Designated Contract Market Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCX NTM 2020-03 (Carry Fee Change) 02/03/2020 Certified 02/18/2020 1
OCX Weekly Futures Rule Change. OCX #14-004A 06/05/2014 Certified 06/20/2014 2
OCX Issuing Regulatory Release 2016-14 (Decreasing Reportable Level to One Contract for All OneChicago Products) 06/16/2016 Certified 06/30/2016 1
OCX Amending OCX Rules 705 (Review of Investigative Reports) and 717 (Summary Imposition of Fines) and Issuing NTM 2015-48 (Summary Fine Schedule) 12/29/2015 Certified 01/13/2016 1
OCX Issuing NTM 2018-6 Block Calendar Spread Transactions 02/08/2018 Certified 02/23/2018 1
OCX One Year Extension of the Minimum Block Size Pilot Program. 09/20/2013 Certified 10/05/2013 1
OCX Issuing NTM 2018-15 (Reducing Fees) 04/10/2018 Certified 04/24/2018 1
OCX Notice to Members regarding exchange future for physical confirmations. 04/03/2013 Certified 04/18/2013 1
OCX Amending OCX Rule 424 (Concurrent Long and Short Positions) 09/19/2016 Certified 10/03/2016 1
OCX Amendment to Rule 417-Block Trading to clarify that prices for block trades must be reasonable. 06/10/2011 Certified 06/24/2011 1
OCX Regulatory notice regarding Block Trades to clarify permissible pricing and hedging activities for the block. 05/06/2011 Certified 05/06/2011 1
OCX Amending OCX Rule 403 (Order Entry) and Issuing Notice to Members 2015-6 (Audit Trail Requirements) 03/09/2015 Certified 03/23/2015 1
OCX Accommodates the initiation of the OneChicago Block & EFP Trading System by changes to Acceptable Orders, Execution of Orders and Exchange of Futures for Physical transactions, etc. 07/19/2007 Certified 08/01/2007 1
OCX Permits reporting of block trades and EFP transactions through the OneChicago Block & EFP Trading System and makes conforming amendments to OneChicago Policies: Block Trades, Pre-Execution Discussions and Cross Trades. 07/19/2007 Certified 08/01/2007 1
OCX Revisions to OneChicago Chapter 7 Rules Involving Discipline and Enforcement. 07/20/2012 Certified 08/04/2012 2
OCX Expanding Bilateral Block and EFP Trading Hours 10/23/2014 Certified 11/06/2014 1
OCX Amending Rule 417 (Block Trading) and Issuing Regulatory Release 2020-02 02/06/2020 Certified 02/21/2020 1
OCX Amending OneChicago Rule 617 (Disruptive Practices) 08/01/2017 Certified 08/15/2017 1
OCX Amendments to Rule 421 - Limitation of Liability; No Warranties. 11/21/2013 Certified 12/07/2013 1
OCX Amending OCX Rule 414 (Position Limits and Position Accountability) 09/21/2016 Certified 10/05/2016 1
OCX Issuing NTM 2017-8 (Implementing Delivery Fees & Tiered Carry Fees) 02/02/2017 Certified 02/16/2017 1
OCX Amending OCX Rule 403 (Order Entry) & Issuing NTM 2016-1 (Audit Trail Requirements) 01/04/2016 Certified 01/19/2016 1
OCX Removing Obsolete Provisions and Updating Cross References in the OneChicago Rulebook 05/24/2018 Certified 06/08/2018 1
OCX Provides New OCX Rule 207(n) and (o) and Revises Chapter 7 Discipline and Enforcement 12/23/2009 Certified 01/25/2010 1
OCX Amendments to the OCX Rulebook to Incorporate Weekly Futures with shortened physical delivery settlement cycles. 12/11/2013 Certified 12/27/2013 1
OCX Issuing Notice to Members 2015-40 (Execution Fee Cap for OCX.NoDivRisk Products - Pilot Program Extension) 12/01/2015 Certified 12/15/2015 1
OCX Weekly Notification of Rule Amendments for Week of April 6, 2015 04/16/2015 Notified 04/16/2015 1
OCX Consolidating Definitions, Removing Obsolete Definitions and Clarifying Rules in the OneChicago Rulebook- Chapter 1 03/14/2019 Certified 03/28/2019 1
OCX Amends OCX Rule 615 - Simultaneous Buying and Selling Order 10/28/2014 Certified 11/12/2014 1
OCX Revises Cross Trade Policy - to clarify the meaning of a cross-trade in an electronic marketplace. 05/19/2010 Certified 05/26/2010 1
OCX Amendment to Rule 307 (Application of Rules and Jurisdiction) 02/11/2020 Certified 02/26/2020 1
OCX Updating and Streamlining Rules - Chapter 3 05/06/2019 Certified 05/20/2019 1
OCX Provides Notice to Members of Relaxation of Market Maker Conditions. OCX #2008-04 09/24/2008 Certified 09/24/2008 1
OCX Regulatory Fee Change 11/01/2019 Certified 11/18/2019 1
OCX Provides Guidelines for Trading Halts due to System Failures. 11/14/2008 Certified 04/03/2009 1
OCX Opening parameters for all products on the Central Limit Order Book "CBOEdirect" will be any quote up to $5 wide. #2012-10 05/31/2012 Certified 06/15/2012 1
OCX Provides Notice of Change of Address. 02/12/2010 Certified 02/12/2010 1
OCX Emergency Rule Filing Accelerating Delivery for Contracts Expiring After September 18, 2020. (Effective Immediately) 09/04/2020 Certified 09/21/2020 1
OCX Amending OneChicago Rule 902 (Contract Specifications) to Permit Four Decimal Pricing for Outright Trades 06/16/2017 Certified 06/30/2017 1
OCX Issuing Regulatory Release 2016-23 (OneChicago Ownership and Control Reports) 09/27/2016 Certified 10/12/2016 1
OCX Adopting an Updated Error Trade Policy 05/31/2018 Certified 06/14/2018 1
OCX Amending OCX Rule 905 (Form of Specifications Supplement) 02/23/2016 Certified 03/08/2016 1
OCX Revisions to Rule 905 to support the trading and reporting of block and EFP trade/report in four decimal points. 07/26/2011 Certified 07/26/2011 1
OCX Adding New OCX Rule 418 (Futures Calendar Spread) 07/21/2015 Certified 08/04/2015 1
OCX Revised Pricing Change for Creation of a Narrow Based Index. OCX #2012-12 05/31/2012 Certified 06/11/2012 2
SMFE Weekly Notification of Rule Amendments 07/16/2021 Notified 07/16/2021 1
SMFE International Incentive Program 07/16/2021 Certified 07/30/2021 5
SMFE Market Maker Incentive Program 12/16/2022 Certified 01/03/2023 4
SMFE 1.Rebalance of the Small Cannabis Equity Index; and 2.Rebalance of the Small Cryptocurrency Equity Index 06/24/2022 Notified 06/24/2022 1
SMFE Market Maker Incentive Program 12/15/2021 Certified 12/30/2021 3