Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC STANS Clearing Fund 12/12/2005 Certified 12/12/2005 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for incorporating variations inimplied volatility. 11/19/2018 Certified 12/04/2018 2
OCC Default: Liens on Clearing Member Accounts 12/16/2004 Certified 12/16/2005 0
OCC This proposed rule change would permit OCC to adjust the size of its clearing fund on an intra-month basis. 11/13/2014 Certified 11/28/2014 1
OCC Netting of Member Accounts in Case of OCC Bankruptcy 10/26/2005 Certified 10/26/2005 0
OCC Amendment to close out netting procedures with respect to FIN 39 06/22/2007 Certified 06/22/2007 1
OCC Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/22/2009 Certified 06/01/2009 1
OCC Correction of Post Submission Errors 10/26/2005 Certified 10/26/2005 0
OCC Rule change to reduce ancillary service fees charged to Tier I, II, III and IV clearing members and to reduce leased line charges for subscribing clearing members. 05/28/2009 Certified 06/01/2009 1
OCC XM Agreement: OCC-CORP 02/01/2005 Certified 02/01/2005 1
OCC Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 0
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2024 04/01/2024 Certified 04/15/2024 2
OCC Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
OCC This proposed rule chnage concerns modification of OCC's margin methodology by incorporating varions in implied volatility. 10/05/2015 Certified 10/20/2015 2
OCC Rule change to accommodate OCC's clearance of physically-settled futures contracts on U.S. Treasury Notes and Bonds. 07/01/2009 Certified 07/27/2009 1
OCC Rule amendment to clarify that index optinos cleared by OCC may include options on foreign currency indexes, inlcuding options on the ISE Leveraged USD Basket Index. 07/01/2009 Certified 07/01/2009 1
OCC Amendment to OCC's Schedule of Fees to set the per contract clearing fee for certain routing trades at $0.01; SR-OCC-2012-18. 09/28/2012 Certified 10/16/2012 1
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 08/21/2014 Certified 09/05/2014 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology. 12/13/2017 Certified 12/28/2017 2
OCC Rule Certification Concerning One Multiplier Options 08/18/2022 Certified 09/01/2022 1
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
OCC Rule change to revise minimum eligibility criteria applicable to common stock deposited as performance and to common stock loaned through OCC's Stock Loan Programs. 08/28/2009 Certified 09/02/2009 1
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
OCC Rules implementing a minimum clearing fund size designed to permit OCC to draw in full on its committed credit facilities that are secured by the clearing fund; SR-OCC-2012-19. 10/18/2012 Certified 11/02/2012 1
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
OCC Proposed amendments to OCC's By-Laws to provide OCC with authority in emergency circumstances, subject to certain conditions, to waive or suspend the operation of its By-Laws, Rules, policies and procedures, or any other rules issued by OCC. 01/09/2014 Certified 01/25/2014 1
OCC OCC Rule Certification to Expand the Use of OCC's Synthetic Futures Model 04/30/2021 Certified 05/14/2021 2
OCC Proposed rule change concerning the interest rates used for options pricing in the STANS Methodology Description 10/06/2021 Certified 10/21/2021 2
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0
OCC Proposed changes to The Options Clearing Corporation's framework for liquidity risk management. 06/09/2020 Certified 06/23/2020 2
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC Rule changes related to the central clearing of OTC index options on the S&P 500 Index. 08/30/2012 Certified 09/15/2012 1
OCC This proposed rule change addresses implementation of Section 871(m) of the Internal Revenue Code of 1986. 10/19/2016 Certified 11/02/2016 1
OCC Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. 03/22/2010 Non-Approval 06/14/2010 2
OCC Housekeeping revisions relating to financial reporting by Canadian Clearing Members to reflect the Investment Industry Regulatory Organization of Canada's adoption of the International Financial Reporting Standards; SR-OCC-2012-15. 09/05/2012 Certified 09/20/2012 1
OCC Change to clearing agreement schedule with ELX to add the clearing of 3 month, $1,000,000 Eurodollar Time Deposit futures contracts. 06/16/2010 Certified 06/18/2010 1
OCC Proposed rule change concerning The Options Clearing Corporation's escrow deposit program. 08/30/2016 Certified 09/14/2016 1
OCC Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees. 07/31/2020 Certified 08/14/2020 2
OCC By-Law amendment to modify provisions that determine whether outstanding stock options will be adjusted to reflect special cash dividends. 07/24/2008 Certified 07/29/2008 1
OCC Proposed amendments to OCC Rule 1111. 04/19/2022 Certified 05/03/2022 3
OCC Amendment changing description of fixed exercise settlement amount and clarifying that escrow deposits are not permitted in respect of binary options 07/23/2008 Certified 07/29/2008 1
OCC This proposed rule change will facilitate OCC's compliance with CFTC requirements for DCOs that accept deposits of futures customer funds. 02/26/2014 Certified 03/13/2014 1
OCC Proposed rule change concerning changes to OCC's management structure. 02/27/2017 Certified 03/13/2017 2
OCC Changes clarify when OCC may refuse a margin withdrawal request or request additional intra-day margin. SR-OCC-2012-21. 11/13/2012 Certified 11/29/2012 1
OCC ByLaw V, VIII, Margin Committee to Risk Committee 07/19/2006 Certified 07/19/2006 1