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 |
OCC |
Rule changes necessary to accommodate the introduction of delayed start options by CBOE |
10/09/2007 |
Certified |
10/29/2007 |
|
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 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 clarifying ForexClear and EnClear's rights to eject cleared contracts. |
04/29/2013 |
Certified |
05/14/2013 |
|
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 |
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 |
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 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 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 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 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 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 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 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 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 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 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 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 accommodate OCC's clearance of physically-settled futures contracts on U.S. Treasury Notes and Bonds. |
07/01/2009 |
Certified |
07/27/2009 |
|
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 |
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 |
NODALCL |
Rule change filing. |
05/08/2017 |
Certified |
05/22/2017 |
|
2 |
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 |
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 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 |
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 Certification to Support Cash Settled Flex ETF Options |
05/03/2022 |
Certified |
05/17/2022 |
|
1 |
OCC |
Rule Certification to Amend and Enhance OCC's Model Risk Management Policy |
06/13/2023 |
Certified |
06/28/2023 |
|
2 |
MGEX |
Rule certification that add Corporate Tax Futures to the MGEX reporting deadlines. |
05/04/2021 |
Certified |
05/18/2021 |
|
1 |
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 |
CCD |
Rule certification of the CCD Risk Management Procedures, |
11/01/2023 |
Certified |
11/16/2023 |
|
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 |
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 OCC's Collateral Risk Management Policy and Margin Policy |
12/04/2023 |
Certified |
12/18/2023 |
|
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 The Options Clearing Corporation's Implied Volatility Simulation Models |
03/10/2022 |
Certified |
03/24/2022 |
|
2 |
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 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 One Multiplier Options |
08/18/2022 |
Certified |
09/01/2022 |
|
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 OCC's Governance Arrangements |
03/25/2022 |
Certified |
04/08/2022 |
|
1 |
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 Cash and Investment Management Policy |
02/01/2022 |
Certified |
02/15/2022 |
|
3 |
OCC |
Rule Certification Concerning Implementation of Settlement Timing Changes |
05/24/2022 |
Certified |
06/08/2022 |
|
1 |
OCC |
Rule Certification Concerning Corrections to OCC's By-Laws |
10/24/2022 |
Certified |
11/07/2022 |
|
2 |
OCC |
Rule Certification Concerning Clearing Member Cybersecurity Attestation Program |
05/25/2022 |
Certified |
06/09/2022 |
|
1 |
OCC |
Rule Certification by The Options Clearing Corporation Concerning Weekly Options and Short Term Options |
03/25/2022 |
Certified |
04/08/2022 |
|
1 |