Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Proposed amendments to OCC's settlement times for margin and Clearing Fund deposits. 05/06/2022 Certified 05/20/2022 2
OCC Amendment to correct clerical errors to previous submission amending and supplementing rules to address certain issues related to OCC's Stock Loan/Hedge Program 10/20/2008 Certified 10/20/2008 1
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's stress testing and Clearing Fund methodology. 08/06/2018 Certified 08/20/2018 2
OCC Adoption of Governance Fitness Standards to comply with DCO Core Principle O 08/31/2011 Certified 09/16/2011 1
OCC The proposed rule change concerns the clearance and settlement of confirmed trades executed in extended and overnight trading sessions offered by exchanges for which OCC provides clearance and settlement services. 12/15/2014 Certified 12/30/2014 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC OCC is amending the proposed definition of "Section 871(m) Implementation Date" in its By-Laws to revise the date by which certain of OCC's Clearing Members must provide documentation to OCC showing that they are Qualified Derivatives Dealers. 12/08/2016 Notified 12/08/2016 2
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC OCC proposes to amend the short-form license agreement that must be signed by OCC clearing members seeking to clear OTC index options on underlying indices published by Standard & Poor's Financial Services LLC 05/21/2013 Certified 06/06/2013 1
OCC Proposed rule change to extend the deadline for Clearing Members to provide an Actionable Identifier on customer and non-customer securities options trades other than Market Maker trades. 05/19/2020 Certified 06/03/2020 1
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC This proposed rule change by The Options Clearing Corporation ("OCC") would adopt a Third-Party Risk Management Framework ("TPRMF") and retire the Counterparty Credit Risk Management Policy ("CCRMP"). 12/11/2020 Certified 12/28/2020 3
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC The proposed rule change concerns enhancements to OCC's governance arrangements. 02/01/2016 Certified 02/16/2016 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
OCC OCC proposes to process all sell transactions prior to the exercise of long options in Market-Maker accounts to ensure that only net long positions may be exercised. 07/17/2014 Certified 07/30/2014 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
OCC Rule amendment to clarify applicability of rules governing delivery of Treasury Securities underlying Treasury Futures to those with maturities greater than 25 years; SR-OCC-2012-20. 10/22/2012 Certified 11/06/2012 1
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
OCC This proposed rule change concerns pass-through letters of credit. 02/02/2016 Certified 02/17/2016 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
OCC Eliminate fees for three brochures; SR-OCC-2012-09 06/28/2012 Certified 07/14/2012 1
OCC This proposed rule change would modify the current process for systematically monitoring market conditions and performing adjustments to OCC's margin coverage when current market volatility increases beyond historically observed levels. 01/19/2017 Certified 02/02/2017 3
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
OCC Termination of OCC's Pledge program; SR-OCC-2012-10 06/28/2012 Certified 07/14/2012 1
OCC This proposed rule change concerns the account from which certain clearing members may fund the Additional Margin requirement associated with overnight trading sessions. 02/27/2015 Notified 02/27/2015 1
OCC Proposed rule change related to The Options Clearing Corporation's Board of Directors and Board CommitteeCharters. 09/20/2018 Certified 10/04/2018 1
OCC Amendments to OCC's stock loan and hedge program. 02/25/2008 Certified 02/29/2008 1
OCC Updates procedures to adjustment panel voting 05/07/2012 Certified 05/22/2012 1
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 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. 5
OCC New rule to accommodate futures contracts that are settled in a non-US currency. 10/22/2010 Certified 10/22/2010 1
OCC Proposed rule change concerning the U.S. market transition to a shortened settlement cycle. 06/13/2017 Certified 06/27/2017 1
OCC Proposed rule change concerning OCC's Risk Management Framework 10/25/2017 Certified 11/08/2017 2
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
OCC Rule Certification Concerning OCC's Governance Arrangements 03/25/2022 Certified 04/08/2022 1
OCC The proposed rule change and advance notice would provide for enhancements in OCC's margin model for longer-tenor options (i.e., those options with at least three years of residual tenor). 05/30/2013 Certified 06/14/2013 1
OCC The proposed rule change concerns certain new risk models designed to risk manage energy futures contracts and options on energy futures contracts. 03/02/2015 Certified 03/16/2015 1
OCC Rule Certification by The Options Clearing Corporation Concerning Weekly Options and Short Term Options 03/25/2022 Certified 04/08/2022 1
OCC This proposed rule change concerns an Agreement for Clearing and Settlement Services between OCC and NASDAQ Futures, Inc. 01/22/2015 Certified 02/05/2015 1
OCC OCC proposes to amend its Schedule of Fees, effective April 1, 2014, to reflect the elimination of a discount to OCC's clearing fee schedule. 03/17/2014 Certified 04/01/2014 2
OCC Proposed rule change concerning The Options Clearing Corporation's Collateral Risk Management Policy. 11/29/2017 Certified 12/13/2017 2
OCC Proposed rule change concerning a proposed Capital Management Policy that would support The Options Clearing Corporation's function as a Systemically Important Financial Market Utility 10/15/2019 Certified 10/29/2019 2
OCC Rule Certification Concerning Corrections to OCC's By-Laws 10/24/2022 Certified 11/07/2022 2
OCC CMTA Facility 10/10/2003 Certified 10/10/2003 1
OCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5