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 |