Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
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
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 Change to method by which clearing fund size is determined 08/03/2011 Certified 08/18/2011 1
OCC ByLaw and Rule changes to accommodate the clearing and settling of NYSE Liffe metals futures and options on metals futures 03/25/2009 Certified 04/16/2009 1
OCC Proposed rule change to make administrative updates to The Options Clearing Corporation's Risk Management Policies. 06/11/2020 Certified 06/25/2020 2
OCC Modify pro rata assignment procedure description to eliminate reference to application to exercises of physical delivery, flexibly structured FCOs that are securities options since no longer traded on Phlx 02/13/2008 Certified 02/14/2008 1
OCC OCC plans to change its adjustment policy in its By-Laws to accommodate for mini options; SR-OCC-2012-16. 09/12/2012 Certified 09/27/2012 1
OCC Technical amendments to the Stock Loan Hedge and Market Loan Program rules. 03/25/2010 Certified 03/31/2010 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 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 Price Adjustments Dividends Distributions 10/25/2004 Certified 10/25/2004 0
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 Amends definition of "fund share" to include a publicly traded interest in a trust, investment company or similar entity principally engaged in holding or managing one or more currencies. 09/22/2006 Approved 11/06/2006 2
OCC Variance Futures 05/10/2004 Certified 05/10/2004 1
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 Proposed rule change by The Options Clearing Corporation concerning its trade acceptance and novation rules. 05/04/2018 Certified 05/18/2018 1
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 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 modifications and enhancements to OCC's governance arrangements. 07/27/2016 Certified 08/10/2016 3
OCC Proposed rule change concerning OCC's Model Risk Management Policy. 01/23/2018 Certified 02/06/2018 2
OCC Proposed rule change to facilitate reporting under Commodity Futures Trading Commission regulations applicable to Derivatives Clearing Organizations. 06/18/2018 Certified 07/02/2018 1
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 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 Proposed rule change to revise OCC's Schedule of Fees. 01/24/2018 Certified 02/07/2018 2
OCC Amendments to ByLaws to accommodate clearing of conventional cash-settled commodity options, binary commodity options, and event options. 03/18/2009 Certified 04/21/2009 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 Permits OCC to clear and settle a type of credit default product traded by CBOE 04/23/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 4