Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Options exercise Cut-Off Time 12/02/2005 Certified 12/02/2005 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). Rule amendment makes it clear that only initial margin is implicated; SR-OCC-2012-17A1. 10/11/2012 Certified 10/26/2012 1
OCC OCC proposes to amend Rule 604 in order to make its existing policy concerning specified concentration limits related to deposits of certain letters of credit applicable to all letters of credit. 05/20/2014 Certified 06/05/2014 1
OCC Gasoline Index Futures 10/26/2005 Certified 10/26/2005 0
OCC Proposed rule changes concerning amendments to the charters for the Membership/RiskCommittee, Audit Committee, and Performance Committee of OCC's Board of Directors. 01/02/2014 Certified 01/17/2014 1
OCC This proposed rule change concerns the requirement for clearing members to participate in operational testing. 10/02/2015 Certified 10/19/2015 1
OCC FCMs: 90 Days to File ARs 07/14/2005 Certified 07/14/2005 1
OCC Allocation of Cleared Trades 12/13/2005 Certified 12/13/2005 1
OCC This proposed rule change concerns the time at which OCC accepts certain futures transactions that are either an exchange-for-physical or block trade. 12/08/2014 Certified 12/22/2014 1
OCC Futures Trade Matching 12/19/2006 Certified 01/08/2007 1
OCC Adjustment to Futures and Futures Options 12/23/2005 Certified 12/23/2005 1
OCC STANS Clearing Fund 12/12/2005 Certified 12/12/2005 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for incorporating variations inimplied volatility. 11/19/2018 Certified 12/04/2018 2
OCC Default: Liens on Clearing Member Accounts 12/16/2004 Certified 12/16/2005 0
OCC This proposed rule change would permit OCC to adjust the size of its clearing fund on an intra-month basis. 11/13/2014 Certified 11/28/2014 1
OCC Netting of Member Accounts in Case of OCC Bankruptcy 10/26/2005 Certified 10/26/2005 0
OCC Amendment to close out netting procedures with respect to FIN 39 06/22/2007 Certified 06/22/2007 1
OCC Amendment No. 2 to the Amended and Restated OCC - CME cross-margining agreement to redefine the term "eligible contract" and delete Appendix A. 05/22/2009 Certified 06/01/2009 1
OCC Correction of Post Submission Errors 10/26/2005 Certified 10/26/2005 0
OCC Rule change to reduce ancillary service fees charged to Tier I, II, III and IV clearing members and to reduce leased line charges for subscribing clearing members. 05/28/2009 Certified 06/01/2009 1
OCC XM Agreement: OCC-CORP 02/01/2005 Certified 02/01/2005 1
OCC Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 0
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2024 04/01/2024 Certified 04/15/2024 2
OCC Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
OCC This proposed rule chnage concerns modification of OCC's margin methodology by incorporating varions in implied volatility. 10/05/2015 Certified 10/20/2015 2
OCC Rule change to accommodate OCC's clearance of physically-settled futures contracts on U.S. Treasury Notes and Bonds. 07/01/2009 Certified 07/27/2009 1
OCC Rule amendment to clarify that index optinos cleared by OCC may include options on foreign currency indexes, inlcuding options on the ISE Leveraged USD Basket Index. 07/01/2009 Certified 07/01/2009 1
OCC Amendment to OCC's Schedule of Fees to set the per contract clearing fee for certain routing trades at $0.01; SR-OCC-2012-18. 09/28/2012 Certified 10/16/2012 1
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 08/21/2014 Certified 09/05/2014 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology. 12/13/2017 Certified 12/28/2017 2
OCC Rule Certification Concerning One Multiplier Options 08/18/2022 Certified 09/01/2022 1
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
OCC Rule change to revise minimum eligibility criteria applicable to common stock deposited as performance and to common stock loaned through OCC's Stock Loan Programs. 08/28/2009 Certified 09/02/2009 1
OCC Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
OCC Rules implementing a minimum clearing fund size designed to permit OCC to draw in full on its committed credit facilities that are secured by the clearing fund; SR-OCC-2012-19. 10/18/2012 Certified 11/02/2012 1
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
OCC Proposed amendments to OCC's By-Laws to provide OCC with authority in emergency circumstances, subject to certain conditions, to waive or suspend the operation of its By-Laws, Rules, policies and procedures, or any other rules issued by OCC. 01/09/2014 Certified 01/25/2014 1
OCC OCC Rule Certification to Expand the Use of OCC's Synthetic Futures Model 04/30/2021 Certified 05/14/2021 2
OCC Proposed rule change concerning the interest rates used for options pricing in the STANS Methodology Description 10/06/2021 Certified 10/21/2021 2
OCC Exercise Notices 07/02/2002 Certified 07/02/2002 0
OCC Proposed changes to The Options Clearing Corporation's framework for liquidity risk management. 06/09/2020 Certified 06/23/2020 2
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC Rule changes related to the central clearing of OTC index options on the S&P 500 Index. 08/30/2012 Certified 09/15/2012 1
OCC This proposed rule change addresses implementation of Section 871(m) of the Internal Revenue Code of 1986. 10/19/2016 Certified 11/02/2016 1
OCC Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. 03/22/2010 Non-Approval 06/14/2010 2