Designated Contract Market Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCX Notice to Members: Pre-Execution Discussions and Cross Trades 08/31/2012 Certified 09/18/2012 2
OCX Adding New OCX Rule 516 (Ownership and Control Reports) & Issuing Notice to Members 2015-7 (OneChicago Ownership and Control Reports) 03/19/2015 Certified 04/02/2015 1
OCX Amending OCX Rule 905 (Form of Specifications Supplement) 07/22/2016 Certified 08/05/2016 1
OCX Amendment to Rule 419 harmonizes the rules of OneChicago regarding regulatory halts. 06/15/2010 Certified 12/17/2010 2
OCX Revision to OneChicago Rule 307, Application of Rules and Jurisdiction and Revision to the cover page of the OneChicago Rulebook. 08/06/2012 Approved 08/21/2012 1
OCX Issuing Notice to Members 2016-16 (Renaming Regulatory Notices) 06/01/2016 Certified 06/15/2016 1
OCX Revising OneChicago Rule 417, Block Trading and the related Block Trading Notice. 09/10/2012 Certified 09/25/2012 1
OCX Provides procedures and regulatory oversight for the transfer of trades in a manner to ensure the integrity of the market (new Rule 422); and guidance on the offsetting of concurrent long and short positions (new Rule 423). 11/30/2009 Certified 12/17/2009 1
OCX Revises the OneChicago Policy for Error Trades and Mistrades and Adoption of Fee Schedule. 03/26/2010 Certified 04/02/2010 1
OCX OneChicago fee change 02/13/2019 Certified 02/28/2019 1
OCX Notice to Members - Position Limit Exemption Requests - requires that the requests be signed by an officer or director of the firm. OCX #14-001 03/11/2014 Certified 03/25/2014 1
OCX Amendment No.1 to OCX-OCC Clearing Agreement provides for the clearing of securities futures contracts adjusted for all dividends or distributions issued for the security underlying such contract, and for the indemnification by OCX of OCC. 09/29/2010 Certified 10/07/2010 1
OCX Amending OneChicago Rule 210 (Confidentiality and Employee Restrictions) 03/19/2018 Certified 04/02/2018 1
OCX Clarifying the term "without delay" in regards to the reporting/posting of a bi-lateral Exchange of Future for Physical and bi-lateral Block Trades to OCX. #2012-13 06/19/2012 Certified 07/04/2012 1
OCX OCX Rule 417 will be modified to decrease the minimum block trading quantity from twenty-five contracts to five contracts for its OCX.NoDivrisk products. OCX #14-003 05/28/2014 Certified 06/12/2014 1
OCX Adopting an Updated Error Trade Policy 10/27/2016 Certified 11/10/2016 1
OCX Notifies the CFTC that the elimination of the minimum contract size for EFP transactions using the BETS Automatic Matching feature. 08/11/2008 Certified 08/12/2008 1
OCX Amending OneChicago Rule 610 (Priority of Customers' Orders) and Adding Rule 621 (Front-Running) 03/20/2018 Certified 04/03/2018 1
OCX Amends OneChicago, LLC Operating Agreement to reflect the addition of Public Directors. 01/26/2010 Certified 02/02/2010 1
OCX Notice to Members affecting OCX.BETS Account Number Field Change. 12/22/2011 Certified 01/09/2012 1
OCX Amends Market Maker Registration Policy and Procedures and to Rule 515 (Exclusion ofr Market Makers). 06/09/2009 Certified 07/10/2009 1
OCX Provides notification of a change in market surveillance and compliance procedures. 04/09/2010 Certified 07/14/2010 1
OCX Amends Definition of Clearing Member (Rule 118). 06/10/2009 Certified 05/27/2010 1
OCX NTM 2014-33 provides guidance to market participants regarding the reporting of bilateral block and bilateral EFP trades 11/20/2014 Certified 12/05/2014 1
OCX Amends OCX Rule 419 (Regulatory Halts), to clarify the effective time of a halt on the Exchange. 11/03/2009 Certified 11/27/2009 1
OCX Amending OneChicago Rule 902 (Contract Specifications) to Reflect the Updated Securities Transaction Settlement Cycle 08/29/2017 Certified 09/13/2017 1
OCX Revisions to Rules 510 and 605 to update referenced organization name from NASD to FINRA and AMEX to NYSE AMEX. 11/16/2011 Certified 12/02/2011 1
OCX Notice to members regarding disclosure of payment for order flow. 07/09/2013 Certified 07/24/2013 1
OCX Amending Appendix B to Chapter 9 of the OneChicago Rulebook 06/06/2017 Certified 06/20/2017 1
OCX Issuing Notice to Members 2015-20 (Execution Fee Cap for OCX.NoDivRisk Products) 06/25/2015 Certified 07/10/2015 1
OCX Issuing NTM 2016-3 (Discontinuing Competitive Block Trades) 01/25/2016 Certified 02/08/2016 1
OCX Issuing NTM 2016-12 (OneChicago Ownership and Control Reports) 05/11/2016 Certified 05/25/2016 1
OCX Issuing Regulatory Release 2016-18 (Large Trader Reporting Guide) & Regulatory Release 2016-19 (OneChicago Ownership and Control Reports) 08/03/2016 Certified 08/17/2016 1
OCX Clarifying the distinction of an Exchange of Futures for Physical "EFP" transaction. OCX #2012-04 03/09/2012 Certified 03/26/2012 1
OCX Amendment to OneChicago Rule 419 Regulatory Halts to insure that the rules regarding regulatory halts are consistent with recent approval by the SEC in Release No.34-62252 dated 6/10/10. 07/13/2010 Certified 12/17/2010 1
OCX Removing References to the OCX.BETS and CBOEdirect Platforms 09/04/2014 Certified 09/18/2014 1
OCX Issuing Regulatory Release 2017-8 (OneChicago Ownership and Control Reports) 07/17/2017 Certified 07/31/2017 1
OCX Amending OCX Rule 601 (Fraudulent Acts) 01/17/2017 Certified 01/31/2017 1
OCX Amending OneChicago Rules 117 (Clearing Corporation) and 144 (OneChicago Workstation) to Remove References to CME and CBOE 10/18/2017 Certified 11/01/2017 1
OCX Removing Schedule A to Chapter 4 from the OneChicago Rulebook 09/14/2016 Certified 09/28/2016 1
OCX Issuing NTM 2015-47 (Large Trader Reporting Guide) 12/17/2015 Certified 01/04/2016 2
OCX Issuing Consolidated Exchange of Future for Physical Guidance 09/17/2018 Certified 10/01/2018 1
OCX Booking of EFP cash leg transactions to reflect fees. OCX #2012-14 07/02/2012 Certified 07/18/2012 1
OCX Amending OCX Rule 712 (Respondent Review of Evidence) 07/02/2015 Certified 07/17/2015 1
OCX Permits the Minimum Block Size to be 100 Contracts/Trade, or a Minimum Number of Contracts Equal to 10,000 Shares of the Underlying Security (or Combined Securities as Relevant) for Single Stock Futures that Have Trading Units Greater than 100 Shares. 02/02/2007 Certified 02/02/2007 1
OCX Revisions to OneChicago Rule 905 to support the trading and reporting of block and EFP trade/report in four decimal points. 07/13/2011 Certified 07/14/2011 1
OCX Issuing NTM 2017-12 (OneChicago Execution Fee Applied to CMTA Firm) 03/15/2017 Certified 03/29/2017 1
OCX Issuing Regulatory Release 2017-11 (Large Trader Reporting Guide) 09/05/2017 Certified 09/19/2017 1
OCX Amending OneChicago Rule 404 (Acceptable Orders) 10/26/2017 Certified 11/09/2017 1
OCX Extending the pilot program for lowered minimum block size for another 6 months. 03/26/2013 Certified 04/10/2013 1