Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
MIAX Rule certification that add Corporate Tax Futures to the MGEX reporting deadlines. 05/04/2021 Certified 05/18/2021 1
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
CCD Rule certification of the CCD Risk Management Procedures, 11/01/2023 Certified 11/16/2023 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
OCC Rule Certification Concerning Updates to OCCs 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
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 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 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
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 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 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 the Amendment of its Clearing Membership Standards 04/27/2023 Certified 05/11/2023 5
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 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 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 Clearing Member Cybersecurity Obligations 06/22/2023 Certified 07/07/2023 2
ICLR US Rule and Risk Management Framework - Related to Delisting Digital Currency (Bitcoin) Contracts 09/29/2023 Certified 10/16/2023 2