Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
SGX-DC Self-certification for amendments to SGX-DC Clearing Rules, to remove the criterion of price band checks for off-market trades (OTC, NLT, EFP and EFS trades) to be registered for clearing with SGX-DC. 06/05/2019 Certified 06/19/2019 1
SGX-DC Weekly notification of rule amendments for the week of 29 April 2019. 05/06/2019 Notified 05/06/2019 2
SGX-DC Weekly notification of rule amendments for the week of 10 December 2018. 12/19/2018 Notified 12/19/2018 2
SGX-DC Weekly notification of rule amendments for the week of 27 May 2019. 06/07/2019 Notified 06/07/2019 2
SGX-DC Weekly notification of rule amendments for the week of 21 May 2018. 05/27/2018 Notified 05/27/2018 2
SGX-DC Weekly notification of rule amendments for the week of 16 December 2019. 12/26/2019 Notified 12/26/2019 2
SGX-DC Weekly notification of rule amendments for the week of 19 August 2019. 08/28/2019 Notified 08/28/2019 2
SGX-DC Weekly notification of rule amendments for the week of 8 May 2017. 05/14/2017 Notified 05/14/2017 2
SGX-DC Introduction of a new trade registration system for the OTCF trades 11/02/2015 Certified 11/17/2015 1
SGX-DC Weekly notification of rule amendments for the week of 11 March 2019. 03/19/2019 Notified 03/19/2019 2
SGX-DC The Amendment is to remove the Eurodollar Futures from the list of contracts under Appendix 2 of SGX-DC Clearing Rules, associated with the removal of contracts from the Mutual Offset System link with Chicago Mercantile Exchange. 11/29/2019 Certified 12/12/2019 1
SGX-DC Self certification of amendments to SGX-DC Clearing Rules in relation to OTC Financial Derivatives for implementation in 2017. 09/27/2016 Certified 10/11/2016 1
SGX-DC Weekly notification of rule amendments for the week of 25 November 2019. 12/02/2019 Notified 12/02/2019 2
SGX-DC Weekly notification of rule amendments for the week of 27 November 2017. 12/07/2017 Notified 12/07/2017 2
SGX-DC Weekly notification of rule amendments for the week of 30 December 2019 till 31 December 2019. 01/07/2020 Notified 01/07/2020 2
SGX-DC Weekly notification of rule amendments for the week of 25 December 2017. 01/04/2018 Notified 01/04/2018 2
SGX-DC Weekly notification of rule amendments for the week of 12 June 2017. 06/18/2017 Notified 06/18/2017 2
SGX-DC Weekly notification of rule amendments for the week of 17 December 2018. 12/28/2018 Notified 12/28/2018 2
ONXCC Futures and Options Positions 07/09/2002 Certified 07/09/2002 0
OCC Rule Certification Concerning OCC's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit 01/19/2023 Certified 02/02/2023 3
OCC Rule changes to comply with Part 39 DCO regulations effective May 7, 2012; OCC-2012-06 04/10/2012 Certified 04/25/2012 1
OCC Proposed rule change concerning the requirement for Clearing Members to participate in default management testing. 03/28/2017 Certified 04/11/2017 2
OCC Modification of description of assignment proceudres for processing exercise notices to reflect expanded use of sub-accounts established by a clearing member for a single beneficial owner 10/09/2007 Certified 10/17/2007 1
OCC This proposed rule change concerns enhancements to OCC's governance arrangements. 02/24/2016 Certified 03/09/2016 2
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2022 12/15/2021 Certified 12/30/2021 3
OCC Amendment to the Third Amended and Restated Options Exercise Settlement Agreement between OCC and NSCC 11/17/2008 Certified 11/24/2008 1
OCC The proposed rule change concerns charters for the OCC Board of Directors, Membership/Risk Committee, Audit Committee, and Performance Committee. 10/17/2013 Certified 11/01/2013 1
OCC Proposed technical change to Interpretation and Policy .06 under Rule 601 in connection with the expansion of forms of collateral incorporated into STANS 08/25/2010 Certified 08/25/2010 1
OCC Proposed rule change to revise OCC's Schedule of Fees. 09/30/2016 Certified 10/17/2016 1
OCC Amendment to Interpretation and Policy .01 under Section 11A, Article VI and Interpretation and Policy .01 under Section 3, Article XII 08/31/2010 Certified 08/31/2010 1
OCC Certification of Proposed Change to Revise The Options Clearing Corporation's Schedule of Fees 09/28/2021 Certified 10/13/2021 1
OCC Changes to Stock Loan/Hedge Program and Market Loan Program; SR-OCC-2012-24. 12/13/2012 Withdrawn 01/09/2013 1
OCC OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service 05/15/2006 Certified 05/15/2006 1
OCC Technical changes to OCC's By-laws and Rules in connection with the modification of the individual registration categories of the Investment Industry Regulatory Organization of Canada. 11/08/2013 Certified 11/26/2013 1
OCC Proposed Rule Change to Modify the Sequence for Processing Options Transactions 04/17/2020 Certified 05/01/2020 1
OCC OCC-2006-04, 4.26.06, Policy Statement on Internet Access 04/26/2006 Certified 04/26/2006 1
OCC Amendment to Schedule of Fees in order to charge monthly fee to non-clearing member subscribers of certain non-proprietary data (i.e., product/series and prices) that elect to receive such data on a real-time basis; SR-OCC-2012-25. 12/14/2012 Certified 01/01/2013 1
OCC This proposed rule change concerns updated to clearing member documents. 11/04/2014 Certified 11/19/2014 1
OCC Proposed rule change concerning OCC's Counterparty Credit Risk Management Policy. 11/02/2017 Certified 11/17/2017 2
OCC Proposed rule change to make administrative updates to The Options Clearing Corporation's risk managementpolicies. 07/16/2019 Certified 07/30/2019 2
OCC Proposed rule change concerning The Options Clearing Corporation's Fee Policy. 01/09/2018 Certified 01/24/2018 2
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
OCC Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. 08/12/2009 Certified 08/18/2009 1
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
OCC Interp clarifying that "securities contracts" and 'commodity contracts" held by a CLM in a proprietary account are held pursuant to "a cross-margining agreement or similar arrangement" for purposes of Section 561(b)(3)(A) of the U.S. Bankruptcy Code 10/23/2007 Certified 10/29/2007 1
OCC Amend Rule 705 to add money market fund shares as a form of collateral that may be deposited with respect to cross-margin accounts to meet margin requirements. 06/10/2008 Certified 06/17/2008 1
OCC This change would consolidate OCC's Governance Committee and Nominating Committee into a single committee, make changes to OCC's nomination process for directors and increase the number of Public Directors on OCC's Board of Directors. OCC #SR-OCC-2014-09 05/13/2014 Certified 05/28/2014 1
OCC Rule amendment re jurisdictional status of cash settled options on CBOE SIlver ETF Volatility Index 09/27/2011 Approved 06/13/2013 12
OCC Rule changes related to the change of expiration date from the Saturday following the third Friday of the specified expiration month to the third Friday of the specified expiration month; SR-OCC-2013-04 and SR-OCC-2013-802. 04/17/2013 Certified 05/02/2013 2