Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC Rule Certification Concerning OCC's Cash and Investment Management Policy 02/01/2022 Certified 02/15/2022 3
OCC OCC-2007-02 SEC Primary Regulated Rate Modified Currency Options 03/07/2007 Certified 03/07/2007 1
OCC Changes to ensure technical compliance with final CFTC Part 39 regulations 12/19/2011 Certified 01/05/2012 2
OCC Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees 05/10/2021 Certified 05/24/2021 2
OCC OCC Rule Certification Concerning Changes to its Governance Arrangements 08/09/2021 Certified 08/23/2021 2
OCC Elimination or reduction of fees to clearing members for theoretical profit and loss values 09/18/2007 Certified 09/19/2007 1
OCC SR-OCC-2014-04: Administrative and/or conforming rule changes to reflect the proposed renaming of the Membership/Risk Committee to Risk Committee and the position of Chairman to Executive Chairman. 03/06/2014 Certified 03/21/2014 1
OCC Rule change to specify auction process as one possible way to liquidate a defaulting clearing member 06/30/2011 Certified 06/30/2011 2
OCC Adding provisions to By-laws governing OCC's Stock Loan/Hedge Program to facilitate the use of such program by Canadian clearing members; SR-OCC-2013-03. 03/08/2013 Certified 03/23/2013 1
OCC The purpose of this proposed rule change is to revise OCC's Schedule of Fees as it relates to OCC's Stock Loan Program. 07/29/2016 Certified 08/12/2016 1
OCC Proposed rule change concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation. 01/22/2021 Certified 02/05/2021 2
OCC Proposed rule change by The Options Clearing Corporation concerning a new Stock Options and Futures Settlement Agreement ("New Accord") between OCC and the National Securities Clearing Corporation. 06/06/2017 Certified 06/20/2017 2
OCC Proposed rule change by The Options Clearing Corporation concerning enhanced and new tools for recovery scenarios. 07/31/2018 Certified 08/14/2018 2
OCC OCC Rule Certification Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility 02/15/2024 Certified 03/01/2024 2
OCC Amended rule interpretation to clarify regulatory treatment under SEC Rule 15c3-1 of collateral and margin posted through Stock Loan Program 12/16/2010 Certified 12/16/2010 1
OCC This proposed rule change is related to the adoption of OCC's Options Exchange Risk Control Standards Policy. 03/15/2016 Withdrawn 07/15/2016 2
OCC Provide central clearing of OTC Index Options; OCC-2011-19 03/09/2012 Withdrawn 03/09/2012 3
OCC Rule changes related to who shall make determinations of adjustments to the terms of options contracts to account for certain corporate actions; SR-OCC-2013-05(revised). 05/13/2013 Certified 05/29/2013 1
OCC Rule Certification to Support Cash Settled Flex ETF Options 05/03/2022 Certified 05/17/2022 1
OCC Rule Certification by The Options Clearing Corporation Concerning Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions 02/20/2024 Certified 03/05/2024 2
OCC Rule changes related to electronic vault receipts with respect to cleared contracts traded on NYSE Liffe; SR-OCC-2013-06(revised). 05/13/2013 Certified 05/29/2013 1
OCC Proposed rule change related to the voluntary termination by offset and re-matching of Matched-Book Positions in the Stock Loan/Hedge Program. 03/15/2016 Certified 03/29/2016 1
OCC Rule change to accomodate changes in method of holding certain securities pledged by clearing members to satisfy margin and clearing fund obligations. 07/01/2010 Certified 07/07/2010 1
OCC Proposed rule change to revise OCC's Schedule of Fees. 01/31/2018 Certified 02/14/2018 1
OCC This proposed rule change will permit OCC to better manage concentration and other risks associated with accepting deposits of common stock for margin purposes. 07/16/2014 Certified 07/29/2014 1
OCC OCC Rule Certification to Establish A Persistent Minimum Level of Skin-In-The-Game 03/18/2021 Certified 04/01/2021 2
OCC August 14, 2006, OCC-2006-14, Discounted Clearing Fees 08/14/2006 Certified 08/14/2006 1
OCC Amendments to eliminate foreign currency and foreign currency-denominated LOCs as eligible margin and render inoperative rules regarding physical delivery currency options since PHSX delisted them. 05/15/2008 Certified 05/19/2008 1
OCC Proposed amendments to OCC's settlement times for margin and Clearing Fund deposits. 05/06/2022 Certified 05/20/2022 2
OCC Amendment to correct clerical errors to previous submission amending and supplementing rules to address certain issues related to OCC's Stock Loan/Hedge Program 10/20/2008 Certified 10/20/2008 1
OCC Proposed rule change concerning enhancements to The Options Clearing Corporation's stress testing and Clearing Fund methodology. 08/06/2018 Certified 08/20/2018 2
OCC Adoption of Governance Fitness Standards to comply with DCO Core Principle O 08/31/2011 Certified 09/16/2011 1
OCC The proposed rule change concerns the clearance and settlement of confirmed trades executed in extended and overnight trading sessions offered by exchanges for which OCC provides clearance and settlement services. 12/15/2014 Certified 12/30/2014 1
OCC 2004-13 Borrowing against clearing fund 06/28/2004 Certified 06/28/2004 1
OCC 2004-20 STANS Risk Management 11/15/2004 Certified 11/17/2004 1
OCC OCC is amending the proposed definition of "Section 871(m) Implementation Date" in its By-Laws to revise the date by which certain of OCC's Clearing Members must provide documentation to OCC showing that they are Qualified Derivatives Dealers. 12/08/2016 Notified 12/08/2016 2
OCC 2004-19 CMTA IB Identification 11/12/2004 Certified 11/12/2004 1
OCC OCC proposes to amend the short-form license agreement that must be signed by OCC clearing members seeking to clear OTC index options on underlying indices published by Standard & Poor's Financial Services LLC 05/21/2013 Certified 06/06/2013 1
OCC Proposed rule change to extend the deadline for Clearing Members to provide an Actionable Identifier on customer and non-customer securities options trades other than Market Maker trades. 05/19/2020 Certified 06/03/2020 1
OCC Rule primarily applicable to securities 06/24/2004 Certified 06/24/2004 1
OCC Rule primarily applicable to securities 06/07/2004 Certified 06/07/2004 1
OCC This proposed rule change by The Options Clearing Corporation ("OCC") would adopt a Third-Party Risk Management Framework ("TPRMF") and retire the Counterparty Credit Risk Management Policy ("CCRMP"). 12/11/2020 Certified 12/28/2020 3
OCC 2004-09 ETFs as Hedges 05/28/2004 Certified 05/28/2004 1
OCC 2004-06 VIX Options 05/07/2004 Certified 05/07/2004 1
OCC The proposed rule change concerns enhancements to OCC's governance arrangements. 02/01/2016 Certified 02/16/2016 1
OCC 2004-07 Currency Options Delivery 05/07/2004 Certified 05/07/2004 1
OCC OCC proposes to process all sell transactions prior to the exercise of long options in Market-Maker accounts to ensure that only net long positions may be exercised. 07/17/2014 Certified 07/30/2014 1
OCC 2004-05 Units of Currency Options PHLX (SEC) 03/19/2004 Certified 03/19/2004 1
OCC 2004-04 Equity Options Automatic Exercise (n0n-CFTC) 03/19/2004 Certified 03/19/2004 1
OCC Rule amendment to clarify applicability of rules governing delivery of Treasury Securities underlying Treasury Futures to those with maturities greater than 25 years; SR-OCC-2012-20. 10/22/2012 Certified 11/06/2012 1