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Withdrawn |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 |