Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Proposed rule change to extend the deadline for Clearing Members to provide an Actionable Identifier on customer and non-customer securities options trades other than Market Maker trades. 05/19/2020 Certified 06/03/2020 1
OCC Proposed rule change to facilitate reporting under Commodity Futures Trading Commission regulations applicable to Derivatives Clearing Organizations. 06/18/2018 Certified 07/02/2018 1
ICECC Proposed rule change to formalize ICC's Liquidity Risk Management Framework and to clarify ICC's authority to use, and to provide details as to how ICC would use, Guaranty Fund and House Initial Margin as an internal liquidity resource. 06/24/2014 Withdrawn 08/08/2014 2
OCC Proposed rule change to make administrative updates to The Options Clearing Corporation's Risk Management Policies. 06/11/2020 Certified 06/25/2020 2
OCC Proposed rule change to make administrative updates to The Options Clearing Corporation's risk managementpolicies. 07/16/2019 Certified 07/30/2019 2
OCC Proposed rule change to make clarifying and conforming changes to The Options Clearing Corporation's Margins Methodology and Margin Policy. 08/15/2018 Certified 08/29/2018 2
OCC Proposed rule change to modify OCC's rules regarding the exercise procedures for certain options on futures. 01/11/2018 Certified 01/26/2018 1
OCC Proposed rule change to modify The Options Clearing Corporation's fees for exercise notices submitted after the deadlines and to change the deadline for submitting a late exercise notice on non-expiration dates. 02/11/2020 Certified 02/26/2020 1
OCC Proposed Rule Change to Modify the Sequence for Processing Options Transactions 04/17/2020 Certified 05/01/2020 1
OCC Proposed rule change to permit Pass- Through Letters of Credit as a form of margin asset to satisfy margin obligations for futures positions held in segregated futures accounts that are not eligible to hold positions in security futures. 06/17/2016 Certified 07/01/2016 1
OCC Proposed rule change to provide OCC with authority in emergency circumstances to extend, waive or suspend the operation of its By-Laws, Rules, policies and procedures or any other rules issued by OCC. 12/27/2013 Withdrawn 01/09/2014 2
OCC Proposed rule change to require that an Actionable Identifier be included on Customer and Non-Customer securitiesoptions trades other than Market Maker trades. 04/15/2019 Certified 04/29/2019 1
OCC Proposed rule change to revise OCC's Schedule of Fees. 09/30/2016 Certified 10/17/2016 1
OCC Proposed rule change to revise OCC's Schedule of Fees. 01/24/2018 Certified 02/07/2018 2
OCC Proposed rule change to revise OCC's Schedule of Fees. 01/31/2018 Certified 02/14/2018 1
OCC Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees 05/10/2021 Certified 05/24/2021 2
OCC Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees. 07/31/2020 Certified 08/14/2020 2
OCC Proposed rule change to revise The Options Clearing Corporation's Schedule of Fees. 03/12/2019 Certified 03/26/2019 2
ICECC Proposed rule change to update ICC's policy regarding valuation of maturing U.S. Treasury securities, update ICC's collateral asset haircut methodology, and make revisions consistent with CFTC recommendations. 03/28/2014 Certified 04/12/2014 1
OCC Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee in its schedule of fees pursuant to its Capital Management Policy 03/24/2020 Certified 04/07/2020 2
OCC Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee pursuant to its Capital Management Policy 01/06/2021 Certified 01/21/2021 3
OCC Proposed rule change would make permanent the current discount clearing fee schedule for specified contracts, further discount the newly adopted clearing fee schedule, and modify the new product clearing fee schedule, effective May 1, 2007. 04/11/2007 Certified 05/01/2007 1
OCC Proposed rule change would require that intraday margin be collected and margin assets not be withdrawn when a clearing member's anticipated settlement obligations to OCC exceed liquidity resources available to OCC to satisfy such settlement obligations. 05/14/2014 Certified 05/29/2014 1
OCC Proposed rule changes concerning amendments to the charters for the Membership/RiskCommittee, Audit Committee, and Performance Committee of OCC's Board of Directors. 01/02/2014 Certified 01/17/2014 1
EUREX Proposed rule changes in Eurex Clearing Circular 017-18 related to Eurex Bonds termination, editorial amendments, specifications for debt collateral, STM Model, charging of mistrade fees, and securities lending 02/13/2018 Certified 02/27/2018 2
EUREX Proposed rule changes in Eurex Clearing Circular 057-16 related to CCP Lending Service and other clean-up amendments. Implementation date is May 23, 2016. 04/28/2016 Certified 05/12/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 064-16 related to changes to EurexOTC Clear IRS Release 6.1 and Clearing Member request to split ICM collateral pools. 05/19/2016 Certified 06/03/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 064-16 related to strengthening the default waterfall. 05/20/2016 Certified 06/06/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 070/16 05/31/2016 Certified 06/14/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 071/16 05/31/2016 Certified 06/14/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 076-16 related to delisting derivatives on the Dow Jones Global Titans and Dow Jones Sector Titans indices 06/08/2016 Certified 06/22/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 080-16 related to clarifying transaction fees for OTC Interest Rate Derivative transactions, the pledge agreement for certain securities accounts, and responsibilities for Clearing Fund contributions 06/23/2016 Certified 07/08/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 091-16 related to amending the Price List for EURIBOR futures and fees for securities lending, and clarifying the porting process 07/08/2016 Certified 07/22/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 092-16 related to allowing accounts with certain commercial banks for cash obligations, introduction of the British pound, allowing cash balances to be held in pounds, and introducing a settlement bank fee 07/11/2016 Certified 07/25/2016 . 2
EUREX Proposed rule changes in Eurex Clearing Circular 095-16 relating to introduction of new currency pairs and changes to existing currency pairs 07/20/2016 Certified 08/03/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 099-16 relating to introduction of new EURO STOXX 50 Index Total Return Futures 07/26/2016 Certified 08/09/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 102-16 relating to amending the Price List to further implement the introduction of the British pound and related to the Swiss franc 08/09/2016 Certified 08/23/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 104-06 relating to the introduction of new MSCI index futures and a designated market making agreement for these futures 08/16/2016 Certified 08/30/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 106-16 related to the settlement cycle for Spanish equities, allowable currencies for multicurrency cash accounts, an additional collaterization type for specific lenders, and publication of rule changes 08/19/2016 Certified 09/02/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 117-16 related to amendments to the Price List, a Form for using market-making accounts for proprietary trading activities, Clearing Agreements, and a Connection Agreement 09/16/2016 Certified 09/30/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 122-16 related to the introduction of a new product, Eurex Daily Futures on Mini-KOSPI200-Futures 10/12/2016 Certified 10/25/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 124-16 relating to Eurex Clearing Prisma Release 5.0 10/17/2016 Certified 10/31/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 125-16 relating to new currencies for Eurex Repo, allowing give-ups to m-accounts, clarifying the Price List, clarifying settlement finality, conversion of flex contracts, TES migration, and waiving a fee 10/17/2016 Certified 10/31/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 126-16 relating to introduction of an option on VSTOXX futures 10/18/2016 Certified 11/01/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 127-16 related to the introduction of EURO STOXX 50 Total Return Futures 10/21/2016 Certified 11/04/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 133-16 related to clarifying certain provision regarding the Clearing Fund, allowing additional currencies for EurexOTC Clear Service, and amending the Price List to introduce the Average Pric 10/31/2016 Certified 11/15/2016 2
EUREX Proposed rule changes in Eurex Clearing Circular 199-16 relating to a new collateralization type for Specific Lenders and clarification of the publication time period for Clearing Condition amendments 09/23/2016 Certified 10/07/2016 2
OCC Proposed rule changes to clarify OCC' s existing policy regarding use of clearing fund assets in anticipation of a clearing member default. 11/05/2013 Certified 11/21/2013 1
EUREX Proposed stated policy in Eurex Clearing Circular 006/21 related to change the calculation of Default Fund contributions from a percentage of Initial Margin approach to a Stress Loss-over-Margin (SLOM) based methodology 02/08/2021 Certified 02/23/2021 2
EUREX Proposed stated policy in Eurex Clearing Circular 044-18 related to trading hours extension for certain listed derivatives on Eurex Deutschland 05/14/2018 Certified 05/29/2018 2