Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule primarily applicable to securities 11/09/2005 Certified 11/09/2005 1
OCC Proposed rule change to modify The Options Clearing Corporation's fees for exercise notices submitted after the deadlines and to change the deadline for submitting a late exercise notice on non-expiration dates. 02/11/2020 Certified 02/26/2020 1
OCC Rule primarily applicable to securities 10/13/2005 Certified 10/13/2005 1
OCC Amendment to interp providing guidance relating to new method for adjusting security options for cash dividends and distributions 01/06/2009 Certified 01/15/2009 1
OCC OCC-2006-19 OCC Bankruptcy Procedures 10/12/2006 Certified 10/12/2006 1
OCC Rule primarily applicable to securities 09/29/2005 Certified 09/29/2005 1
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
OCC Rule primarily applicable to securities 08/16/2005 Certified 08/16/2005 1
OCC Rules to clear and settle Spot Gold Futures, SR-OCC-2012-02 01/24/2012 Certified 02/08/2012 1
OCC Rule primarily applicable to securities 07/13/2005 Certified 07/13/2005 1
OCC The proposed rule changes would amend OCC's by-laws and rules to permit OCC to clear and settle various types of binary options, including "fixed return options" proposed to be listed by the American Stock Exchange and binary options on broad-based securi 06/28/2007 Certified 06/28/2007 1
OCC Revisions to OCC's By-Laws and Rules to implement a revised method of calculating clearing members' respective contributions to OCC's clearing fund; SR-OCC-2013-02. 02/19/2013 Certified 03/06/2013 1
OCC Rule primarily applicable to securities 06/24/2005 Certified 06/24/2005 1
OCC Amendment to the Clearing and Services Agreement between OCC and NYSE Liffe US LLC in connection with NYSE Liffe US' transition from physical to electronic vault receipts to represent metals underlying physically-settled precious metal futures contracts. 10/30/2013 Certified 11/15/2013 1
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Proposed rule change would make permanent the current discount clearing fee schedule for specified contracts, further discount the newly adopted clearing fee schedule, and modify the new product clearing fee schedule, effective May 1, 2007. 04/11/2007 Certified 05/01/2007 1
OCC Rule primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Proposed rule change to extend term limits for Member Directors serving on The Options Clearing Corporation's Boardof Directors. 11/14/2018 Certified 11/29/2018 1
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 primarily applicable to securities 06/16/2005 Certified 06/16/2005 1
OCC Amendment of definition of "fund share" to include a security as defined in Section 3(a)(10) of the Securities Exchange Act of 1934. 10/04/2007 Certified 10/09/2007 1
OCC Revision to Article XII, Section 3, of OCC's by-laws to allow OCC to make adjustments to the settlement price of exchange-designated security futures for all cash dividends or distributions. 08/19/2010 Certified 08/19/2010 1
OCC Changes to accomodate clearing of cash-settled Agricultural Futures; Euribor Futures; and German Interest Rate Futures for ELX Futures exchange; 2011-16R 11/22/2011 Certified 12/08/2011 2
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Various changes to clearing fee schedule 08/03/2007 Certified 08/03/2007 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Rule primarily applicable to securities 05/10/2005 Certified 05/10/2005 1
OCC Amendment to definition of term Adjustment Increment with respect to stock futures. 02/26/2010 Certified 03/01/2010 1
OCC OCC-2006-21 Outsourcing of Member Functions 11/15/2006 Certified 12/01/2006 1
OCC Rule primarily applicable to securities 04/01/2005 Certified 04/01/2005 1
OCC Rule primarily applicable to securities 03/23/2005 Certified 03/23/2005 1
OCC Close out netting 05/15/2007 Certified 06/01/2007 1
OCC Rule primarily applicable to securities 03/02/2005 Certified 03/02/2005 1
OCC Rule primarily applicable to securities 01/18/2005 Certified 01/18/2005 1
OCC Yield based Treasury options 05/24/2007 Certified 06/01/2007 1
OCC Amendment No. 1 to SR-OCC-2010-13, a proposal to amend OCC by-laws and rules to accomodate proposal by OneChicago to list security futures for which settlement price would be adjusted for dividends or distributions by issuer of underlying security 08/25/2010 Certified 08/25/2010 1
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 primarily applicable to securities 12/21/2004 Certified 12/21/2004 1
OCC Non-material, "housekeeping" changes so OCC's By-Laws and Rules better reflect current operational practices; SR-OCC-2013-13. 08/05/2013 Certified 08/20/2013 1
OCC Rule primarily applicable to securities 12/17/2004 Certified 12/17/2004 1
OCC Structural changes to OCC's Membership/Risk Committee regardign Public Directors and the process for designating Membership/Risk Committee members; SR-OCC-2013-12. 08/02/2013 Certified 08/17/2013 1
OCC Rule primarily applicable to securities 12/13/2004 Certified 12/13/2004 1
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 Rule primarily applicable to securities 11/19/2004 Certified 11/19/2004 1
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 primarily applicable to securities 06/25/2004 Certified 06/25/2004 1
OCC Amendments to rules needed to accommodate clearing of range options to be listed on CBOE. 05/28/2008 Certified 06/04/2008 1
OCC This prposed rule change would allow a clearing fee waiver for exchange new products. 08/28/2015 Withdrawn 09/09/2015 1
OCC Rule primarily applicable to securities 03/11/2004 Certified 03/11/2004 1
OCC Proposed rule changes to clarify OCC' s existing policy regarding use of clearing fund assets in anticipation of a clearing member default. 11/05/2013 Certified 11/21/2013 1