Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule Certification Concerning OCC's Risk Management Framework and Corporate Risk Management Policy 10/25/2022 Certified 11/08/2022 6
OCC PBOT Clearing Agreement 10/31/2003 Certified 10/31/2003 1
OCC Rule changes creating a framework for OCC to provide clearing services for stock loan and borrow transactions effected through electronic trading systems. 12/22/2008 Certified 12/30/2008 1
OCC Settlement of Stock Futures 08/21/2003 Certified 08/21/2003 1
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 07/22/2014 Certified 08/04/2014 1
OCC Proposed rule change to adopt a new minimum cash requirement for the Clearing Fund. 12/20/2017 Certified 01/05/2018 2
OCC Proposed rule change to require that an Actionable Identifier be included on Customer and Non-Customer securitiesoptions trades other than Market Maker trades. 04/15/2019 Certified 04/29/2019 1
OCC Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee in its schedule of fees pursuant to its Capital Management Policy 03/24/2020 Certified 04/07/2020 2
OCC Appointed Clearing Members 08/21/2003 Certified 08/21/2003 1
OCC Amendments to Fitness Standards; statutory disqualifications SR-OCC-2012-03 03/15/2012 Certified 03/30/2012 1
OCC Proposed rule change concerning the adoption of the Technology Committee of OCC's Board of Directors. 11/30/2015 Certified 12/14/2015 1
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. 07/29/2010 Certified 07/29/2010 1
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." 07/29/2010 Certified 07/29/2010 1
OCC Technical amendments to fitness standards for directors, clearing members and others 05/15/2012 Certified 05/31/2012 1
OCC The Options Clearing Corporation proposes to amend its By-Laws and rules in order to enhance the measurement used to establish minimum capital requirements for banks approved to issue letters of credit. 03/06/2015 Certified 03/20/2015 1
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
OCC Technical clarification to Rule 1506 which prohibits the deposit in lieu of margin in respect of certain options to add references to range options. 12/31/2008 Certified 01/02/2009 1
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 09/30/2020 Certified 10/15/2020 2
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
OCC This proposed rule change will permit OCC to adjust the size of its clearing fund intra-month and clearing member's clearing fund contributions intra-month. 07/24/2014 Certified 08/07/2014 2
OCC Proposed rule change to make clarifying and conforming changes to The Options Clearing Corporation's Margins Methodology and Margin Policy. 08/15/2018 Certified 08/29/2018 2
OCC Modification of fees applied to late exercise notices whether at expiration or non-expiration and circumstances under which cut-off time for submission of exercise instructions can be extended 12/07/2007 Certified 12/27/2007 1
OCC Changes to By-Laws to reflect the separation of the Chairman into two offices, Executive Chairman and President; SR-OCC-2013-09. 06/04/2013 Certified 06/19/2013 2
OCC Implementation of new discounted fee schedule and continuation of the market maker scratch fee discount effective 1/1/08 12/07/2007 Certified 12/27/2007 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. 07/24/2008 Approved 12/03/2008 1
OCC This proposed rule change expands the officers who may declare that a clearing member is summarily suspended from OCC. 01/23/2015 Certified 02/06/2015 1
OCC This proposed rule change would amend OCC's Schedule of Fees in accordance with its Fee Policy. 03/06/2015 Withdrawn 03/17/2015 1
OCC Reduction of threshold amounts used to determine the equity options that are deemed to be in the money for purposes of exercise by exception processing. 12/07/2007 Certified 12/27/2007 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares 12/14/2009 Approved 06/14/2010 2
OCC Rule amendment to establish jurisdictional status of Alpha Options 11/17/2011 Approved 01/30/2012 4
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Establishment of a program with ICE Clear for the cross-margining of certain securities options contracts with futures and options cleared by ICE Clear 12/12/2007 Certified 12/28/2007 1
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
OCC Updating rules related to clearing physically settled European-style options on U.S. Treasury notes and bonds with a unit of trading of $10,000 traded on Nasdaq OMX PHLX, LLC; SR-OCC-2012-23. 11/30/2012 Certified 12/15/2012 1
OCC Proposed rule change concerning the commingling of certain non-customer margin assets with Clearing Fundcontributions in The Options Clearing Corporation's account at the Federal Reserve Bank of Chicago. 08/28/2020 Certified 09/14/2020 1
OCC Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
OCC Amendments to integrate common stocks and ETFs into the STANS margin calculation methodology 12/14/2007 Certified 12/28/2007 1
OCC By-Laws amendment to clarify that OCC will not commence the clearing of OTC S&P 500 Index Options until the SEC approves subsequent rule filing concerning certain enhancements to OCC's risk modeling and risk management procedures; SR-OCC-2012-14A1. 11/30/2012 Certified 12/15/2012 1
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
OCC Changes to Policy Statement re: Back-up Communication Channel to Internet Access; SR-OCC-2013-10 07/17/2013 Certified 08/01/2013 1
OCC Proposed rule change to permit Pass- Through Letters of Credit as a form of margin asset to satisfy margin obligations for futures positions held in segregated futures accounts that are not eligible to hold positions in security futures. 06/17/2016 Certified 07/01/2016 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule change with respect to OCC obligations to pay settlement amounts to clearing members generally, as well as in emergency situations. 04/28/2011 Certified 04/28/2011 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares 07/23/2008 Approved 12/03/2008 1
OCC Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i); SR-OCC-2012-17. 09/14/2012 Certified 09/29/2012 1