Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 09/30/2020 Certified 10/15/2020 2
OCC Confidentiality Policy 06/02/2003 Certified 06/02/2003 0
OCC This proposed rule change will permit OCC to adjust the size of its clearing fund intra-month and clearing member's clearing fund contributions intra-month. 07/24/2014 Certified 08/07/2014 2
OCC Proposed rule change to make clarifying and conforming changes to The Options Clearing Corporation's Margins Methodology and Margin Policy. 08/15/2018 Certified 08/29/2018 2
OCC Modification of fees applied to late exercise notices whether at expiration or non-expiration and circumstances under which cut-off time for submission of exercise instructions can be extended 12/07/2007 Certified 12/27/2007 1
OCC Changes to By-Laws to reflect the separation of the Chairman into two offices, Executive Chairman and President; SR-OCC-2013-09. 06/04/2013 Certified 06/19/2013 2
OCC Implementation of new discounted fee schedule and continuation of the market maker scratch fee discount effective 1/1/08 12/07/2007 Certified 12/27/2007 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on iShares Silver Trust Shares. 07/24/2008 Approved 12/03/2008 1
OCC This proposed rule change expands the officers who may declare that a clearing member is summarily suspended from OCC. 01/23/2015 Certified 02/06/2015 1
OCC This proposed rule change would amend OCC's Schedule of Fees in accordance with its Fee Policy. 03/06/2015 Withdrawn 03/17/2015 1
OCC Reduction of threshold amounts used to determine the equity options that are deemed to be in the money for purposes of exercise by exception processing. 12/07/2007 Certified 12/27/2007 1
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Physical Swiss Gold and ETFS Physical Silver Shares 12/14/2009 Approved 06/14/2010 2
OCC Rule amendment to establish jurisdictional status of Alpha Options 11/17/2011 Approved 01/30/2012 4
OCC Rule amendment to obtain legal certainty with respect to options and security futures on ETFS Palladium and ETFS Platinum Shares 03/01/2010 Approved 05/27/2014 28
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Rule primarily applicable to securities 03/14/2007 Certified 03/14/2007 1
OCC Establishment of a program with ICE Clear for the cross-margining of certain securities options contracts with futures and options cleared by ICE Clear 12/12/2007 Certified 12/28/2007 1
OCC Rule amendment to obtain legal certainty with respect to cash-settled options on the CBOE Gold ETF Volatility Index 04/26/2010 Approved 12/23/2010 6
OCC Updating rules related to clearing physically settled European-style options on U.S. Treasury notes and bonds with a unit of trading of $10,000 traded on Nasdaq OMX PHLX, LLC; SR-OCC-2012-23. 11/30/2012 Certified 12/15/2012 1
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 Rule primarily applicable to securities 03/05/2007 Certified 03/05/2007 1
OCC Amendments to integrate common stocks and ETFs into the STANS margin calculation methodology 12/14/2007 Certified 12/28/2007 1
OCC By-Laws amendment to clarify that OCC will not commence the clearing of OTC S&P 500 Index Options until the SEC approves subsequent rule filing concerning certain enhancements to OCC's risk modeling and risk management procedures; SR-OCC-2012-14A1. 11/30/2012 Certified 12/15/2012 1
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 OCCs 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