| OCX |
Amending Chapter 9 Appendix B, that allows, in limited circumstances, for OneChicago to correct errors in adjustments to OCX.NoDivRisk products after the ex-dividend date. |
08/12/2013 |
Certified |
08/27/2013 |
|
1 |
| OCX |
Revision to OneChicago Rule 307, Application of Rules and Jurisdiction |
08/29/2012 |
Approved |
09/27/2012 |
|
1 |
| OCX |
Adding New OCX Rule 617 (Disruptive Practices) & Issuing Notice to Members 2015-16 (Disruptive Practices) |
06/10/2015 |
Certified |
06/24/2015 |
|
1 |
| OCX |
Appointment of Two Directors to OneChicago, LLC |
11/12/2013 |
Certified |
11/27/2013 |
|
1 |
| OCX |
Amending Rule 127, Disciplinary Panel, removing the requirement that disciplinary panel participants are exchange members. |
02/27/2013 |
Certified |
03/14/2013 |
|
1 |
| OCX |
Expanded Trading Hours |
12/06/2019 |
Certified |
12/20/2019 |
|
1 |
| OCX |
Introducing Market Maker Wash Trade Prevention contingency orders. |
04/18/2012 |
Certified |
05/03/2012 |
|
1 |
| OCX |
Delisting of a Security Futures Product. |
06/24/2013 |
Certified |
07/10/2013 |
|
1 |
| OCX |
Clarifies that for EFPs that are matched on OneChicago BETS, the securities portion of the transaction must be completed and submitted to the market centers designated by the Exchange. |
02/05/2008 |
Certified |
03/18/2008 |
|
1 |
| OCX |
Provides for an abreviated trading schedule during the July 4th holiday period. |
07/01/2008 |
Certified |
07/02/2008 |
|
1 |
| OCX |
New Rule 137 - Foreign Persons and Rule 416 Exchange Future for Physical, changes define foreign persons and prohibit them from directly or indirectly placing bids or buy orders in and for exchange EFP markets. |
04/22/2013 |
Withdrawn |
04/29/2013 |
|
1 |
| OCX |
New OCX Rules 618 (Wash Trades), 619 (Money Passes), 620 (Accommodation Trading) & NTM 2015-35 |
11/17/2015 |
Certified |
12/02/2015 |
|
1 |
| OCX |
Amending OCX Rule 609 (Supervision) and Issuing NTM 2016-11 (Supervisory Responsibility and Written Supervisory Procedures) |
04/15/2016 |
Certified |
04/29/2016 |
|
1 |
| OCX |
Revisions to OneChicago Chapter 7 Rules Involving Discipline and Enforcement. |
08/01/2012 |
Certified |
08/16/2012 |
|
2 |
| OCX |
Emergency Action Notice Regarding MF Global, Inc. Limited to Closing Only |
10/31/2011 |
Certified |
11/16/2011 |
|
1 |
| OCX |
Notice Regarding MF Global, Inc. Suspension at OneChicago |
11/01/2011 |
Certified |
11/17/2011 |
|
1 |
| OCX |
Amending Interpretation of Exchange Rule 118 (Clearing Member) |
04/18/2016 |
Certified |
05/02/2016 |
|
1 |
| OCX |
Revising OneChicago Rule 416, adds clarity that the Exchange of Future for Physical consists of a futures component and an underlying stock component combined into a single transaction. |
12/27/2012 |
Certified |
01/12/2013 |
|
1 |
| OCX |
Notice to Members advising that OneChicago is expanding trade prices to four decimal points. |
05/26/2011 |
Certified |
12/22/2011 |
|
1 |
| OCX |
Notice to Members regarding the method by which market participants may trade block rolls. |
08/22/2013 |
Certified |
09/07/2013 |
|
1 |
| OCX |
Updating Obsolete References and Clarifying Rules in the OneChicago Rulebook - Chapter 2 |
04/05/2019 |
Certified |
04/19/2019 |
|
1 |
| OCX |
Revised Fee Schedule |
08/18/2014 |
Certified |
09/02/2014 |
|
1 |
| OCX |
Delisting of two Security Futures Products |
06/27/2013 |
Certified |
07/13/2013 |
|
1 |
| OCX |
Provides new Rule 422 (rules and procedures for the transfer of trades) and new and Rule 423 (rules and guidance on the offsetting of concurrent long and short positions). |
11/30/2009 |
Certified |
12/17/2009 |
|
1 |
| OCX |
Revision to OneChicago Rule 307, Application of Rules and Jurisdiction and Revision to the cover page of the Rulebook |
08/03/2012 |
Certified |
08/18/2012 |
|
1 |
| OCX |
Issuing Regulatory Release 2017-10 (Large Trader Reporting Guide) |
08/17/2017 |
Certified |
08/31/2017 |
|
1 |
| OCX |
Notice to Members: Pre-Execution Discussions and Cross Trades |
08/31/2012 |
Certified |
09/18/2012 |
|
2 |
| OCX |
Adding New OCX Rule 516 (Ownership and Control Reports) & Issuing Notice to Members 2015-7 (OneChicago Ownership and Control Reports) |
03/19/2015 |
Certified |
04/02/2015 |
|
1 |
| OCX |
Amending OCX Rule 905 (Form of Specifications Supplement) |
07/22/2016 |
Certified |
08/05/2016 |
|
1 |
| OCX |
Amendment to Rule 419 harmonizes the rules of OneChicago regarding regulatory halts. |
06/15/2010 |
Certified |
12/17/2010 |
|
2 |
| OCX |
Revision to OneChicago Rule 307, Application of Rules and Jurisdiction and Revision to the cover page of the OneChicago Rulebook. |
08/06/2012 |
Approved |
08/21/2012 |
|
1 |
| OCX |
Issuing Notice to Members 2016-16 (Renaming Regulatory Notices) |
06/01/2016 |
Certified |
06/15/2016 |
|
1 |
| OCX |
Revising OneChicago Rule 417, Block Trading and the related Block Trading Notice. |
09/10/2012 |
Certified |
09/25/2012 |
|
1 |
| OCX |
Provides procedures and regulatory oversight for the transfer of trades in a manner to ensure the integrity of the market (new Rule 422); and guidance on the offsetting of concurrent long and short positions (new Rule 423). |
11/30/2009 |
Certified |
12/17/2009 |
|
1 |
| OCX |
Revises the OneChicago Policy for Error Trades and Mistrades and Adoption of Fee Schedule. |
03/26/2010 |
Certified |
04/02/2010 |
|
1 |
| OCX |
OneChicago fee change |
02/13/2019 |
Certified |
02/28/2019 |
|
1 |
| OCX |
Notice to Members - Position Limit Exemption Requests - requires that the requests be signed by an officer or director of the firm. OCX #14-001 |
03/11/2014 |
Certified |
03/25/2014 |
|
1 |
| OCX |
Amendment No.1 to OCX-OCC Clearing Agreement provides for the clearing of securities futures contracts adjusted for all dividends or distributions issued for the security underlying such contract, and for the indemnification by OCX of OCC. |
09/29/2010 |
Certified |
10/07/2010 |
|
1 |
| OCX |
Amending OneChicago Rule 210 (Confidentiality and Employee Restrictions) |
03/19/2018 |
Certified |
04/02/2018 |
|
1 |
| OCX |
Clarifying the term "without delay" in regards to the reporting/posting of a bi-lateral Exchange of Future for Physical and bi-lateral Block Trades to OCX. #2012-13 |
06/19/2012 |
Certified |
07/04/2012 |
|
1 |
| OCX |
OCX Rule 417 will be modified to decrease the minimum block trading quantity from twenty-five contracts to five contracts for its OCX.NoDivrisk products. OCX #14-003 |
05/28/2014 |
Certified |
06/12/2014 |
|
1 |
| OCX |
Adopting an Updated Error Trade Policy |
10/27/2016 |
Certified |
11/10/2016 |
|
1 |
| OCX |
Notifies the CFTC that the elimination of the minimum contract size for EFP transactions using the BETS Automatic Matching feature. |
08/11/2008 |
Certified |
08/12/2008 |
|
1 |
| OCX |
Amending OneChicago Rule 610 (Priority of Customers' Orders) and Adding Rule 621 (Front-Running) |
03/20/2018 |
Certified |
04/03/2018 |
|
1 |
| OCX |
Amends OneChicago, LLC Operating Agreement to reflect the addition of Public Directors. |
01/26/2010 |
Certified |
02/02/2010 |
|
1 |
| OCX |
Notice to Members affecting OCX.BETS Account Number Field Change. |
12/22/2011 |
Certified |
01/09/2012 |
|
1 |
| OCX |
Amends Market Maker Registration Policy and Procedures and to Rule 515 (Exclusion ofr Market Makers). |
06/09/2009 |
Certified |
07/10/2009 |
|
1 |
| OCX |
Provides notification of a change in market surveillance and compliance procedures. |
04/09/2010 |
Certified |
07/14/2010 |
|
1 |
| OCX |
Amends Definition of Clearing Member (Rule 118). |
06/10/2009 |
Certified |
05/27/2010 |
|
1 |
| OCX |
NTM 2014-33 provides guidance to market participants regarding the reporting of bilateral block and bilateral EFP trades |
11/20/2014 |
Certified |
12/05/2014 |
|
1 |
