Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule Certification Concerning the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation. 11/01/2023 Certified 11/16/2023 4
OCC Rule Certification Concerning the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation. 02/13/2024 Certified 02/28/2024 4
OCC Rule Certification Concerning The Options Clearing Corporation's Implied Volatility Simulation Models 03/10/2022 Certified 03/24/2022 2
OCC Rule Certification Concerning Updates to OCC Rules, By-Laws, and Clearing Member Documents in Connection with a Shortened Settlement Cycle 01/18/2024 Certified 02/01/2024 2
OCC Rule Certification Concerning Updates to OCC's Collateral Risk Management Policy and Margin Policy 12/04/2023 Certified 12/18/2023 2
OCC Rule Certification Concerning Updates to OCC's Capital Management Policy and Cash and Investment Management Policy 07/21/2023 Certified 08/04/2023 2
MGEX Rule certification of amendments made to MGEX's Rulebook primarily in connection with default rules and procedures and recovery and wind-down plans required under CFTC Regulations 39.35 and 39.39. 12/19/2014 Certified 01/06/2015 1
CCD Rule certification of the CCD Risk Management Procedures, 11/01/2023 Certified 11/16/2023 2
MGEX Rule certification submission for updates to the MGEX Rulebook in connection with recovery and wind-down plans. 11/11/2014 Withdrawn 11/18/2014 1
MGEX Rule certification that add Corporate Tax Futures to the MGEX reporting deadlines. 05/04/2021 Certified 05/18/2021 1
OCC Rule Certification to Amend and Enhance OCC's Model Risk Management Policy 06/13/2023 Certified 06/28/2023 2
OCC Rule Certification to Support Cash Settled Flex ETF Options 05/03/2022 Certified 05/17/2022 1
OCC Rule change allowing clearing members to use OCC systems to update certain non-critical trade data in respect of exchange transactions involving securities and other options, provided that such update does not contravene any exchange rules 06/07/2011 Certified 06/07/2011 1
OCC Rule change certifying security futures contracts on two ETFs based on broad-based securities indices as eligible contracts for purposes of non=proprietary cross-margining. 04/17/2009 Certified 04/20/2009 1
LCHLLC Rule change clarifying how FCM Clearing Member requests for the return of excess amounts will be treated where the request does not specify whether the FCM clearing member seeks the return of Unallocated Excess or FCM Buffer. 11/08/2013 Certified 11/26/2013 1
OCC Rule change clarifying that an individual may occupy more than one Exchange directorship and if so, would count as separate director for each for all bylaw purposes 01/12/2009 Certified 01/15/2009 1
NODALCL Rule change filing. 05/08/2017 Certified 05/22/2017 2
CME Rule change relating to the removal of the SGD-SOR-Reuters and addition of SGD-SOR-VWAP reference rate for Singapore Dollar (SGD) denominated interest rate swaps (IRS). 09/27/2013 Certified 10/29/2013 1
LCHLTD Rule change that allows the clearing house to amend by circular the process and timings for the Portfolio Transfer Process. LCH is also issuing a circular with changes to the Portfolio Transfer Process for full and partial transfers without collateral. 06/10/2013 Certified 06/25/2013 1
OCC Rule change to accommodate OCC's clearance of physically-settled futures contracts on U.S. Treasury Notes and Bonds. 07/01/2009 Certified 07/27/2009 1
OCC Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. 07/01/2010 Certified 07/07/2010 1
OCC Rule change to accomodate Relative Performance Options (options on certain indexes measuring relative performance of one reference security or reference ndex relative to a second reference security or reference index). 01/19/2011 Certified 01/19/2011 1
OCC Rule change to accomodate requests from options exchanges that OCC clear options based on index-linked securities. 08/12/2009 Certified 08/18/2009 1
OCC Rule change to charge clearing fees for trades executed on OneChicago one side of which are cleared by CME equal to fees charged for trades both sides of which are cleared by OCC clearing members. 03/25/2009 Certified 04/16/2009 1
OCC Rule change to clarify applicability of OCC Rules to stock futures overlying index-linked securities; to eliminate de minimus exception relating to adjustments to stock futures overlying ETFs; and technical changes in response to cash-out events. 05/24/2012 Certified 06/09/2012 1
OCC Rule change to modify fee schedule to adopt fee for Stock/Loan Hedge and Market Loan Program transactions 03/06/2009 Certified 03/12/2009 1
OCC Rule change to permit dividend equivalent payments to be principally effected through the facilities of the DTC with respect to OCC's Market Loan Program. 09/28/2009 Certified 09/28/2009 1
OCC Rule change to provide that futures on CBOE Gold ETF Volatility Index will be treated as security futures 03/18/2011 Certified 03/18/2011 1
OCC Rule change to reduce ancillary service fees charged to Tier I, II, III and IV clearing members and to reduce leased line charges for subscribing clearing members. 05/28/2009 Certified 06/01/2009 1
OCC Rule change to revise minimum eligibility criteria applicable to common stock deposited as performance and to common stock loaned through OCC's Stock Loan Programs. 08/28/2009 Certified 09/02/2009 1
OCC Rule change to specify auction process as one possible way to liquidate a defaulting clearing member 06/30/2011 Certified 06/30/2011 2
OCC Rule change with respect to OCC obligations to pay settlement amounts to clearing members generally, as well as in emergency situations. 04/28/2011 Certified 04/28/2011 1
OCC Rule change would provide a new service for clearing members that are parties to a Clearing Member Trade Assignment ("CMTA") arrangement. Amends Article 1 - Section 1, Rule 403 and Rule 504 10/04/2010 Certified 10/04/2010 1
ICE NGX Rule changes and establishment of a new schedule to cover bilateral transactions which are trades entered into on NGX as a trading system but then not cleared through NGX, the clearing organization. 07/27/2009 Certified 08/11/2009 1
LCHLTD Rule changes clarifying ForexClear and EnClear's rights to eject cleared contracts. 04/29/2013 Certified 05/14/2013 1
OCC Rule changes creating a framework for OCC to provide clearing services for stock loan and borrow transactions effected through electronic trading systems. 12/22/2008 Certified 12/30/2008 1
LCHLTD Rule changes in support of the LCH.Clearnet Limited, ForexClear service introduction of Package Trades clearing. 09/09/2015 Certified 09/23/2015 1
OCC Rule changes necessary to accommodate the introduction of delayed start options by CBOE 10/09/2007 Certified 10/29/2007 1
ICLREU2 Rule changes obligating CDS clearing members to make certain payments related to FATCA as necessary. 05/13/2013 Certified 05/29/2013 2
ICLREU2 Rule changes obligating CDS clearing members to make certain payments related to FATCA as necessary. 05/19/2013 Certified 06/04/2013 1
ICLR US Rule changes re reallocation of risk and volume in calculating guaranty fund contribution, capital threshold for position risk and supermargin deposits, and standardization of capital reporting requirements. 03/26/2010 Certified 03/31/2010 1
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06(revised). 05/13/2013 Certified 05/29/2013 1
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06. 05/02/2013 Withdrawn 05/13/2013 2
MGEX Rule changes related to establishment of a Risk Management Committee, which replaces the Clearing House Committee. 04/03/2013 Certified 04/18/2013 1
OCC Rule changes related to the central clearing of OTC index options on the S&P 500 Index. 08/30/2012 Certified 09/15/2012 1
OCC Rule changes related to the change of expiration date from the Saturday following the third Friday of the specified expiration month to the third Friday of the specified expiration month; SR-OCC-2013-04 and SR-OCC-2013-802. 04/17/2013 Certified 05/02/2013 2
ICECC Rule changes related to the time frame under which trades must be accepted or rejected for clearing consistent with Commission Regulations 39.12(b)(7) and 23.506. 09/20/2012 Certified 10/05/2012 1
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05. 05/02/2013 Withdrawn 05/15/2013 2
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05(revised). 05/13/2013 Certified 05/29/2013 1
OCC Rule changes revising eligibility requirements for deposit of ETFs and stocks as margin. 04/14/2009 Certified 04/16/2009 1