Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule primarily applicable to securities 12/11/2006 Certified 12/11/2006 1
OCC Changes to Policy Statement re: Back-up Communication Channel to Internet Access; SR-OCC-2013-10 07/17/2013 Certified 08/01/2013 1
OCC Proposed rule change to permit Pass- Through Letters of Credit as a form of margin asset to satisfy margin obligations for futures positions held in segregated futures accounts that are not eligible to hold positions in security futures. 06/17/2016 Certified 07/01/2016 1
OCC Rule primarily applicable to securities 10/26/2006 Certified 10/26/2006 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 primarily applicable to securities 10/26/2006 Certified 10/26/2006 1
OCC Rule amendment to obtain legal cetainty with respect to options and security futures on iShares COMEX Gold Trust Shares 07/23/2008 Approved 12/03/2008 1
OCC Rule amendment provides for the margining of OCC segregated futures customer accounts on a gross basis, as required by CFTC Rule 39.13(g)(8)(i); SR-OCC-2012-17. 09/14/2012 Certified 09/29/2012 1
OCC Rule Certification Concerning Updates to OCC's Collateral Risk Management Policy and Margin Policy 12/04/2023 Certified 12/18/2023 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 Rule primarily applicable to securities 09/25/2006 Certified 09/25/2006 1
OCC Proposed rule change to enhance OCC's Stock Loan/Hedge Program and Market Loan Program. 03/23/2017 Certified 04/06/2017 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 Rule primarily applicable to securities 07/24/2006 Certified 07/24/2006 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 Technical change related to mini options to clarify that the same adjustment treatment thresholds that were added to Article VI, Section 11A(c)(ii) are also meant to extend to contracts overlying fund shares; SR-OCC-2013-01. 02/14/2013 Certified 03/02/2013 1
OCC Rule primarily applicable to securities 07/12/2006 Certified 07/12/2006 1
OCC Private auction process by which OCC may liquidate all or any part of a suspended Clearing Member's account; SR-OCC-2012-11 07/03/2012 Certified 07/18/2012 1
OCC Proposed rule change to revise The Options Clearing Corporation's Schedule of Fees. 03/12/2019 Certified 03/26/2019 2
OCC Rule primarily applicable to securities 06/26/2006 Certified 06/26/2006 1
OCC Amend Bylaws to allow OCC to approve OCC's form of clearing member application and form of clearing agreement; SR-OCC-2012-12 07/10/2012 Withdrawn 07/16/2012 2
OCC Rule primarily applicable to securities 06/08/2006 Certified 06/08/2006 1
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 Rule primarily applicable to securities 04/26/2006 Certified 04/26/2006 1
OCC This proposed rule change would provide that OCC's President will be its Chief Operating Officer, and that the President will not be a Management Director. 10/21/2014 Certified 11/04/2014 2
OCC Proposed Rule Change to Enhance The Options Clearing Corporation's Stock Loan Close-Out Process 09/01/2020 Certified 09/16/2020 2
OCC Rule primarily applicable to securities 01/12/2006 Certified 01/12/2006 1
OCC Rule primarily applicable to securities 01/11/2006 Certified 01/11/2006 1
OCC Proposed rule change related to The Options Clearing Corporation's clearing membership approval process. 05/16/2016 Certified 05/31/2016 1
OCC Adoption of interpretative guidance regarding the administration and application of a new adjustment method for cash dividends and distributions 05/23/2008 Certified 05/27/2008 1
OCC Proposed rule change to establish the OCC Regulatory Committee and adopt the OCC Regulatory Committee Charter 10/23/2019 Certified 11/06/2019 1
OCC Proposed rule change to amend OCC's By-Laws to clarify that the Board may, in its discretion, designate that the Chief Operating Officer also serve as President of OCC. 05/05/2017 Certified 05/19/2017 1
OCC Submission under 40.6(d)(2)(i) to notify CFTC of a change in OCC's principal office. 05/23/2018 Notified 05/23/2018 1
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 The proposed rule change concerns monthly resizing of the clearing fund and the addition of financial resources. 12/01/2014 Certified 12/15/2014 1
OCC Changes to rules re: clearance of stock loan transactions in Market Loan and Stock Loan programs; proposed changes to clearing agreement between OCC and operator of the Loan Market. 03/22/2012 Certified 04/06/2012 1
OCC This proposed rule change would permit the Executive Chairman, the President or their delegate to approve requests by a Hedge Clearing Member to become a Market Loan Clearing Member. 10/24/2014 Certified 11/07/2014 1
OCC Rule Certification Concerning Implementation of Settlement Timing Changes 05/24/2022 Certified 06/08/2022 1
OCC Rescinds a policy interpretation adopted by OCC's Securities Committee with respect to adjustments of listed equity options for dividends, and the corresponding policy in OCC bylaws applicable to security futures. 03/26/2012 Certified 04/10/2012 1
OCC Self-certification of rule changes related to the Governance Committee charter. 10/25/2013 Certified 11/12/2013 1
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 The purpose of this proposed rule change is to revise OCC's Schedule of Fees in accordance with its new Fee Policy. 12/31/2015 Certified 01/15/2016 2
OCC Rule Certification Concerning Clearing Member Cybersecurity Attestation Program 05/25/2022 Certified 06/09/2022 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 OCC is proposing to modify its rules to provide clarification regarding the applicability of certain provisions of OCC's By-Laws and Rules to the clearance and settlement of GLN 10 oz. Gold Futuress, which are proposed to be traded by NFX. SR-OCC-2013-11 07/25/2013 Certified 08/09/2013 1
OCC Proposed rule change to adopt a new Second Amended and Restated Cross-Margining Agreement between OCC and the Chicago Mercantile Exchange. 10/08/2020 Certified 10/23/2020 2
OCC Rule primarily applicable to securities 12/09/2005 Certified 12/09/2005 1
OCC Modify corporate governance structure of OCC, OCC-2012-01 01/20/2012 Certified 02/04/2012 1
OCC Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel. 10/28/2021 Certified 11/12/2021 2