Designated Contract Market Rules

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Organization Filing Description Receipt Date Status Date Remarks Documents
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
OCX Amends OCX Rule 419 (Regulatory Halts), to clarify the effective time of a halt on the Exchange. 11/03/2009 Certified 11/27/2009 1
OCX Amending OneChicago Rule 902 (Contract Specifications) to Reflect the Updated Securities Transaction Settlement Cycle 08/29/2017 Certified 09/13/2017 1
OCX Revisions to Rules 510 and 605 to update referenced organization name from NASD to FINRA and AMEX to NYSE AMEX. 11/16/2011 Certified 12/02/2011 1
OCX Notice to members regarding disclosure of payment for order flow. 07/09/2013 Certified 07/24/2013 1
OCX Amending Appendix B to Chapter 9 of the OneChicago Rulebook 06/06/2017 Certified 06/20/2017 1
OCX Issuing Notice to Members 2015-20 (Execution Fee Cap for OCX.NoDivRisk Products) 06/25/2015 Certified 07/10/2015 1
OCX Issuing NTM 2016-3 (Discontinuing Competitive Block Trades) 01/25/2016 Certified 02/08/2016 1
OCX Issuing NTM 2016-12 (OneChicago Ownership and Control Reports) 05/11/2016 Certified 05/25/2016 1
OCX Issuing Regulatory Release 2016-18 (Large Trader Reporting Guide) & Regulatory Release 2016-19 (OneChicago Ownership and Control Reports) 08/03/2016 Certified 08/17/2016 1
OCX Clarifying the distinction of an Exchange of Futures for Physical "EFP" transaction. OCX #2012-04 03/09/2012 Certified 03/26/2012 1
OCX Amendment to OneChicago Rule 419 Regulatory Halts to insure that the rules regarding regulatory halts are consistent with recent approval by the SEC in Release No.34-62252 dated 6/10/10. 07/13/2010 Certified 12/17/2010 1
OCX Removing References to the OCX.BETS and CBOEdirect Platforms 09/04/2014 Certified 09/18/2014 1
OCX Issuing Regulatory Release 2017-8 (OneChicago Ownership and Control Reports) 07/17/2017 Certified 07/31/2017 1
OCX Amending OCX Rule 601 (Fraudulent Acts) 01/17/2017 Certified 01/31/2017 1
OCX Amending OneChicago Rules 117 (Clearing Corporation) and 144 (OneChicago Workstation) to Remove References to CME and CBOE 10/18/2017 Certified 11/01/2017 1
OCX Removing Schedule A to Chapter 4 from the OneChicago Rulebook 09/14/2016 Certified 09/28/2016 1
OCX Issuing NTM 2015-47 (Large Trader Reporting Guide) 12/17/2015 Certified 01/04/2016 2
OCX Issuing Consolidated Exchange of Future for Physical Guidance 09/17/2018 Certified 10/01/2018 1
OCX Booking of EFP cash leg transactions to reflect fees. OCX #2012-14 07/02/2012 Certified 07/18/2012 1
OCX Amending OCX Rule 712 (Respondent Review of Evidence) 07/02/2015 Certified 07/17/2015 1
OCX Permits the Minimum Block Size to be 100 Contracts/Trade, or a Minimum Number of Contracts Equal to 10,000 Shares of the Underlying Security (or Combined Securities as Relevant) for Single Stock Futures that Have Trading Units Greater than 100 Shares. 02/02/2007 Certified 02/02/2007 1
OCX Revisions to OneChicago Rule 905 to support the trading and reporting of block and EFP trade/report in four decimal points. 07/13/2011 Certified 07/14/2011 1
OCX Issuing NTM 2017-12 (OneChicago Execution Fee Applied to CMTA Firm) 03/15/2017 Certified 03/29/2017 1
OCX Issuing Regulatory Release 2017-11 (Large Trader Reporting Guide) 09/05/2017 Certified 09/19/2017 1
OCX Amending OneChicago Rule 404 (Acceptable Orders) 10/26/2017 Certified 11/09/2017 1
OCX Extending the pilot program for lowered minimum block size for another 6 months. 03/26/2013 Certified 04/10/2013 1
OCX NTM 2020-03 (Carry Fee Change) 02/03/2020 Certified 02/18/2020 1
OCX Weekly Futures Rule Change. OCX #14-004A 06/05/2014 Certified 06/20/2014 2
OCX Issuing Regulatory Release 2016-14 (Decreasing Reportable Level to One Contract for All OneChicago Products) 06/16/2016 Certified 06/30/2016 1
OCX Amending OCX Rules 705 (Review of Investigative Reports) and 717 (Summary Imposition of Fines) and Issuing NTM 2015-48 (Summary Fine Schedule) 12/29/2015 Certified 01/13/2016 1
OCX Issuing NTM 2018-6 Block Calendar Spread Transactions 02/08/2018 Certified 02/23/2018 1
OCX One Year Extension of the Minimum Block Size Pilot Program. 09/20/2013 Certified 10/05/2013 1
OCX Issuing NTM 2018-15 (Reducing Fees) 04/10/2018 Certified 04/24/2018 1
OCX Notice to Members regarding exchange future for physical confirmations. 04/03/2013 Certified 04/18/2013 1
OCX Amending OCX Rule 424 (Concurrent Long and Short Positions) 09/19/2016 Certified 10/03/2016 1
OCX Amendment to Rule 417-Block Trading to clarify that prices for block trades must be reasonable. 06/10/2011 Certified 06/24/2011 1
OCX Regulatory notice regarding Block Trades to clarify permissible pricing and hedging activities for the block. 05/06/2011 Certified 05/06/2011 1
OCX Amending OCX Rule 403 (Order Entry) and Issuing Notice to Members 2015-6 (Audit Trail Requirements) 03/09/2015 Certified 03/23/2015 1
OCX Accommodates the initiation of the OneChicago Block & EFP Trading System by changes to Acceptable Orders, Execution of Orders and Exchange of Futures for Physical transactions, etc. 07/19/2007 Certified 08/01/2007 1
OCX Permits reporting of block trades and EFP transactions through the OneChicago Block & EFP Trading System and makes conforming amendments to OneChicago Policies: Block Trades, Pre-Execution Discussions and Cross Trades. 07/19/2007 Certified 08/01/2007 1
OCX Revisions to OneChicago Chapter 7 Rules Involving Discipline and Enforcement. 07/20/2012 Certified 08/04/2012 2
OCX Expanding Bilateral Block and EFP Trading Hours 10/23/2014 Certified 11/06/2014 1
OCX Amending Rule 417 (Block Trading) and Issuing Regulatory Release 2020-02 02/06/2020 Certified 02/21/2020 1