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 |