Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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 XM Agreement: OCC-CORP 02/01/2005 Certified 02/01/2005 1
OCC Clearing of USFE FX Contracts 09/20/2005 Certified 09/20/2005 0
OCC Rule amendment to obtain legal certainty with respect to options and security futures on Sprott Physical Gold Shares. 06/07/2010 Approved 05/27/2014 28
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 OCC Rule Certification to Update Its Operational Loss Fee for 2024 04/01/2024 Certified 04/15/2024 2
OCC Amend definition of "fund share" to clarify eligibility of SPDR Gold Trust Shares (f/k/a/ as streetTRACKS Gold Trust Shares) as underlying interests for options contracts that will be cleared as securities 02/05/2008 Approved 05/30/2008 5
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 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
OCC Rule amendment to clarify that index optinos cleared by OCC may include options on foreign currency indexes, inlcuding options on the ISE Leveraged USD Basket Index. 07/01/2009 Certified 07/01/2009 1
OCC Amendment to OCC's Schedule of Fees to set the per contract clearing fee for certain routing trades at $0.01; SR-OCC-2012-18. 09/28/2012 Certified 10/16/2012 1
OCC Obligation to Deliver 08/27/2002 Certified 08/27/2002 0
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 Proposed rule change related to The Options Clearing Corporation's margin methodology. 12/13/2017 Certified 12/28/2017 2
OCC Rule Certification Concerning One Multiplier Options 08/18/2022 Certified 09/01/2022 1
OCC Matched Trades, Multiple By-Laws 07/29/2002 Certified 07/29/2002 0
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 Accelerated Maturity of Stock Futures 07/25/2002 Certified 07/25/2002 0
OCC Rules implementing a minimum clearing fund size designed to permit OCC to draw in full on its committed credit facilities that are secured by the clearing fund; SR-OCC-2012-19. 10/18/2012 Certified 11/02/2012 1
OCC Futures and Options Positions 07/29/2002 Certified 07/29/2002 0
OCC Proposed amendments to OCC's By-Laws to provide OCC with authority in emergency circumstances, subject to certain conditions, to waive or suspend the operation of its By-Laws, Rules, policies and procedures, or any other rules issued by OCC. 01/09/2014 Certified 01/25/2014 1
OCC OCC Rule Certification to Expand the Use of OCC's Synthetic Futures Model 04/30/2021 Certified 05/14/2021 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 Exercise Notices 07/02/2002 Certified 07/02/2002 0
OCC Proposed changes to The Options Clearing Corporation's framework for liquidity risk management. 06/09/2020 Certified 06/23/2020 2
OCC Amended Clearing Agreement NASDAQ LIFFE 06/24/2002 Certified 06/24/2002 0
OCC Clearing Fund Formula 07/22/2002 Certified 07/22/2002 0
OCC OCC 06-11 Rule 828, margin collection schedule 08/07/2006 Certified 08/07/2006 0
OCC Rule changes related to the central clearing of OTC index options on the S&P 500 Index. 08/30/2012 Certified 09/15/2012 1
OCC This proposed rule change addresses implementation of Section 871(m) of the Internal Revenue Code of 1986. 10/19/2016 Certified 11/02/2016 1
OCC Amendment to clarify that cash-settled foreign currency options will be treated as securities options subject to the jurisdiction of the SEC. 03/22/2010 Non-Approval 06/14/2010 2
OCC Housekeeping revisions relating to financial reporting by Canadian Clearing Members to reflect the Investment Industry Regulatory Organization of Canada's adoption of the International Financial Reporting Standards; SR-OCC-2012-15. 09/05/2012 Certified 09/20/2012 1
OCC Change to clearing agreement schedule with ELX to add the clearing of 3 month, $1,000,000 Eurodollar Time Deposit futures contracts. 06/16/2010 Certified 06/18/2010 1
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 to Revise The Options Clearing Corporation's Schedule of Fees. 07/31/2020 Certified 08/14/2020 2
OCC By-Law amendment to modify provisions that determine whether outstanding stock options will be adjusted to reflect special cash dividends. 07/24/2008 Certified 07/29/2008 1
OCC Proposed amendments to OCC Rule 1111. 04/19/2022 Certified 05/03/2022 3
OCC Amendment changing description of fixed exercise settlement amount and clarifying that escrow deposits are not permitted in respect of binary options 07/23/2008 Certified 07/29/2008 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 Proposed rule change concerning changes to OCC's management structure. 02/27/2017 Certified 03/13/2017 2
OCC Changes clarify when OCC may refuse a margin withdrawal request or request additional intra-day margin. SR-OCC-2012-21. 11/13/2012 Certified 11/29/2012 1
OCC ByLaw V, VIII, Margin Committee to Risk Committee 07/19/2006 Certified 07/19/2006 1
OCC Change to By-Laws and Rules to accomodate options for which the premium and exercise price are expressed on other than a per unit basis. 01/14/2010 Certified 01/20/2010 1
OCC Rule amendment eliminates potential ambiguity as to OCC's right to use margin credited to Liquidating Settlement Account to settle mark-to-market payments arising from stock loan and borrow positions in customer accounts; SR-OCC-2012-22. 11/13/2012 Certified 11/29/2012 1
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05. 05/02/2013 Withdrawn 05/15/2013 2
OCC Rule changes revising eligibility requirements for deposit of ETFs and stocks as margin. 04/14/2009 Certified 04/16/2009 1
OCC Changes to Stock Loan/Hedge Program and Market Loan Program; SR-OCC-2012-24. 01/09/2013 Certified 01/25/2013 1
OCC Officers and Closing Writing Transactions 12/19/2001 Certified 12/19/2001 0
OCC Amendment to ByLaw to permit the clearing and settling of options on the realized variance and realized volatility of an index. 07/30/2008 Certified 07/31/2008 1
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06. 05/02/2013 Withdrawn 05/13/2013 2