Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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