OneChicago Rule Changes

 

Filing Date

Title

Agency

Status

Effective Date

08/18/14

Revised Fee Schedule

CFTC

Pending

10/01/14

06/05/14

Weekly Futures Rule Change

CFTC

Effective

06/20/14

05/28/14

Block Trade Minimum Threshold – Notice to Members 2014-6

CFTC

Effective

06/12/14

05/14/14

Notice of Filing of Proposed Rule Change to Update OCX’s Rulebook for Filings Previously Made with the Commodity Futures Trading Commission

SEC

Pending

05/14/14

05/13/14

Suspension of Competitive EFP Trading Emergency Rule Filing

CFTC/SEC

Effective

05/12/14

03/11/14

Position Limit Exemption Requests – Notice to Members 2014-1

CFTC

Effective

04/01/14

12/19/13

Notice of Filing of Proposed Rule Change to Amend Rules 143 and 417 Relating to Block Trade Reporting

SEC

Effective

12/19/13

12/11/13

Amendments to the OCX Rulebook to Incorporate Weekly Futures

CFTC

Effective

01/03/13

11/21/13

Amendments to OCX Rule 421 – Limitation of Liability; No Warranties

CFTC

Effective

12/07/13

11/12/13

Appointment of Two Directors to OneChicago, LLC’s Board of Directors

CFTC

Effective

11/27/13

10/17/13

Emergency Rule Filing to confirm Rule 417 remains effective in its September 25, 2013 version

CFTC

Effective

11/01/13

09/20/13

Amendment to Rule 417 Block Trading, Changes to the Minimum Block Trade Size Pilot Program Extension

CFTC

Effective

10/05/13

08/22/13

Notice to Members Regarding the Method by Which Market Participants May Trade Block Rolls

CFTC

Effective

09/07/13

08/12/13

OCX Amendment to Appendix B to Chapter 9 of the Rulebook

CFTC

Effective

08/27/13

07/09/13

Notice to Members Regarding Disclosure of Payment for Order Flow

CFTC

Effective

07/24/13

06/27/13

Delisting of Two Security Futures Products

CFTC

Effective

07/13/13

06/24/13

Delisting of a Security Futures Product

CFTC

Effective

07/10/13

04/22/13

Withdraw of Rule Certifications, Rule 137, Foreign Persons and Rule 416, Exchange

Future for Physical

CFTC

Withdrawn

04/29/13

04/03/13

CFTC Notice of EFP Confirmations 4/3/2013

CFTC

Effective

04/18/13

03/26/13

Amendment to Rule 417 Block Trading, Changes to the Minimum Block trade size

CFTC

Effective

04/10/13

02/27/13

Amendment to OneChicago Rule 127, Disciplinary Panel

CFTC

Effective

03/14/13

12/27/12

Revisions to OneChicago Rule 416, Exchange of Future for Physical

CFTC

Effective

01/14/13

09/12/12

Notice of Pre-Execution Discussions and Cross Trades 09-12-2012

CFTC

Effective

09/14/12

09/10/12

Amendment to Rule 417 Block Trading, Changes to the Minimum Block trade size

CFTC

Effective

09/25/12

08/29/12

Revision to OneChicago Rule 307, Application of Rules and Jurisdiction

CFTC

Effective

09/27/12

08/06/12

Revision to OneChicago Rule 307 Application of Rules and Jurisdiction

CFTC

Effective

08/21/12

08/03/12

Revision to OneChicago Rule 307, Application of Rules and Jurisdiction and Revision to

the Cover Page of the OneChicago Rulebook

CFTC

Effective

08/18/12

07/20/12 & 08/01/12

Notice To Members 2012-18

Revisions to OneChicago Chapter 7 Rules Involving Discipline and Enforcement – 07/20/12 & 08/01/12

CFTC

Effective

08/04/12 & 08/16/12

07/13/12

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 EFPs

CFTC

Effective

07/30/12

07/02/12

Booking of EFP Cash Leg Transactions to Reflect Fees

CFTC

Effective

07/18/12

06/19/12

Clarifying the Term “Without Delay” in Regard to the Reporting/Posting of a Bilateral Exchange of Future for Physical and Bilateral Block Trades to OCX

CFTC

Effective

07/04/12

05/31/12

Opening Parameters for all Products on the Central Limit Order Book “CBOEdirect” Will be Any Quote up to $5 Wide

CFTC

Effective

06/15/12

03/09/12

Clarifying the Distinction of an Exchange of Futures for Physical “EFP” Transaction

CFTC

Effective

03/26/12

02/08/12

Revisions to OneChicago Rule 423, Concurrent Long and Short Positions

CFTC

Effective

02/24/12

12/22/11

Notice to Members affecting OCX.BETS Account Number Field Change

CFTC

Effective

01/09/12

11/16/11

Revisions to Rules 510 and 605 to Update Referenced Organization Name from NASD to FINRA and AMEX to NYSE AMEX

CFTC

Effective

12/02/11

11/01/11

Notice Regarding MF Global, Inc. Suspension at OneChicago

CFTC

Effective

11/17/11

10/31/11

Notice to Members 2011-26

MF Global Restricted to Closing Only

CFTC

Effective

11/16/11

10/05/11

Notice to Members 2011-23

Revisions to OneChicago Rule 902

CFTC

Effective

10/21/11

08/08/11

Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for Four Decimal Point Pricing for Block and Exchange for Physical (“EFPs”) Trades

SEC

Effective

08/08/11

07/26/11

Revisions to Rule 905 to Support the Trading and Reporting of Block and EFP Trade/Report in Four Decimal Points

CFTC

Effective

08/15/11

07/13/11

Revisions to OneChicago Rule 905 to Support the Trading and Reporting of Block and EFP Trade/Report in Four Decimal Points

CFTC

Effective

08/15/11

06/10/11

Amendment to Rule 417 – Block Trading to Clarify that Prices for Block Trades Must be Reasonable

CFTC

Effective

06/15/11

05/26/11

Notice to Members Advising that OneChicago is Expanding Trade Prices to Four Decimal Points

CFTC

Effective

05/26/11

05/06/11

Regulatory Notice Regarding Block Trades to Clarify Permissible Pricing and Hedging Activities for the Block

CFTC

Effective

05/11/11

09/08/10

Notice to Members 2010-14

Revisions to OneChicago Rules for Contract Adjustments

CFTC

Effective

09/29/10

07/28/10

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago, Amending Rule 419(a), Regulatory Halts

SEC

Effective

07/28/10

07/13/10

Notice to Members 2010-09

Further Changes to OCX Rule 419 “Regulatory Halts”

SEC

Effective

07/14/10

06/28/10

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by OneChicago Amending Position Limits

SEC

Effective

06/28/10

06/16/10

Notice to Members 2010-04

Changes to OCX Rule 419 “Regulatory Halts”

CFTC

Effective

06/17/10

05/19/10

Revises Cross Trade Policy – To Clarify the Meaning of a Cross-Trade in an Electronic Marketplace

CFTC

Effective

5/19/10

04/09/10

Provides Notification of a Change in Market Surveillance and Compliance Procedures

CFTC

Effective

04/09/10

03/29/10

Notice to Members 2010-02

Amendments to Error Trade Policy and Adoption of Fees View Fee Schedule

CFTC

Effective

03/29/10

03/24/10

Notice to Members 2010-01

Changes to Position Limits and Position Accountability

CFTC

Effective

03/22/10

02/16/10

Provides Notice of Change of Address

CFTC

Effective

02/16/10

01/26/10

Amends OneChicago, LLC Operating Agreement to reflect the addition of Public Directors

CFTC

Effective

01/26/10

01/13/10

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Changing Its Listing Standards in Conformance with the November 19, 2009 Joint Order Modifying the Listing Standards Requirements under Section 6(h) of the Securities Exchange Act of 1934 and the Criteria under Section 2(a)(1) of the Commodity Exchange Act

SEC

Effective

1/13/10

01/04/10

Amends OCX Rules 116A and Submission of New Rules 152A and 207(o), Providing for the Chief Regulatory Officer and the Regulatory Oversight Committee

CFTC

Effective

01/04/10

12/24/09

2009-11 Rule Change

New OCX Rules 207(n) and (a) and Revision of Chapter 7 Discipline and Enforcement

CFTC

Effective

12/30/09

12/16/09

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, Changing Its Listing Standards in Conformance with Amended Joint Order

SEC

Effective

12/16/09

12/08/09

2009-10 Rule Change

Rule 906, Listing Standards

CFTC

Effective

12/14/09

12/01/09

2009-09 Rule Change

Rules 422 and 423, regarding the transfer of trades

CFTC

Effective

12/01/09

11/03/09

2009-07 Rule Change

Interpretation to Rule 419 – Regulatory Halts

CFTC

Effective

11/04/09

10/08/09

2009-06 Rule Change

Rule 902(c) – Contract Specifications and Rule 905 – Form of Specifications Supplement

CFTC

Effective

10/15/09

10/07/09

2009-05 Rule Change

Rules 414 – Position Limits, Rule 716 – Position Limit Violations, Rule 902 – Contract Specifications, and Rule 905 – Form of Specifications Supplement all relate to position accountability rule

CFTC

Pending

10/15/09

06/19/09

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Widening the Bid/Ask Spread For Quoting Market-Makers

SEC

Effective

06/19/09

06/18/09

2009-04 Rule Change

Rule 902 (c) Contract Specifications, Rule 905 Form of Specifications Supplement

CFTC

Effective

06/18/09

06/10/09

2009-03 Rule Change

Interpretation of Exchange Rule 118, Clearing Member definition

CFTC

Effective

06/11/09

06/09/09

2009-02 Rule Change

Rule 515(n)(C)(1)(y) and (C)(2)(y) Changing the Quoting Requirements for Market Makers

CFTC

Effective

06/10/09

04/09/09

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Eliminating the $3 Market Price Maintenance Standard

SEC

Effective

04/09/09

02/27/09

2009-01 Rule Change

Maintenance standards for a security futures product

CFTC

Effective

03/03/09

11/14/08

Provides Guidelines for Trading Halts due to System Failures

CFTC

Effective

11/14/08

09/24/08

2008-04 Rule Change

Provides Notice to Members of Relaxation of Market Maker Conditions.

CFTC

Effective

09/24/08

08/11/08

2008-003 Rule Change

Revision eliminates any minimum contract size requirement for Automatic Matching of EFPs

CFTC

Effective

08/20/08

07/01/08

Provides For an Abbreviated Trading Schedule During the July 4th Holiday Period

CFTC

Effective

07/01/08

02/05/08

2008-002 Rule Change

Rule 416 Exchange of Future for Physical (“EFP”)

CFTC

Effective

03/03/08

02/05/08

2008-001 Rule Change

Rule 517, Customer Margin for Stock Index Futures

CFTC/SEC

Pending

02/05/08

 

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