Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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the introduction of a new Liquidation Cost Model in The Options Clearing Corporation's margin methodology. 05/01/2019 Withdrawn 05/06/2019 2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 Rule Certification by The Options Clearing Corporation Concerning Modifications to its Governance Documents to Align with Recently Adopted SEC Governance Rules. 11/07/2024 Certified 11/22/2024 11
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
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