Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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