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 |