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 |