Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
NYMEX NYMEX Brent 25-Day Futures Incentive Program; 11-459 11/29/2011 Certified 12/14/2011 1
NYMEX NYMEX Brent Block Trade Broker Rebate Program 04/10/2012 Certified 04/25/2012 1
NYMEX NYMEX COMEX Energy and Metals Products Cross-Venue Incentive Program 11-416 11/14/2011 Certified 11/30/2011 2
NYMEX NYMEX Early Adopter Liquidity Provider Program; 12-207 06/18/2012 Certified 07/03/2012 2
NYMEX NYMEX Energy Products Incentive Program for High Volume Hedging Contributors; 12-229 07/11/2012 Certified 07/26/2012 2
NYMEX NYMEX European and Asian Petroleum Products Incentive Program, 12-014 01/13/2012 Certified 01/31/2012 2
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC OCC 2002-02, 3.14.06, Non Customers of Broker Dealers 03/14/2006 Certified 03/14/2006 0
OCC OCC 2006-03, 4.13.06, Fees for Ancillary Services 04/13/2006 Certified 04/13/2006 1
OCC OCC 2006-06(7), 5.15.06, Surcharge for Data Distribution Service 05/15/2006 Certified 05/15/2006 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
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