Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. 06/06/2017 Certified 06/20/2017 2
OCC Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. 07/31/2018 Certified 08/14/2018 2
OCC Proposed rule change by The Options Clearing Corporation concerning its Margin Policy. 01/11/2018 Certified 01/26/2018 2
OCC Proposed rule change by The Options Clearing Corporation concerning its trade acceptance and novation rules. 05/04/2018 Certified 05/18/2018 1
OCC Proposed rule change by The Options Clearing Corporation concerning liquidity for same day settlement. 11/03/2017 Certified 11/20/2017 1
OCC Proposed rule change concerning a proposed Capital Management Policy that would support The Options Clearing Corporation's function as a Systemically Important Financial Market Utility 10/15/2019 Certified 10/29/2019 2
OCC Proposed rule change concerning an Agreement for Clearing and Settlement Services between The Options ClearingCorporation and Small Exchange, Inc. 12/06/2019 Certified 12/20/2019 1
OCC Proposed rule change concerning changes to OCC's management structure. 02/27/2017 Certified 03/13/2017 2
OCC Proposed rule change concerning changes to The Options Clearing Corporation's management structure. 02/01/2019 Certified 02/15/2019 1
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, andClearing Fund and Stress Testing Methodology. 11/19/2019 Certified 12/04/2019 2
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Margin Policy,Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology toaddress Specific Wrong-Way Risk. 11/19/2019 Certified 12/04/2019 2
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's stress testing and Clearing Fund methodology. 08/06/2018 Certified 08/20/2018 2
OCC Proposed rule change concerning OCC's Counterparty Credit Risk Management Policy. 11/02/2017 Certified 11/17/2017 2
OCC Proposed rule change concerning OCC's Default Management Policy. 11/06/2017 Certified 11/21/2017 2
OCC Proposed rule change concerning OCC's Model Risk Management Policy. 01/23/2018 Certified 02/06/2018 2
OCC Proposed rule change concerning OCC's Risk Management Framework 10/25/2017 Certified 11/08/2017 2
OCC Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel. 10/28/2021 Certified 11/12/2021 2
OCC Proposed rule change concerning the adoption of the Technology Committee of OCC's Board of Directors. 11/30/2015 Certified 12/14/2015 1
OCC Proposed rule change concerning the commingling of certain non-customer margin assets with Clearing Fundcontributions in The Options Clearing Corporation's account at the Federal Reserve Bank of Chicago. 08/28/2020 Certified 09/14/2020 1
OCC Proposed rule change concerning the implementation of new Sufficiency Scenarios in The Options Clearing Corporation's stress testing inventory. 12/16/2020 Certified 12/31/2020 2
OCC Proposed rule change concerning the interest rates used for options pricing in the STANS Methodology Description 10/06/2021 Certified 10/21/2021 2
OCC Proposed rule change concerning The Options Clearing Corporation's Collateral Risk Management Policy. 11/29/2017 Certified 12/13/2017 2
OCC Proposed rule change concerning The Options Clearing Corporation's escrow deposit program. 08/30/2016 Certified 09/14/2016 1
OCC Proposed rule change concerning The Options Clearing Corporation's Fee Policy. 01/09/2018 Certified 01/24/2018 2
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 09/30/2020 Certified 10/15/2020 2
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 07/10/2020 Certified 07/24/2020 2
OCC Proposed rule change concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation. 01/22/2021 Certified 02/05/2021 2
OCC Proposed rule change concerning the requirement for Clearing Members to participate in default management testing. 03/28/2017 Certified 04/11/2017 2
OCC Proposed rule change concerning the U.S. market transition to a shortened settlement cycle. 06/13/2017 Certified 06/27/2017 1
OCC Proposed rule change related to enhancements to the Vanilla Option Model and Smoothing Algorithm used in OCC's margin methodology. 08/28/2019 Certified 09/12/2019 2
OCC Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options Clearing Corporation's margin methodology. 05/01/2019 Withdrawn 05/06/2019 2
OCC Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options ClearingCorporation's margin methodology. 07/18/2019 Certified 08/01/2019 2
OCC Proposed rule change related to The Options Clearing Corporation's Board of Directors and Board CommitteeCharters. 09/20/2018 Certified 10/04/2018 1
OCC Proposed rule change related to The Options Clearing Corporation's clearing membership approval process. 05/16/2016 Certified 05/31/2016 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for incorporating variations inimplied volatility. 11/19/2018 Certified 12/04/2018 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 04/30/2019 Certified 05/14/2019 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 03/19/2019 Withdrawn 03/29/2019 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology. 12/13/2017 Certified 12/28/2017 2
OCC Proposed rule change related to the voluntary termination by offset and re-matching of Matched-Book Positions in the Stock Loan/Hedge Program. 03/15/2016 Certified 03/29/2016 1
OCC Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. 07/29/2010 Certified 07/29/2010 1
OCC Proposed rule change to adopt a new minimum cash requirement for the Clearing Fund. 12/20/2017 Certified 01/05/2018 2
OCC Proposed rule change to adopt a new Second Amended and Restated Cross-Margining Agreement between OCC and the Chicago Mercantile Exchange. 10/08/2020 Certified 10/23/2020 2
OCC Proposed rule change to amend OCC's By-Laws to clarify that the Board may, in its discretion, designate that the Chief Operating Officer also serve as President of OCC. 05/05/2017 Certified 05/19/2017 1
OCC Proposed rule change to amend the definition of Flexibly Structured Options. 07/16/2018 Certified 07/30/2018 1
OCC Proposed rule change to amend the Interpretations and Policies to OCC Rules 602 and 1103. 01/08/2021 Certified 01/25/2021 4
OCC Proposed rule change to enhance OCC's Stock Loan/Hedge Program and Market Loan Program. 03/23/2017 Certified 04/06/2017 2
OCC Proposed Rule Change to Enhance The Options Clearing Corporation's Stock Loan Close-Out Process 09/01/2020 Certified 09/16/2020 2
OCC Proposed rule change to establish the OCC Regulatory Committee and adopt the OCC Regulatory Committee Charter 10/23/2019 Certified 11/06/2019 1
OCC Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." 07/29/2010 Certified 07/29/2010 1
OCC Proposed rule change to extend term limits for Member Directors serving on The Options Clearing Corporation's Boardof Directors. 11/14/2018 Certified 11/29/2018 1