Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC This proposed rule change concerns administrative changes to OCC's Financial Resources Monitoring and Call Procedure. 06/18/2015 Certified 07/02/2015 2
OCC This proposed rule change concerns an Agreement for Clearing and Settlement Services between OCC and NASDAQ Futures, Inc. 01/22/2015 Certified 02/05/2015 1
OCC This proposed rule change concerns codification of procedures for resizing OCC's Clearing Fund on a monthly basis and increasing such Clearing Fund size on an intra-month basis. 06/18/2015 Certified 07/02/2015 1
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 08/21/2014 Certified 09/05/2014 1
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 07/22/2014 Certified 08/04/2014 1
OCC This proposed rule change concerns enhancements to OCC's governance arrangements. 02/24/2016 Certified 03/09/2016 2
OCC This proposed rule change concerns implementation of principles-based risk control standards for options exchanges. 12/03/2015 Certified 12/17/2015 1
OCC This proposed rule change concerns modifications and enhancements to OCC's governance arrangements. 07/27/2016 Certified 08/10/2016 3
OCC This proposed rule change concerns pass-through letters of credit. 02/02/2016 Certified 02/17/2016 1
OCC This proposed rule change concerns the account from which certain clearing members may fund the Additional Margin requirement associated with overnight trading sessions. 02/27/2015 Notified 02/27/2015 1
OCC This proposed rule change concerns the date of the annual meeting of The Options Clearing Corporation's stockholders. 01/07/2015 Certified 01/22/2015 1
OCC This proposed rule change concerns the requirement for clearing members to participate in operational testing. 10/02/2015 Certified 10/19/2015 1
OCC This proposed rule change concerns the time at which OCC accepts certain futures transactions that are either an exchange-for-physical or block trade. 12/08/2014 Certified 12/22/2014 1
OCC This proposed rule change concerns updated to clearing member documents. 11/04/2014 Certified 11/19/2014 1
OCC This proposed rule change expands the officers who may declare that a clearing member is summarily suspended from OCC. 01/23/2015 Certified 02/06/2015 1
OCC This proposed rule change is related to the adoption of OCC's Options Exchange Risk Control Standards Policy. 03/15/2016 Withdrawn 07/15/2016 2
OCC This proposed rule change sets forth a proposed Capital Plan for raising additional capital that would support OCC's function as a systemically important financial market utility. 01/15/2015 Certified 01/30/2015 1
OCC This proposed rule change will facilitate OCC's compliance with CFTC requirements for DCOs that accept deposits of futures customer funds. 02/26/2014 Certified 03/13/2014 1
OCC This proposed rule change will permit OCC to adjust the size of its clearing fund intra-month and clearing member's clearing fund contributions intra-month. 07/24/2014 Certified 08/07/2014 2
OCC This proposed rule change will permit OCC to better manage concentration and other risks associated with accepting deposits of common stock for margin purposes. 07/16/2014 Certified 07/29/2014 1
OCC This proposed rule change would accommodate the clearing of physically-settled single stock futures for which delivery would occur on the first business day after the maturity date. 01/28/2014 Certified 02/12/2014 1
OCC This proposed rule change would allow a clearing fee waiver for exchange new products. 09/02/2015 Certified 09/17/2015 1
OCC This proposed rule change would amend OCC's Schedule of Fees in accordance with its Fee Policy. 03/06/2015 Withdrawn 03/17/2015 1
OCC This proposed rule change would eliminate preferred stock and corporate bonds as acceptable forms of margin assets and make additional, conforming changes. 03/28/2014 Certified 04/12/2014 1
OCC This proposed rule change would modify the current process for systematically monitoring market conditions and performing adjustments to OCC's margin coverage when current market volatility increases beyond historically observed levels. 01/19/2017 Certified 02/02/2017 3
OCC This proposed rule change would permit OCC to adjust the size of its clearing fund on an intra-month basis. 11/13/2014 Certified 11/28/2014 1
OCC This proposed rule change would permit the Executive Chairman, the President or their delegate to approve requests by a Hedge Clearing Member to become a Market Loan Clearing Member. 10/24/2014 Certified 11/07/2014 1
OCC This proposed rule change would provide certain enhancements and clarifications with respect to OCC' s indemnification of its directors, officers and other personnel. 04/01/2014 Certified 04/16/2014 1
OCC This proposed rule change would provide for the calculation of initial margin requirements for segregated futures accounts through SPAN instead of STANS. 05/28/2014 Certified 06/12/2014 1
OCC This proposed rule change would provide OCC with expanded delegated authority to review and approve certain business expansion requests and facilities management agreements. 03/28/2014 Certified 04/12/2014 1
OCC This proposed rule change would provide that OCC's President will be its Chief Operating Officer, and that the President will not be a Management Director. 10/21/2014 Certified 11/04/2014 2
OCC This proposed rule chnage concerns modification of OCC's margin methodology by incorporating varions in implied volatility. 10/05/2015 Certified 10/20/2015 2
OCC This prposed rule change would allow a clearing fee waiver for exchange new products. 08/28/2015 Withdrawn 09/09/2015 1
CCH This Rule change amends the bank account requirements for applicants. 06/11/2015 Certified 06/25/2015 1
OCC This rule filing will make a non-material housekeeping change so that OCC's membership qualifications accurately reflect current operational practices. 12/06/2013 Certified 12/21/2013 1
CME This submission contains amendments to position limits and position accountability levels of Cleared Over-the-Counter Foreign Exchange Spot, Forward and Swap Contracts. 14-103R 03/17/2014 Certified 04/01/2014 1
CME This submission contains product title amendments for two DJ-UBS Commodity Index futures, and for three DJ-UBS Commodity Index Cleared Swaps to reflect a change in the index calculation agent from DJ to Bloomberg. #14-243 06/16/2014 Certified 07/01/2014 1
NADEX This Submission makes amendments to the Market Maker Agreement, to Rule 4.4 to align with the Market Maker Agreement amendments, to the Market Maker fees as set forth in the Fee Schedule, and to the Fee Schedule to clarify FCM Member fees 09/26/2014 Certified 10/10/2014 1
LCHLLC This submission reflects changes to the LCH.Clearnet LLC rulebook since 23 August 2012. 10/26/2012 Certified 11/10/2012 1
ICLREU2 To amend certain aspects of the ICEU Clearing Procedures and Delivery Procedures principally relating to equity futures and options contracts traded on the ICE Futures Europe market and cleared by ICE Clear Europe. 03/22/2016 Certified 04/04/2016 2
ICLREU2 To amend certain ICEU Rules and Clearing Procedures relating to the margining of Customer Accounts, principaslly in the case of Non-FCM/BD Clearing Members. 10/30/2015 Certified 11/16/2015 2
ICLREU2 To amend certain of the ICE Clear Europe risk margin and other policies relating to credit default swaps (CDS) and certain liquidity policies in order to facilitate compliance with requirements under the European Market Infrastructure Regulation. 11/24/2014 Certified 12/09/2014 2
ICLREU2 To amend ICEU's Clearing Rules, Clearing Procedures and CDS Procedures to implement certain requirements under MiFID II and MiFIR, and relating implementing regulations and technical standards relating to indirect clearing. 12/11/2017 Certified 12/26/2017 2
ICLREU2 To amend the ICE Clear Europe End-of-Day Pricing Discovery Policy to accommodate industry changes regarding the reduction of the frequency for which Single Name CDS contracts roll to the new on-the-run-contract. 12/03/2015 Certified 12/17/2015 2
ICLREU2 To clarify the account in which positions of affiliates of Clearing Members are to be maintained, in light of applicable US and EU regulatory requirements. 04/28/2016 Certified 05/12/2016 2
ICLR US To extend the benefits of a cross-margining program to non-members of the exchange 12/17/2007 Certified 12/28/2007 1
SGX-DC To facilitate SGX-DC's acceptance for clearing of the SGX Options on TSI FOB Australia Premium Coking Coal Swap 08/31/2017 Certified 09/14/2017 1
ICE NGX To make amendments relating to the ability to facilitate the listing for trading and clearing of a full load regulated rate option ("RRO") product. 05/29/2020 Certified 06/12/2020 1
ICLREU2 To modify certain aspects of the ICE Clear Europe CDS End-of-Day Price Discovery Policy to implement a new direct price submission process for Clearing Members. 03/10/2017 Certified 03/24/2017 2
ICLREU2 To modify certain provisions of the Clearing Procedures applicable to the exercise of option contracts in order to align with recent changes to ICE Futures Europe rules for certain energy option contracts. 12/15/2017 Certified 01/02/2018 2