Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
CME OCC as Clearinghouse 04/22/2002 Certified 04/22/2002 0
OCC OCC By-Law amendments to allow the clearing and settling of flexibly structured options traded on CBOE consistently wtih CBOE's rules. 03/19/2009 Certified 03/20/2009 1
OCC OCC is amending the proposed definition of "Section 871(m) Implementation Date" in its By-Laws to revise the date by which certain of OCC's Clearing Members must provide documentation to OCC showing that they are Qualified Derivatives Dealers. 12/08/2016 Notified 12/08/2016 2
OCC OCC is proposing to modify its rules to provide clarification regarding the applicability of certain provisions of OCC's By-Laws and Rules to the clearance and settlement of GLN 10 oz. Gold Futuress, which are proposed to be traded by NFX. SR-OCC-2013-11 07/25/2013 Certified 08/09/2013 1
OCC OCC plans to change its adjustment policy in its By-Laws to accommodate for mini options; SR-OCC-2012-16. 09/12/2012 Certified 09/27/2012 1
OCC OCC proposes to amend its Schedule of Fees, effective April 1, 2014, to reflect the elimination of a discount to OCC's clearing fee schedule. 03/17/2014 Certified 04/01/2014 2
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 OCC proposes to amend the short-form license agreement that must be signed by OCC clearing members seeking to clear OTC index options on underlying indices published by Standard & Poor's Financial Services LLC 05/21/2013 Certified 06/06/2013 1
OCC OCC proposes to process all sell transactions prior to the exercise of long options in Market-Maker accounts to ensure that only net long positions may be exercised. 07/17/2014 Certified 07/30/2014 1
OCC OCC Rule Certification Concerning Changes to its Governance Arrangements 08/09/2021 Certified 08/23/2021 2
OCC OCC Rule Certification Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility 02/15/2024 Certified 03/01/2024 2
OCC OCC Rule Certification to Establish A Persistent Minimum Level of Skin-In-The-Game 03/18/2021 Certified 04/01/2021 2
OCC OCC Rule Certification to Expand the Use of OCC's Synthetic Futures Model 04/30/2021 Certified 05/14/2021 2
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2022 12/15/2021 Certified 12/30/2021 3
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2023 02/06/2023 Certified 02/21/2023 2
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2024 04/01/2024 Certified 04/15/2024 2
OCC OCC-2006-04, 4.26.06, Policy Statement on Internet Access 04/26/2006 Certified 04/26/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
OCC OCC-2006-19 OCC Bankruptcy Procedures 10/12/2006 Certified 10/12/2006 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
OCC OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options 03/07/2007 Certified 03/07/2007 1
OCC Officers and Closing Writing Transactions 12/19/2001 Certified 12/19/2001 0
LX Operations Manual - Unredacted 03/12/2021 Certified 03/26/2021 2
LX Operations manual amendment 10/18/2017 Withdrawn 10/31/2017 3
LX Operations Manual amendment 09/19/2017 Certified 10/03/2017 2
LX Operations Manual Redacted 03/12/2021 Withdrawn 03/18/2021 1
LX Operations manual update reflecting process changes related to ACH deposits. 10/11/2022 Certified 10/25/2022 3
OCC Options exercise Cut-Off Time 12/02/2005 Certified 12/02/2005 1
NYMEX Original Margin Depositories and Letters of Credit 03/03/2005 Certified 03/08/2005 0
CCORP OTC Benchmark Treasury Futures Contracts 10/03/2006 Certified 10/16/2006 1
NYMEX OTC Broker Incentive Program 12/20/2011 Withdrawn 01/05/2012 2
NYMEX OTC Broker Incentive Program, 12-018 01/13/2012 Certified 01/31/2012 1
NYMEX OTC Coal Incentive Program 12/22/2011 Withdrawn 01/09/2012 2
NYMEX OTC Energy Options 07/26/2002 Certified 07/26/2002 0
NYMEX OTC Floor Member Guarantee 02/03/2006 Certified 02/03/2006 0
NYMEX OTC Look-Alike Contract Position Limits 03/19/2004 Certified 03/19/2004 1
NYMEX OTC Trade Submission 09/25/2002 Certified 09/25/2002 0
CCORP OTC Treasury Futures 05/08/2006 Certified 05/08/2006 1
BCC Ownership Structure 07/03/2001 Certified 07/03/2001 0
OCC PBOT Clearing Agreement 10/31/2003 Certified 10/31/2003 1
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
LCHLTD Penultimate Henry Hub Nat Gas Options & Swaps 01/16/2004 Certified 01/16/2004 0
CME Performance Bond Deposits Line of Credit 10/06/2003 Certified 10/06/2003 1
CME Performance Bond Requirement 07/05/2001 Certified 07/05/2001 0
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 04/23/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 4
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
NYMEX PJM Electricity Futures 04/10/2003 Certified 04/10/2003 0