OCC |
OCC plans to change its adjustment policy in its By-Laws to accommodate for mini options; SR-OCC-2012-16. |
09/12/2012 |
Certified |
09/27/2012 |
|
1 |
OCC |
Technical amendments to the Stock Loan Hedge and Market Loan Program rules. |
03/25/2010 |
Certified |
03/31/2010 |
|
1 |
OCC |
Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). |
01/19/2011 |
Certified |
01/19/2011 |
|
1 |
OCC |
This proposed rule change would provide certain enhancements and clarifications with respect to OCC' s indemnification of its directors, officers and other personnel. |
04/01/2014 |
Certified |
04/16/2014 |
|
1 |
OCC |
Price Adjustments Dividends Distributions |
10/25/2004 |
Certified |
10/25/2004 |
|
0 |
OCC |
This proposed rule change would provide for the calculation of initial margin requirements for segregated futures accounts through SPAN instead of STANS. |
05/28/2014 |
Certified |
06/12/2014 |
|
1 |
OCC |
Amends definition of "fund share" to include a publicly traded interest in a trust, investment company or similar entity principally engaged in holding or managing one or more currencies. |
09/22/2006 |
Approved |
11/06/2006 |
|
2 |
OCC |
Variance Futures |
05/10/2004 |
Certified |
05/10/2004 |
|
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. |
02/13/2024 |
Certified |
02/28/2024 |
|
4 |
OCC |
Proposed rule change by The Options Clearing Corporation concerning its trade acceptance and novation rules. |
05/04/2018 |
Certified |
05/18/2018 |
|
1 |
OCC |
This proposed rule change concerns administrative changes to OCC's Financial Resources Monitoring and Call Procedure. |
06/18/2015 |
Certified |
07/02/2015 |
|
2 |
OCC |
This proposed rule change concerns codification of procedures for resizing OCC's Clearing Fund on a monthly basis and increasing such Clearing Fund size on an intra-month basis. |
06/18/2015 |
Certified |
07/02/2015 |
|
1 |
OCC |
This proposed rule change concerns modifications and enhancements to OCC's governance arrangements. |
07/27/2016 |
Certified |
08/10/2016 |
|
3 |
OCC |
Proposed rule change concerning OCC's Model Risk Management Policy. |
01/23/2018 |
Certified |
02/06/2018 |
|
2 |
OCC |
Proposed rule change to facilitate reporting under Commodity Futures Trading Commission regulations applicable to Derivatives Clearing Organizations. |
06/18/2018 |
Certified |
07/02/2018 |
|
1 |
OCC |
This proposed rule change sets forth a proposed Capital Plan for raising additional capital that would support OCC's function as a systemically important financial market utility. |
01/15/2015 |
Certified |
01/30/2015 |
|
1 |
OCC |
Rule change certifying security futures contracts on two ETFs based on broad-based securities indices as eligible contracts for purposes of non=proprietary cross-margining. |
04/17/2009 |
Certified |
04/20/2009 |
|
1 |
OCC |
Proposed rule change to revise OCC's Schedule of Fees. |
01/24/2018 |
Certified |
02/07/2018 |
|
2 |
OCC |
Amendments to ByLaws to accommodate clearing of conventional cash-settled commodity options, binary commodity options, and event options. |
03/18/2009 |
Certified |
04/21/2009 |
|
1 |
OCC |
Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 |
10/04/2010 |
Certified |
10/04/2010 |
|
1 |
OCC |
Permits OCC to clear and settle a type of credit default product traded by CBOE |
04/23/2007 |
Approved |
06/05/2007 |
The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. |
4 |
OCC |
Certification of Technical Changes to the By-Laws and Rules of the Options Clearing Corporation |
08/06/2021 |
Certified |
08/20/2021 |
|
2 |
OCC |
Rule Certification Concerning OCC's Cash and Investment Management Policy |
02/01/2022 |
Certified |
02/15/2022 |
|
3 |
OCC |
OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options |
03/07/2007 |
Certified |
03/07/2007 |
|
1 |
OCC |
Changes to ensure technical compliance with final CFTC Part 39 regulations |
12/19/2011 |
Certified |
01/05/2012 |
|
2 |
OCC |
Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees |
05/10/2021 |
Certified |
05/24/2021 |
|
2 |
OCC |
OCC Rule Certification Concerning Changes to its Governance Arrangements |
08/09/2021 |
Certified |
08/23/2021 |
|
2 |
OCC |
Elimination or reduction of fees to clearing members for theoretical profit and loss values |
09/18/2007 |
Certified |
09/19/2007 |
|
1 |
OCC |
SR-OCC-2014-04: Administrative and/or conforming rule changes to reflect the proposed renaming of the Membership/Risk Committee to Risk Committee and the position of Chairman to Executive Chairman. |
03/06/2014 |
Certified |
03/21/2014 |
|
1 |
OCC |
Rule change to specify auction process as one possible way to liquidate a defaulting clearing member |
06/30/2011 |
Certified |
06/30/2011 |
|
2 |
OCC |
Adding provisions to By-laws governing OCC's Stock Loan/Hedge Program to facilitate the use of such program by Canadian clearing members; SR-OCC-2013-03. |
03/08/2013 |
Certified |
03/23/2013 |
|
1 |
OCC |
The purpose of this proposed rule change is to revise OCC's Schedule of Fees as it relates to OCC's Stock Loan Program. |
07/29/2016 |
Certified |
08/12/2016 |
|
1 |
OCC |
Proposed rule change concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation. |
01/22/2021 |
Certified |
02/05/2021 |
|
2 |
OCC |
Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. |
06/06/2017 |
Certified |
06/20/2017 |
|
2 |
OCC |
Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. |
07/31/2018 |
Certified |
08/14/2018 |
|
2 |
OCC |
OCC Rule Certification Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility |
02/15/2024 |
Certified |
03/01/2024 |
|
2 |
OCC |
Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program |
12/16/2010 |
Certified |
12/16/2010 |
|
1 |
OCC |
This proposed rule change is related to the adoption of OCC's Options Exchange Risk Control Standards Policy. |
03/15/2016 |
Withdrawn |
07/15/2016 |
|
2 |
OCC |
Provide central clearing of OTC Index Options; OCC-2011-19 |
03/09/2012 |
Withdrawn |
03/09/2012 |
|
3 |
OCC |
Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05(revised). |
05/13/2013 |
Certified |
05/29/2013 |
|
1 |
OCC |
Rule Certification to Support Cash Settled Flex ETF Options |
05/03/2022 |
Certified |
05/17/2022 |
|
1 |
OCC |
Rule Certification by The Options Clearing Corporation Concerning Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions |
02/20/2024 |
Certified |
03/05/2024 |
|
2 |
OCC |
Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06(revised). |
05/13/2013 |
Certified |
05/29/2013 |
|
1 |
OCC |
Proposed rule change related to the voluntary termination by offset and re-matching of Matched-Book Positions in the Stock Loan/Hedge Program. |
03/15/2016 |
Certified |
03/29/2016 |
|
1 |
OCC |
Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. |
07/01/2010 |
Certified |
07/07/2010 |
|
1 |
OCC |
Proposed rule change to revise OCC's Schedule of Fees. |
01/31/2018 |
Certified |
02/14/2018 |
|
1 |
OCC |
This proposed rule change will permit OCC to better manage concentration and other risks associated with accepting deposits of common stock for margin purposes. |
07/16/2014 |
Certified |
07/29/2014 |
|
1 |
OCC |
OCC Rule Certification to Establish A Persistent Minimum Level of Skin-In-The-Game |
03/18/2021 |
Certified |
04/01/2021 |
|
2 |
OCC |
August 14, 2006, OCC-2006-14, Discounted Clearing Fees |
08/14/2006 |
Certified |
08/14/2006 |
|
1 |
OCC |
Amendments to eliminate foreign currency and foreign currency-denominated LOCs as eligible margin and render inoperative rules regarding physical delivery currency options since PHSX delisted them. |
05/15/2008 |
Certified |
05/19/2008 |
|
1 |