Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Amendment of definition of "fund share" to include a security as defined in Section 3(a)(10) of the Securities Exchange Act of 1934. 10/04/2007 Certified 10/09/2007 1
OCC Revision to Article XII, Section 3, of OCC's by-laws to allow OCC to make adjustments to the settlement price of exchange-designated security futures for all cash dividends or distributions. 08/19/2010 Certified 08/19/2010 1
OCC Changes to accomodate clearing of cash-settled Agricultural Futures; Euribor Futures; and German Interest Rate Futures for ELX Futures exchange; 2011-16R 11/22/2011 Certified 12/08/2011 2
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Various changes to clearing fee schedule 08/03/2007 Certified 08/03/2007 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Amendment to definition of term Adjustment Increment with respect to stock futures. 02/26/2010 Certified 03/01/2010 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
OCC Rule primarily applicable to securities 04/01/2005 Certified 04/01/2005 1
OCC Rule primarily applicable to securities 03/23/2005 Certified 03/23/2005 1
OCC Close out netting 05/15/2007 Certified 06/01/2007 1
OCC Rule primarily applicable to securities 03/02/2005 Certified 03/02/2005 1
OCC Rule primarily applicable to securities 01/18/2005 Certified 01/18/2005 1
OCC Yield based Treasury options 05/24/2007 Certified 06/01/2007 1
OCC Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security 08/25/2010 Certified 08/25/2010 1
OCC Rule Certification Concerning Updates to OCC's Capital Management Policy and Cash and Investment Management Policy 07/21/2023 Certified 08/04/2023 2
OCC Rule primarily applicable to securities 12/21/2004 Certified 12/21/2004 1
OCC Non-material, "housekeeping" changes so OCC's By-Laws and Rules better reflect current operational practices; SR-OCC-2013-13. 08/05/2013 Certified 08/20/2013 1
OCC Rule primarily applicable to securities 12/17/2004 Certified 12/17/2004 1
OCC Structural changes to OCC's Membership/Risk Committee regardign Public Directors and the process for designating Membership/Risk Committee members; SR-OCC-2013-12. 08/02/2013 Certified 08/17/2013 1
OCC Rule primarily applicable to securities 12/13/2004 Certified 12/13/2004 1
OCC Proposed rule change related to enhancements to the Vanilla Option Model and Smoothing Algorithm used in OCC's margin methodology. 08/28/2019 Certified 09/12/2019 2
OCC Rule primarily applicable to securities 11/19/2004 Certified 11/19/2004 1
OCC Rule Certification Concerning Updates to OCC Rules, By-Laws, and Clearing Member Documents in Connection with a Shortened Settlement Cycle 01/18/2024 Certified 02/01/2024 2
OCC Rule primarily applicable to securities 06/25/2004 Certified 06/25/2004 1
OCC Amendments to rules needed to accommodate clearing of range options to be listed on CBOE. 05/28/2008 Certified 06/04/2008 1
OCC This prposed rule change would allow a clearing fee waiver for exchange new products. 08/28/2015 Withdrawn 09/09/2015 1
OCC Rule primarily applicable to securities 03/11/2004 Certified 03/11/2004 1
OCC Proposed rule changes to clarify OCC' s existing policy regarding use of clearing fund assets in anticipation of a clearing member default. 11/05/2013 Certified 11/21/2013 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 03/19/2019 Withdrawn 03/29/2019 2
OCC Proposed amendments to OCC's auction participation requirements. 04/13/2021 Certified 04/27/2021 1
OCC Rule primarily applicable to securities 02/23/2004 Certified 02/23/2004 1
OCC OCC By-Law amendments to allow the clearing and settling of flexibly structured options traded on CBOE consistently wtih CBOE's rules. 03/19/2009 Certified 03/20/2009 1
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 07/10/2020 Certified 07/24/2020 2
OCC Clearing of Real Estate Index Futures listed on CBOE Futures Exchange 07/19/2011 Certified 08/03/2011 1
OCC Certification of Updates to the Service Level Agreement Between OCC and CME under the Second Amended and Restated Cross-Margining Agreement 11/03/2021 Certified 11/18/2021 2
OCC Amending OCC's By-Laws to allow the Corporation to approve OCC's form of clearing member application and form of clearing agreement rather than its Board of Directors; SR-OCC-2012-12R 07/16/2012 Certified 07/31/2012 1
OCC This proposed rule change would accommodate the clearing of physically-settled single stock futures for which delivery would occur on the first business day after the maturity date. 01/28/2014 Certified 02/12/2014 1
OCC Certification to correct The Options Clearing Corporation's schedule of fees 11/03/2021 Certified 11/18/2021 2
OCC Rule Certification to Amend and Enhance OCC's Model Risk Management Policy 06/13/2023 Certified 06/28/2023 2
OCC This proposed rule change concerns implementation of principles-based risk control standards for options exchanges. 12/03/2015 Certified 12/17/2015 1
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC Amendment to Rule 309 to provide for expedited process for reviewing a managed clearing member's request to operate without a facilities management agreement 04/21/2008 Certified 04/21/2008 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
SGX-DC Weekly notification of rule amendments for the week of 14 November 2016. 11/20/2016 Notified 11/20/2016 2