Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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OCC This prposed rule change would allow a clearing fee waiver for exchange new products. 08/28/2015 Withdrawn 09/09/2015 1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
OCC Proposed rule change related to The Options Clearing Corporation's margin methodology for Volatility Index Futures. 03/19/2019 Withdrawn 03/29/2019 2
OCC Proposed amendments to OCC's auction participation requirements. 04/13/2021 Certified 04/27/2021 1
OCC Rule primarily applicable to securities 02/23/2004 Certified 02/23/2004 1
OCC OCC By-Law amendments to allow the clearing and settling of flexibly structured options traded on CBOE consistently wtih CBOE's rules. 03/19/2009 Certified 03/20/2009 1
OCC Proposed rule change concerning The Options Clearing Corporation's Synthetic Futures Model. 07/10/2020 Certified 07/24/2020 2
OCC Clearing of Real Estate Index Futures listed on CBOE Futures Exchange 07/19/2011 Certified 08/03/2011 1
OCC Certification of Updates to the Service Level Agreement Between OCC and CME under the Second Amended and Restated Cross-Margining Agreement 11/03/2021 Certified 11/18/2021 2
OCC Amending OCC's By-Laws to allow the Corporation to approve OCC's form of clearing member application and form of clearing agreement rather than its Board of Directors; SR-OCC-2012-12R 07/16/2012 Certified 07/31/2012 1
OCC This proposed rule change would accommodate the clearing of physically-settled single stock futures for which delivery would occur on the first business day after the maturity date. 01/28/2014 Certified 02/12/2014 1
OCC Certification to correct The Options Clearing Corporation's schedule of fees 11/03/2021 Certified 11/18/2021 2
OCC Rule Certification to Amend and Enhance OCC's Model Risk Management Policy 06/13/2023 Certified 06/28/2023 2
OCC This proposed rule change concerns implementation of principles-based risk control standards for options exchanges. 12/03/2015 Certified 12/17/2015 1
OCC OCC-2006-17, 9.22.06, Options on Commodity Pools 09/22/2006 Certified 09/22/2006 1
OCC OCC-2006-13, 7.19.06, Risk Committee NASDAQ Global Markets 07/19/2006 Certified 07/19/2006 0
OCC OCC 2006-09, 5/24/06, Choice of Law and Forum 05/24/2006 Certified 05/24/2006 1
OCC Amendment to Rule 309 to provide for expedited process for reviewing a managed clearing member's request to operate without a facilities management agreement 04/21/2008 Certified 04/21/2008 1
OCC OCC 2006-08, 5/24/06, Effect of Stock Splits 05/24/2006 Certified 05/24/2006 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
NYPC Amendments to LLC Agreement re fiduciary duties of directors. 10/05/2011 Certified 10/21/2011 1
NYPC NYPC hereby submits to the Commission a rule filing pursuant to the self-certification provisions of Reg. 40.6 for which it is seeking confidential treatment in accordance with the provisions of Commission Regs. 145.5 and 145.9. 05/07/2014 Certified 05/22/2014 1
NYPC Amendments to the NYPC Amended LLC Agreement to reduce the number of directors on the NYPC Board of Directors from nine to seven directors and to eliminate all Board Committees. 12/04/2013 Certified 12/19/2013 1
NYPC Rule amendments to comply with CFTC Part 39 DCO rules effective May 7, 2012. 04/20/2012 Certified 05/05/2012 1
NYPC Amendment to LLC Agreement (i) to require the contribution of additional capital to meet estimate of twelve months of operating cash (ii) to amend Board rights and obligations 02/17/2011 Certified 02/17/2011 1
NYPC Amendments re: Transfers of Contracts 08/16/2011 Certified 08/31/2011 1
NYPC Amendment to Disciplinary Proceedings 08/16/2011 Certified 08/31/2011 1
NYPC Amendment re: Waiver of Rules 08/16/2011 Certified 08/31/2011 1
NYPC Amend Rule 410 re transfer of customer positions 12/16/2011 Certified 01/04/2012 1
NYPC Amend Rule 506 (close out netting) action taken in event of insolvency 12/16/2011 Certified 01/04/2012 1
NYPC Amend rules 101, 102, 306, and 308 re: financial reporting, reporting of ownership/structure changes and conforming definition changes. 03/30/2011 Certified 03/30/2011 1