Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Proposed rule change to adopt a new minimum cash requirement for the Clearing Fund. 12/20/2017 Certified 01/05/2018 2
OCC Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. 07/29/2010 Certified 07/29/2010 1
OCC Proposed rule change related to the voluntary termination by offset and re-matching of Matched-Book Positions in the Stock Loan/Hedge Program. 03/15/2016 Certified 03/29/2016 1
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology. 12/13/2017 Certified 12/28/2017 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 04/30/2019 Certified 05/14/2019 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 03/19/2019 Withdrawn 03/29/2019 2
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for incorporating variations inimplied volatility. 11/19/2018 Certified 12/04/2018 2
OCC Proposed rule change related to The Options Clearing Corporation's clearing membership approval process. 05/16/2016 Certified 05/31/2016 1
OCC Proposed rule change related to The Options Clearing Corporation's Board of Directors and Board CommitteeCharters. 09/20/2018 Certified 10/04/2018 1
OCC Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options ClearingCorporation's margin methodology. 07/18/2019 Certified 08/01/2019 2
OCC Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options Clearing Corporation's margin methodology. 05/01/2019 Withdrawn 05/06/2019 2
OCC Proposed rule change related to enhancements to the Vanilla Option Model and Smoothing Algorithm used in OCC's margin methodology. 08/28/2019 Certified 09/12/2019 2
OCC Proposed rule change concerning the U.S. market transition to a shortened settlement cycle. 06/13/2017 Certified 06/27/2017 1
OCC Proposed rule change concerning the requirement for Clearing Members to participate in default management testing. 03/28/2017 Certified 04/11/2017 2
OCC Proposed rule change concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation. 01/22/2021 Certified 02/05/2021 2
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 09/30/2020 Certified 10/15/2020 2
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 07/10/2020 Certified 07/24/2020 2
OCC Proposed rule change concerning The Options Clearing Corporation's Fee Policy. 01/09/2018 Certified 01/24/2018 2
OCC Proposed rule change concerning The Options Clearing Corporation's escrow deposit program. 08/30/2016 Certified 09/14/2016 1
OCC Proposed rule change concerning The Options Clearing Corporation's Collateral Risk Management Policy. 11/29/2017 Certified 12/13/2017 2
OCC Proposed rule change concerning the interest rates used for options pricing in the STANS Methodology Description 10/06/2021 Certified 10/21/2021 2
OCC Proposed rule change concerning the implementation of new Sufficiency Scenarios in The Options Clearing Corporation's stress testing inventory. 12/16/2020 Certified 12/31/2020 2
OCC Proposed rule change concerning the commingling of certain non-customer margin assets with Clearing Fundcontributions in The Options Clearing Corporation's account at the Federal Reserve Bank of Chicago. 08/28/2020 Certified 09/14/2020 1
OCC Proposed rule change concerning the adoption of the Technology Committee of OCC's Board of Directors. 11/30/2015 Certified 12/14/2015 1
OCC Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel. 10/28/2021 Certified 11/12/2021 2
OCC Proposed rule change concerning OCC's Risk Management Framework 10/25/2017 Certified 11/08/2017 2
OCC Proposed rule change concerning OCC's Model Risk Management Policy. 01/23/2018 Certified 02/06/2018 2
OCC Proposed rule change concerning OCC's Default Management Policy. 11/06/2017 Certified 11/21/2017 2
OCC Proposed rule change concerning OCC's Counterparty Credit Risk Management Policy. 11/02/2017 Certified 11/17/2017 2
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's stress testing and Clearing Fund methodology. 08/06/2018 Certified 08/20/2018 2
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Margin Policy,Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology toaddress Specific Wrong-Way Risk. 11/19/2019 Certified 12/04/2019 2
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, andClearing Fund and Stress Testing Methodology. 11/19/2019 Certified 12/04/2019 2
OCC Proposed rule change concerning changes to The Options Clearing Corporation's management structure. 02/01/2019 Certified 02/15/2019 1
OCC Proposed rule change concerning changes to OCC's management structure. 02/27/2017 Certified 03/13/2017 2
OCC Proposed rule change concerning an Agreement for Clearing and Settlement Services between The Options ClearingCorporation and Small Exchange, Inc. 12/06/2019 Certified 12/20/2019 1
OCC Proposed rule change concerning a proposed Capital Management Policy that would support The Options Clearing Corporation's function as a Systemically Important Financial Market Utility 10/15/2019 Certified 10/29/2019 2
OCC Proposed rule change by The Options Clearing Corporation concerning liquidity for same day settlement. 11/03/2017 Certified 11/20/2017 1
OCC Proposed rule change by The Options Clearing Corporation concerning its trade acceptance and novation rules. 05/04/2018 Certified 05/18/2018 1
OCC Proposed rule change by The Options Clearing Corporation concerning its Margin Policy. 01/11/2018 Certified 01/26/2018 2
OCC Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. 07/31/2018 Certified 08/14/2018 2
OCC Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. 06/06/2017 Certified 06/20/2017 2
OCC Proposed rule change by OCC concerns the implementation of new risk models in order to support the clearance and settlement of Asian-style flexibily structured options and flexibly structured Cliquet options. 05/01/2015 Certified 05/15/2015 1
ICECC Proposed rule amendments to permit clearing participants to use the "LSOC with excess" model, under which clearing participants may provide for excess customer related collateral to be transferred to and held at ICC under the LSOC regulations. 03/18/2014 Withdrawn 04/09/2014 3
MGEX Proposed Rule Amendments to MGEX Rulebook Chapter 23 (Bitnomial) 02/15/2023 Certified 03/02/2023 1
MGEX Proposed Rule Amendments in relation to MGEX Board of Directors delegated authority. 06/23/2023 Certified 07/10/2023 1
EUREX Proposed rule amendments in Eurex Cleraing Circular 090-21 related to the introduction of the Non-Deliverable Forwards (NDF) Clearing Service 10/12/2021 Certified 10/26/2021 4
EUREX Proposed rule amendments in Eurex Clearing Circulars 089-23,092-23,093-23,094-23 related to the introduction of Euroclear as an additional securities collateral location and other amendments related to products cleared outside Eurex Clearing's DCO lic 12/21/2023 Certified 01/05/2024 3
EUREX Proposed rule amendments in Eurex Clearing Circulars 039-24 related to the introduction of automatic intra-day margin processing and intra-day margin call communication enhancement 06/07/2024 Certified 06/21/2024 2
EUREX Proposed rule amendments in Eurex Clearing Circulars 035-24, 036-24 related to the introduction of EurexOTC Clear Release 17.0 and OTC SCIS and their integration into OTC IRD Pricing Pack subscriptions and multilateral compression services 05/29/2024 Certified 06/12/2024 2
EUREX Proposed rule amendments in Eurex Clearing Circulars 032-24, 033-24 related to exemption for the "Penalty Amount" in case of non-deliveries for Fixed Income Futures and EMIR Risk Committee Member rotation 05/08/2024 Certified 05/21/2024 2