OCC |
Rule Certification Concerning Updates to OCC's Collateral Risk Management Policy and Margin Policy |
12/04/2023 |
Certified |
12/18/2023 |
|
2 |
OCC |
Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, andClearing Fund and Stress Testing Methodology. |
11/19/2019 |
Certified |
12/04/2019 |
|
2 |
OCC |
Rule primarily applicable to securities |
09/25/2006 |
Certified |
09/25/2006 |
|
1 |
OCC |
Proposed rule change to enhance OCC's Stock Loan/Hedge Program and Market Loan Program. |
03/23/2017 |
Certified |
04/06/2017 |
|
2 |
OCC |
Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Margin Policy,Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology toaddress Specific Wrong-Way Risk. |
11/19/2019 |
Certified |
12/04/2019 |
|
2 |
OCC |
Rule primarily applicable to securities |
07/24/2006 |
Certified |
07/24/2006 |
|
1 |
OCC |
Rule change allowing clearing members to use OCC systems to update certain non-critical trade data in respect of exchange transactions involving securities and other options, provided that such update does not contravene any exchange rules |
06/07/2011 |
Certified |
06/07/2011 |
|
1 |
OCC |
Technical change related to mini options to clarify that the same adjustment treatment thresholds that were added to Article VI, Section 11A(c)(ii) are also meant to extend to contracts overlying fund shares; SR-OCC-2013-01. |
02/14/2013 |
Certified |
03/02/2013 |
|
1 |
OCC |
Rule primarily applicable to securities |
07/12/2006 |
Certified |
07/12/2006 |
|
1 |
OCC |
Private auction process by which OCC may liquidate all or any part of a suspended Clearing Member's account; SR-OCC-2012-11 |
07/03/2012 |
Certified |
07/18/2012 |
|
1 |
OCC |
Proposed rule change to revise The Options Clearing Corporation's Schedule of Fees. |
03/12/2019 |
Certified |
03/26/2019 |
|
2 |
OCC |
Rule primarily applicable to securities |
06/26/2006 |
Certified |
06/26/2006 |
|
1 |
OCC |
Amend Bylaws to allow OCC to approve OCC's form of clearing member application and form of clearing agreement; SR-OCC-2012-12 |
07/10/2012 |
Withdrawn |
07/16/2012 |
|
2 |
OCC |
Rule primarily applicable to securities |
06/08/2006 |
Certified |
06/08/2006 |
|
1 |
OCC |
Proposed rule change concerning the implementation of new Sufficiency Scenarios in The Options Clearing Corporation's stress testing inventory. |
12/16/2020 |
Certified |
12/31/2020 |
|
2 |
OCC |
Rule primarily applicable to securities |
04/26/2006 |
Certified |
04/26/2006 |
|
1 |
OCC |
This proposed rule change would provide that OCC's President will be its Chief Operating Officer, and that the President will not be a Management Director. |
10/21/2014 |
Certified |
11/04/2014 |
|
2 |
OCC |
Proposed Rule Change to Enhance The Options Clearing Corporation's Stock Loan Close-Out Process |
09/01/2020 |
Certified |
09/16/2020 |
|
2 |
OCC |
Rule primarily applicable to securities |
01/12/2006 |
Certified |
01/12/2006 |
|
1 |
OCC |
Rule primarily applicable to securities |
01/11/2006 |
Certified |
01/11/2006 |
|
1 |
OCC |
Proposed rule change related to The Options Clearing Corporation's clearing membership approval process. |
05/16/2016 |
Certified |
05/31/2016 |
|
1 |
OCC |
Adoption of interpretative guidance regarding the administration and application of a new adjustment method for cash dividends and distributions |
05/23/2008 |
Certified |
05/27/2008 |
|
1 |
OCC |
Proposed rule change to establish the OCC Regulatory Committee and adopt the OCC Regulatory Committee Charter |
10/23/2019 |
Certified |
11/06/2019 |
|
1 |
OCC |
Proposed rule change to amend OCC's By-Laws to clarify that the Board may, in its discretion, designate that the Chief Operating Officer also serve as President of OCC. |
05/05/2017 |
Certified |
05/19/2017 |
|
1 |
OCC |
Submission under 40.6(d)(2)(i) to notify CFTC of a change in OCC's principal office. |
05/23/2018 |
Notified |
05/23/2018 |
|
1 |
OCC |
Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. |
04/30/2019 |
Certified |
05/14/2019 |
|
2 |
OCC |
The proposed rule change concerns monthly resizing of the clearing fund and the addition of financial resources. |
12/01/2014 |
Certified |
12/15/2014 |
|
1 |
OCC |
Changes to rules re: clearance of stock loan transactions in Market Loan and Stock Loan programs; proposed changes to clearing agreement between OCC and operator of the Loan Market. |
03/22/2012 |
Certified |
04/06/2012 |
|
1 |
OCC |
This proposed rule change would permit the Executive Chairman, the President or their delegate to approve requests by a Hedge Clearing Member to become a Market Loan Clearing Member. |
10/24/2014 |
Certified |
11/07/2014 |
|
1 |
OCC |
Rule Certification Concerning Implementation of Settlement Timing Changes |
05/24/2022 |
Certified |
06/08/2022 |
|
1 |
OCC |
Rescinds a policy interpretation adopted by OCC's Securities Committee with respect to adjustments of listed equity options for dividends, and the corresponding policy in OCC bylaws applicable to security futures. |
03/26/2012 |
Certified |
04/10/2012 |
|
1 |
OCC |
Self-certification of rule changes related to the Governance Committee charter. |
10/25/2013 |
Certified |
11/12/2013 |
|
1 |
OCC |
Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options Clearing Corporation's margin methodology. |
05/01/2019 |
Withdrawn |
05/06/2019 |
|
2 |
OCC |
The purpose of this proposed rule change is to revise OCC's Schedule of Fees in accordance with its new Fee Policy. |
12/31/2015 |
Certified |
01/15/2016 |
|
2 |
OCC |
Rule Certification Concerning Clearing Member Cybersecurity Attestation Program |
05/25/2022 |
Certified |
06/09/2022 |
|
1 |
OCC |
Rule change to modify fee schedule to adopt fee for Stock/Loan Hedge and Market Loan Program transactions |
03/06/2009 |
Certified |
03/12/2009 |
|
1 |
OCC |
Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. |
05/24/2012 |
Certified |
06/09/2012 |
|
1 |
OCC |
OCC is proposing to modify its rules to provide clarification regarding the applicability of certain provisions of OCC's By-Laws and Rules to the clearance and settlement of GLN 10 oz. Gold Futuress, which are proposed to be traded by NFX. SR-OCC-2013-11 |
07/25/2013 |
Certified |
08/09/2013 |
|
1 |
OCC |
Proposed rule change to adopt a new Second Amended and Restated Cross-Margining Agreement between OCC and the Chicago Mercantile Exchange. |
10/08/2020 |
Certified |
10/23/2020 |
|
2 |
OCC |
Rule primarily applicable to securities |
12/09/2005 |
Certified |
12/09/2005 |
|
1 |
OCC |
Modify corporate governance structure of OCC, OCC-2012-01 |
01/20/2012 |
Certified |
02/04/2012 |
|
1 |
OCC |
Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel. |
10/28/2021 |
Certified |
11/12/2021 |
|
2 |
OCC |
Rule primarily applicable to securities |
11/09/2005 |
Certified |
11/09/2005 |
|
1 |
OCC |
Proposed rule change to modify The Options Clearing Corporation's fees for exercise notices submitted after the deadlines and to change the deadline for submitting a late exercise notice on non-expiration dates. |
02/11/2020 |
Certified |
02/26/2020 |
|
1 |
OCC |
Rule primarily applicable to securities |
10/13/2005 |
Certified |
10/13/2005 |
|
1 |
OCC |
Amendment to interp providing guidance relating to new method for adjusting security options for cash dividends and distributions |
01/06/2009 |
Certified |
01/15/2009 |
|
1 |
OCC |
OCC-2006-19 OCC Bankruptcy Procedures |
10/12/2006 |
Certified |
10/12/2006 |
|
1 |
OCC |
Rule primarily applicable to securities |
09/29/2005 |
Certified |
09/29/2005 |
|
1 |
OCC |
Rule change clarifying that an individual may occupy more than one Exchange directorship and if so, would count as separate director for each for all bylaw purposes |
01/12/2009 |
Certified |
01/15/2009 |
|
1 |
OCC |
Rule primarily applicable to securities |
08/16/2005 |
Certified |
08/16/2005 |
|
1 |