Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Amendment of rules to expand use and functionality of sub-accounts available to clearing members. 09/28/2007 Certified 10/29/2007 1
OCC Rule Certification Concerning the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation. 11/01/2023 Certified 11/16/2023 4
OCC Rule Certification by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align with Recently Adopted CFTC Governance Requirements for Derivatives Clearing Organizations. 05/08/2024 Certified 05/22/2024 3
OCC Clarification of timing of "novation" by the clearinghouse; SR-OCC-2011-17 12/12/2011 Certified 12/28/2011 1
OCC Proposed rule change would require that intraday margin be collected and margin assets not be withdrawn when a clearing member's anticipated settlement obligations to OCC exceed liquidity resources available to OCC to satisfy such settlement obligations. 05/14/2014 Certified 05/29/2014 1
OCC This proposed rule change amends OCC' s Schedule of Fees in order to correct an inadvertent oversight in a prior rule change. #SR-OCC-2014-11 05/14/2014 Certified 05/29/2014 2
OCC Proposed rule change by The Options Clearing Corporation concerning liquidity for same day settlement. 11/03/2017 Certified 11/20/2017 1
OCC Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee pursuant to its Capital Management Policy 01/06/2021 Certified 01/21/2021 3
OCC Providing OCC the discretion to grant or not grant margin credit to a clearing member; SR-OCC-2013-14/805 08/15/2013 Certified 08/30/2013 1
OCC Proposed rule change by The Options Clearing Corporation concerning its Margin Policy. 01/11/2018 Certified 01/26/2018 2
OCC Amendment to clarify use of suspended clearing member's margin deposits in order to meet liquidity needs. 10/12/2011 Certified 10/27/2011 1
OCC This proposed rule change would allow a clearing fee waiver for exchange new products. 09/02/2015 Certified 09/17/2015 1
OCC Proposed rule change concerning OCC's Default Management Policy. 11/06/2017 Certified 11/21/2017 2
OCC Proposed rule change to modify OCC's rules regarding the exercise procedures for certain options on futures. 01/11/2018 Certified 01/26/2018 1
OCC Rule Certification by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations 06/22/2023 Certified 07/07/2023 2
OCC Proposed rule change to amend the definition of Flexibly Structured Options. 07/16/2018 Certified 07/30/2018 1
OCC Assignment Procedures, Exercise Notices 08/14/2002 Certified 08/14/2002 0
OCC Proposed rule change concerning an Agreement for Clearing and Settlement Services between The Options ClearingCorporation and Small Exchange, Inc. 12/06/2019 Certified 12/20/2019 1
OCC Segregation of Long Options Positions 12/17/2002 Certified 12/17/2002 0
OCC The purpose of this proposed rule change is to simplify OCC's fee structure. 03/02/2016 Certified 03/16/2016 1
OCC Multiple Accounts of Clearing Members 11/19/2002 Certified 11/19/2002 0
OCC Rule 309 amended to permit expedited review of facilities management agreements proposed to be entered into by existing clearing members that desire to become a managed clearing member 01/09/2008 Certified 02/04/2008 1
OCC Market Makers as Segregated Customers 10/17/2002 Certified 10/17/2002 0
OCC Rule change to permit dividend equivalent payments to be principally effected through the facilities of the DTC with respect to OCC's Market Loan Program. 09/28/2009 Certified 09/28/2009 1
OCC FCM requirements 10/08/2002 Certified 10/08/2002 0
OCC Stocks Hedge Loan Program 10/02/2002 Certified 10/02/2002 0
OCC Rule amendments to improve definitions of and establishing consistent usage for, the terms "settlement price" and "final settlement price" as applied to futures contracts cleared by OCC as well as to reflect a change in a service offered by OCC. 01/24/2008 Certified 02/04/2008 1
OCC This proposed rule change would provide OCC with expanded delegated authority to review and approve certain business expansion requests and facilities management agreements. 03/28/2014 Certified 04/12/2014 1
OCC Narrow-Based Stock Indexes 09/27/2002 Certified 09/27/2002 0
OCC Proposed rule change concerning changes to The Options Clearing Corporation's management structure. 02/01/2019 Certified 02/15/2019 1
OCC Proposed rule change to amend the Interpretations and Policies to OCC Rules 602 and 1103. 01/08/2021 Certified 01/25/2021 4
OCC Rule Certification Concerning The Options Clearing Corporation's Implied Volatility Simulation Models 03/10/2022 Certified 03/24/2022 2
OCC HCHA Fees 08/26/2002 Certified 08/26/2002 0
OCC This proposed rule change would eliminate preferred stock and corporate bonds as acceptable forms of margin assets and make additional, conforming changes. 03/28/2014 Certified 04/12/2014 1
OCC A Link Framework Agreeement and an Associate Clearinghouse Agreement between OCC and Eurex Clearing AG to implement a clearing link arrangement to facilitate trading in options listed on the International Securities Exchange by Eurex Deutschland members 10/23/2009 Certified 11/02/2009 1
OCC Amendments to rules for clearing credit default products 06/14/2007 Certified 06/19/2007 1
OCC Rule amendments to allow clearing members to deposit fully paid or excess margin securities carried for the account of a securities customer to the extent that such deposits are permitted per SEC or SRO interpretive guidance or no-action relief 10/23/2009 Certified 11/02/2009 1
OCC Article I, Section 1, Rule 801, 805, and 1804 - proposed rule change to accomodate Weekly Options and Monthly Options 09/15/2010 Certified 09/15/2010 1
OCC Correcting a previous rule filing (SR-OCC-2012-10) to properly reflect the deletion of Rule 614 and the termination of OCC's pledge program; SR-OCC-2012-13. 08/29/2012 Certified 09/14/2012 1
OCC Proposed rule change by OCC concerns the implementation of new risk models in order to support the clearance and settlement of Asian-style flexibily structured options and flexibly structured Cliquet options. 05/01/2015 Certified 05/15/2015 1
OCC Amendments to rules to accommodate an alternate settlement procedure for physically-settled treasury futures traded on ELX 11/20/2009 Certified 11/30/2009 1
OCC Non Customers of broker Dealers 03/14/2006 Certified 03/14/2006 1
OCC Proposed rule change to provide OCC with authority in emergency circumstances to extend, waive or suspend the operation of its By-Laws, Rules, policies and procedures or any other rules issued by OCC. 12/27/2013 Withdrawn 01/09/2014 2
OCC This proposed rule change concerns adjustments OCC's margin coverage when volatility increases beyond historically observed levels. 11/16/2015 Certified 12/01/2015 1
OCC OCC Rule Certification to Update Its Operational Loss Fee for 2023 02/06/2023 Certified 02/21/2023 2
OCC Limitation of liability to members 11/04/2003 Certified 11/04/2003 1
OCC This change revises OCC's By-Laws and Rules relating to deposits in lieu of margin. 05/01/2015 Certified 05/15/2015 1
OCC Weekly Notification of Rule Amendments Pursuant to CFTC Regulation 40.6(d)(2)(i)--OCC Rule Filing SR-OCC-2016-010 10/10/2016 Notified 10/10/2016 2
OCC Proposed rule change related to the introduction of a new Liquidation Cost Model in The Options ClearingCorporation's margin methodology. 07/18/2019 Certified 08/01/2019 2
OCC This proposed rule change concerns the date of the annual meeting of The Options Clearing Corporation's stockholders. 01/07/2015 Certified 01/22/2015 1