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 |