Clearing Organization Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCC 2004-03 Give Up Services provider 03/16/2004 Certified 03/16/2004 0
OCC This proposed rule change concerns pass-through letters of credit. 02/02/2016 Certified 02/17/2016 1
OCC 2004-10 Commission Approval Property of Securities Customers in a Futures Account Cross Margining 11/05/2004 Approved 11/05/2004 1
OCC Eliminate fees for three brochures; SR-OCC-2012-09 06/28/2012 Certified 07/14/2012 1
OCC This proposed rule change would modify the current process for systematically monitoring market conditions and performing adjustments to OCC's margin coverage when current market volatility increases beyond historically observed levels. 01/19/2017 Certified 02/02/2017 3
OCC By-Laws and Rules 03/23/2004 Certified 03/23/2004 0
OCC Termination of OCC's Pledge program; SR-OCC-2012-10 06/28/2012 Certified 07/14/2012 1
OCC This proposed rule change concerns the account from which certain clearing members may fund the Additional Margin requirement associated with overnight trading sessions. 02/27/2015 Notified 02/27/2015 1
OCC Proposed rule change related to The Options Clearing Corporation's Board of Directors and Board CommitteeCharters. 09/20/2018 Certified 10/04/2018 1
OCC Amendments to OCC's stock loan and hedge program. 02/25/2008 Certified 02/29/2008 1
OCC Updates procedures to adjustment panel voting 05/07/2012 Certified 05/22/2012 1
OCC Permits OCC to clear and settle a type of credit default product traded by CBOE 02/13/2007 Approved 06/05/2007 The Commission has issued an order that exempts the trading and clearing of these products from any provisions of the Commodity Exchange Act that would be transgressed by trading and clearing them through, respectively, a securities exchange and clearinghouse. 5
OCC Rule Certification by The Options Clearing Corporation Concerning Updates to its Schedule of Fees. 05/24/2024 Certified 06/10/2024 2
OCC New rule to accommodate futures contracts that are settled in a non-US currency. 10/22/2010 Certified 10/22/2010 1
OCC Proposed rule change concerning the U.S. market transition to a shortened settlement cycle. 06/13/2017 Certified 06/27/2017 1
OCC Proposed rule change concerning OCC's Risk Management Framework 10/25/2017 Certified 11/08/2017 2
OCC Rule Certification Concerning the Modification of its Margin Methodology, System for Theoretical Analysis and Numerical (STANS), to Conform its Margin Model to the Contract Specifications for a New Exchange Product. 07/01/2024 Certified 07/16/2024 2
OCC OCC 2006-15, 8.31.06, Rule 604, ETFs as margin 08/31/2006 Certified 08/31/2006 1
OCC PBOT Libor Futures & Amended Agreement 10/03/2006 Certified 11/10/2006 1
OCC Rule Certification Concerning OCC's Governance Arrangements 03/25/2022 Certified 04/08/2022 1
OCC The proposed rule change and advance notice would provide for enhancements in OCC's margin model for longer-tenor options (i.e., those options with at least three years of residual tenor). 05/30/2013 Certified 06/14/2013 1
OCC The proposed rule change concerns certain new risk models designed to risk manage energy futures contracts and options on energy futures contracts. 03/02/2015 Certified 03/16/2015 1
OCC Rule Certification by The Options Clearing Corporation Concerning Weekly Options and Short Term Options 03/25/2022 Certified 04/08/2022 1
OCC This proposed rule change concerns an Agreement for Clearing and Settlement Services between OCC and NASDAQ Futures, Inc. 01/22/2015 Certified 02/05/2015 1
OCC OCC proposes to amend its Schedule of Fees, effective April 1, 2014, to reflect the elimination of a discount to OCC's clearing fee schedule. 03/17/2014 Certified 04/01/2014 2
OCC Proposed rule change concerning The Options Clearing Corporation's Collateral Risk Management Policy. 11/29/2017 Certified 12/13/2017 2
OCC Proposed rule change concerning a proposed Capital Management Policy that would support The Options Clearing Corporation's function as a Systemically Important Financial Market Utility 10/15/2019 Certified 10/29/2019 2
OCC Rule Certification Concerning Corrections to OCC's By-Laws 10/24/2022 Certified 11/07/2022 2
OCC CMTA Facility 10/10/2003 Certified 10/10/2003 1
OCC Extension of time for full compliance with CFTC Reg. 39.13(g)(8)(ii). 05/04/2012 Certified 05/04/2012 5
OCC Rule Certification Concerning OCC's Risk Management Framework and Corporate Risk Management Policy 10/25/2022 Certified 11/08/2022 6
OCC PBOT Clearing Agreement 10/31/2003 Certified 10/31/2003 1
OCC Rule changes creating a framework for OCC to provide clearing services for stock loan and borrow transactions effected through electronic trading systems. 12/22/2008 Certified 12/30/2008 1
OCC Settlement of Stock Futures 08/21/2003 Certified 08/21/2003 1
OCC This proposed rule change concerns enhanced post-trade price reasonableness checks on confirmed trades in standardized options and futures options. 07/22/2014 Certified 08/04/2014 1
OCC Proposed rule change to adopt a new minimum cash requirement for the Clearing Fund. 12/20/2017 Certified 01/05/2018 2
OCC Proposed rule change to require that an Actionable Identifier be included on Customer and Non-Customer securitiesoptions trades other than Market Maker trades. 04/15/2019 Certified 04/29/2019 1
OCC Proposed rule change to update The Options Clearing Corporation's Operational Loss Fee in its schedule of fees pursuant to its Capital Management Policy 03/24/2020 Certified 04/07/2020 2
OCC Appointed Clearing Members 08/21/2003 Certified 08/21/2003 1
OCC Amendments to Fitness Standards; statutory disqualifications SR-OCC-2012-03 03/15/2012 Certified 03/30/2012 1
OCC Proposed rule change concerning the adoption of the Technology Committee of OCC's Board of Directors. 11/30/2015 Certified 12/14/2015 1
OCC Foreign Currency Futures 07/18/2003 Certified 07/18/2003 0
OCC Rule Certification Concerning The Options Clearing Corporation's Backtesting Framework and to Establish a Resource Backtesting Margin Charge 08/30/2024 Certified 09/16/2024 3
OCC Proposed rule change that would broaden the definition of the term "Representative" in Article I, Section 1 of OCC's by-laws. 07/29/2010 Certified 07/29/2010 1
OCC Fund Share 06/02/2003 Certified 06/02/2003 0
OCC Proposed rule change to exclude TIP-STRIPS from the definition of "Government securities." 07/29/2010 Certified 07/29/2010 1
OCC Technical amendments to fitness standards for directors, clearing members and others 05/15/2012 Certified 05/31/2012 1
OCC The Options Clearing Corporation proposes to amend its By-Laws and rules in order to enhance the measurement used to establish minimum capital requirements for banks approved to issue letters of credit. 03/06/2015 Certified 03/20/2015 1
OCC CBOE Clearing Agreement 07/18/2003 Certified 07/18/2003 0
OCC Technical clarification to Rule 1506 which prohibits the deposit in lieu of margin in respect of certain options to add references to range options. 12/31/2008 Certified 01/02/2009 1