of delayed start options by CBOE |
10/09/2007 |
Certified |
10/29/2007 |
|
1 |
OCC |
Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. |
08/12/2009 |
Certified |
08/18/2009 |
|
1 |
OCC |
OCC 2002-02, 3.14.06, Non Customers of Broker Dealers |
03/14/2006 |
Certified |
03/14/2006 |
|
0 |
OCC |
Interp clarifying that "securities contracts" and 'commodity contracts" held by a CLM in a proprietary account are held pursuant to "a cross-margining agreement or similar arrangement" for purposes of Section 561(b)(3)(A) of the U.S. Bankruptcy Code |
10/23/2007 |
Certified |
10/29/2007 |
|
1 |
OCC |
Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. |
06/10/2008 |
Certified |
06/17/2008 |
|
1 |
OCC |
This change would consolidate OCC's Governance Committee and Nominating Committee into a single committee, make changes to OCC's nomination process for directors and increase the number of Public Directors on OCC's Board of Directors. OCC #SR-OCC-2014-09 |
05/13/2014 |
Certified |
05/28/2014 |
|
1 |
OCC |
Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index |
09/27/2011 |
Approved |
06/13/2013 |
|
12 |
OCC |
Rule changes related to the change of expiration date from the Saturday following the third Friday of the specified expiration month to the third Friday of the specified expiration month; SR-OCC-2013-04 and SR-OCC-2013-802. |
04/17/2013 |
Certified |
05/02/2013 |
|
2 |
OCC |
Amendment of rules to expand use and functionality of sub-accounts available to clearing members. |
09/28/2007 |
Certified |
10/29/2007 |
|
1 |
OCC |
Rule Certification Concerning the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation. |
11/01/2023 |
Certified |
11/16/2023 |
|
4 |
OCC |
Rule Certification by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align with Recently Adopted CFTC Governance Requirements for Derivatives Clearing Organizations. |
05/08/2024 |
10 Day Review |
05/08/2024 |
|
3 |
OCC |
Clarification of timing of "novation" by the clearinghouse; SR-OCC-2011-17 |
12/12/2011 |
Certified |
12/28/2011 |
|
1 |
OCC |
Proposed rule change would require that intraday margin be collected and margin assets not be withdrawn when a clearing member's anticipated settlement obligations to OCC exceed liquidity resources available to OCC to satisfy such settlement obligations. |
05/14/2014 |
Certified |
05/29/2014 |
|
1 |
OCC |
This proposed rule change amends OCC' s Schedule of Fees in order to correct an inadvertent oversight in a prior rule change. #SR-OCC-2014-11 |
05/14/2014 |
Certified |
05/29/2014 |
|
2 |
OCC |
Proposed rule change by The Options Clearing Corporation concerning liquidity for same day settlement. |
11/03/2017 |
Certified |
11/20/2017 |
|
1 |
OCC |
Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee pursuant to its Capital Management Policy |
01/06/2021 |
Certified |
01/21/2021 |
|
3 |
OCC |
Providing OCC the discretion to grant or not grant margin credit to a clearing member; SR-OCC-2013-14/805 |
08/15/2013 |
Certified |
08/30/2013 |
|
1 |
OCC |
Proposed rule change by The Options Clearing Corporation concerning its Margin Policy. |
01/11/2018 |
Certified |
01/26/2018 |
|
2 |
OCC |
Amendment to clarify use of suspended clearing member's margin deposits in order to meet liquidity needs. |
10/12/2011 |
Certified |
10/27/2011 |
|
1 |
OCC |
This proposed rule change would allow a clearing fee waiver for exchange new products. |
09/02/2015 |
Certified |
09/17/2015 |
|
1 |