Designated Contract Market Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
OCX Amends OCX Rules 116A and submission of New Rules 152A and 207(o), provding for the Chief Reguolatory Officer and the Regulatory Oversight Committee. 12/31/2009 Certified 01/22/2010 1
OCX Emergency Rule Certification - Emergency Confirmation of Current Block Trading Rule 417 10/17/2013 Certified 11/01/2013 1
OCX NASDAQ will begin billing its standard $500 per month port fee for ports setup by firms for OneChicago to report the stock leg of their point and click traded EFP. Notice 2012-15 07/13/2012 Certified 07/30/2012 1
OCX Renaming Responsible Trader as Responsible Administrator 12/24/2014 Certified 01/09/2015 1
OCX Amends Error Trade Nullification Policy by modifying the no bust range, adding the term Questioned Trade, permitting trades within the no bust range to be busted or adjusted if there were an Exchange system failure, and other changes. 06/01/2007 Certified 06/07/2007 1
OCX Adopting a Trading Platform Fee Schedule 11/22/2016 Withdrawn 02/03/2017 1
OCX Emergency Rule Certification - Notice to Members - Suspension of Competitive EFP Trading. OCX #14-002 05/13/2014 Certified 05/28/2014 1
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