Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
ICLREU2 Rule amendments to existing delivery procedures to accomodate new energy futures contracts to be listed on ICE Futures Europe and cleared by ICE Clear Europe. 04/12/2013 Certified 04/27/2013 1
ICECC Rule amendments to implement the Commission's Part 22 regulations for cleared swap customer collateral (commonly referred to as "LSOC"). 09/21/2012 Approved 11/05/2012 1
OCC Rule amendments to improve definitions of and establishing consistent usage for, the terms "settlement price" and "final settlement price" as applied to futures contracts cleared by OCC as well as to reflect a change in a service offered by OCC. 01/24/2008 Certified 02/04/2008 1
MIAX Rule amendments to incorporate certain ESMA standards. 11/01/2019 Certified 11/18/2019 1
LCHLTD Rule amendments to introduce "real time registration" ("RTR") for its ForexClear service as required under 17 C.F.R. 39.12(b)(7)(i). Changes include the addition of Minimum Excess Requirement and Mutualized Credit Extension. 02/13/2013 Certified 03/01/2013 1
LCHLLC Rule amendments to Risk Procedures, OTC terms and conditions and other definitions 06/08/2011 Certified 06/08/2011 1
SGX-DC Rule amendments to specify the methodology for calculation of final settlement prices of the SGX coal swaps contracts, which are intended to be accepted for clearing in July 2014. 05/27/2014 Certified 06/11/2014 1
SGX-DC Rule amendments to specify the methodology for calculation of final settlement prices of the SGX petrochemical swaps contracts, which are intended to be accepted for clearing in the fourth quarter of 2014 09/23/2014 Certified 10/06/2014 1
SGX-DC Rule amendments to the SGX-DC Clearing Rules related to (i) the limitation of liability and indemnity of SGX-DC, and (ii) the Disciplinary Committee and Appeals Committee under the SGX-DC Clearing Rules. 05/15/2019 Certified 05/29/2019 1
ICLR US Rule Amendments. 07/26/2021 Certified 08/09/2021 1
ICLREU2 Rule and procedure amendments related to the extension of customer clearing to credit default swap transactions. 09/13/2012 Certified 09/28/2012 1
ICLR US Rule and Risk Management Framework - Related to Delisting Digital Currency (Bitcoin) Contracts 09/29/2023 Certified 10/16/2023 2
OCC Rule Certification by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations 06/22/2023 Certified 07/07/2023 2
OCC Rule Certification by The Options Clearing Corporation Concerning Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions 02/20/2024 Certified 03/05/2024 2
OCC Rule Certification by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align with Recently Adopted CFTC Governance Requirements for Derivatives Clearing Organizations. 05/08/2024 Certified 05/22/2024 3
OCC Rule Certification by The Options Clearing Corporation Concerning Modifications to its Governance Documents to Align with Recently Adopted SEC Governance Rules. 11/07/2024 Certified 11/22/2024 11
OCC Rule Certification by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards 04/27/2023 Certified 05/11/2023 5
OCC Rule Certification by The Options Clearing Corporation Concerning Updates to Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description and Rules 06/11/2024 Certified 06/26/2024 3
OCC Rule Certification by The Options Clearing Corporation Concerning Updates to its Schedule of Fees. 05/24/2024 Certified 06/10/2024 2
OCC Rule Certification by The Options Clearing Corporation Concerning Updates to OCC's Capital Management Policy. 09/11/2024 Certified 09/25/2024 5
OCC Rule Certification by The Options Clearing Corporation Concerning Weekly Options and Short Term Options 03/25/2022 Certified 04/08/2022 1
OCC Rule Certification Concerning Clearing Member Cybersecurity Attestation Program 05/25/2022 Certified 06/09/2022 1
OCC Rule Certification Concerning Corrections to OCC's By-Laws 10/24/2022 Certified 11/07/2022 2
OCC Rule Certification Concerning Implementation of Settlement Timing Changes 05/24/2022 Certified 06/08/2022 1
OCC Rule Certification Concerning OCC's Cash and Investment Management Policy 02/01/2022 Certified 02/15/2022 3
OCC Rule Certification Concerning OCC's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit 01/19/2023 Certified 02/02/2023 3
OCC Rule Certification Concerning OCC's Governance Arrangements 03/25/2022 Certified 04/08/2022 1
OCC Rule Certification Concerning OCC's Risk Management Framework and Corporate Risk Management Policy 10/25/2022 Certified 11/08/2022 6
OCC Rule Certification Concerning One Multiplier Options 08/18/2022 Certified 09/01/2022 1
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 Modification of its Margin Methodology, System for Theoretical Analysis and Numerical (STANS), to Conform its Margin Model to the Contract Specifications for a New Exchange Product. 07/01/2024 Certified 07/16/2024 2
OCC Rule Certification Concerning The Options Clearing Corporation's Backtesting Framework and to Establish a Resource Backtesting Margin Charge 08/30/2024 Certified 09/16/2024 3
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 Capital Management Policy and Cash and Investment Management Policy 07/21/2023 Certified 08/04/2023 2
OCC Rule Certification Concerning Updates to OCCs Collateral Risk Management Policy and Margin Policy 12/04/2023 Certified 12/18/2023 2
MIAX 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
MIAX 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
MIAX 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