AN2011

Notice to Members 2011-31

OCX.BETS® Account number field change. Effective Date: December 22, 2011 In an ongoing effort to improve the performance of OCX.BETS® and alleviate the opportunity for user error resulting in Failed trades, OneChicago will begin populating a default futures account when the futures account field is left blank by the user and a trade occurs. To […]


Holiday Notice

Holiday Trading Hours In observance of the upcoming Holidays, OneChicago will follow the schedule below, which is consistent with U.S. equity markets. Date Hours Monday, December 26, 2011 CLOSED Monday, January 2, 2012 CLOSED If you have any questions, please contact OneChicago at 312.424.8500 or info@OneChicago.com.


Notice to Members 2011-30

Information Update: Market Depth Effective Date: December 5, 2011 Using OCX.BETS “Live Prices” tab, the displayed quantity is only the last updated order at the best market price. To view the market depth on the screen, click the order and look to the box at the top left of the window. This will display up […]


Press Release 12/1/2011

OneChicago Announces Trading Volumes for November 2011 -Exchange for Physical (EFP) posts best year-to-date month in November with 131,277 contracts, up 30% over October Chicago – December 1, 2011 – OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 358,037 security futures contracts were traded in the month of November 2011. […]


Notice to Members 2011-29

Changes to OCX.RiskMan™ for OCX.BETS® Trades Effective Date: November 17, 2011 In response to customer requests, the following changes to OCX.RiskMan™ will be effective for trade date Thursday, November 17, 2011: • Failed trades will no longer be posted to OCX.RiskMan. In the event of a failed trade, the intraday notional value will adjust to […]


Press Release 11/1/2011

OneChicago Announces Trading Volumes for October 2011 – October 2011 marks the one year anniversary of the OCX.NoDivRisk® product suite Chicago – November 1, 2011 – OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 170,470 security futures contracts were traded in the month of October 2011. OneChicago now lists 1,322 […]


Notice to Members 2011-27

MF Global Inc (OCC Firm 292) is Suspended from Trading and Access Privileges at OneChicago Effective Date: November 1, 2011 Effective immediately MF Global Inc, OCC Clearing Firm 292, is suspended from Trading and Access Privileges at OneChicago. This action is being taken based on OCC suspending the firm. View the full filing. Any questions […]


Notice to Members 2011-26

MF Global (OCC Firm 292) Restricted to Closing Only Date: October 31, 2011 Effective immediately, MF Global, OCC Clearing Firm 292, is restricted to closing only transactions at OneChicago. View the full filing. Any questions can be directed to Tom McCabe at 312.424.8512.


Press Release 2011-10-20

OneChicago’s OSO Services Help Firms Meet FINRA Obligations New offering eliminates inefficiencies caused by manual processes and reduces operational risk Chicago – October 20, 2011 – OneChicago, LLC (OCX), an equity finance exchange, announced today the availability of its new Order Sending Organization (OSO) services designed to assist firms that execute point-and-click traded Exchange Future […]


Notice to Members 2011-24

The Financial Industry Regulatory Authority (FINRA) requires additional information on the OATS submission in conjunction with the OATS for Reg NMS expansion, which goes live on Monday, October 17, 2011. To accommodate for this expansion, OneChicago has updated the OCX.BETS® order/trade screen and the associated API to reflect the additional required information. View the rest […]


Notice to Members 2011-25

Changes in OCX.BETS and related OATS reporting processes have been made due to feedback from the trading community. OATS Processing Exchange Futures for Physical Trades OCX.BETS® Audit Trail reporting Real Time Reports Effective Date: October 17, 2011 View the rest of this notice


Notice to Members 2011-22

Updates for Trading on OCX.BETS® As of trade date Thursday October 7, 2011 two new changes will be implemented to the trading process on OCX.BETS®: View the rest of this notice


Notice to Members 2011-23

Security Futures Products Rule Submission and Rule Certification OCX.NoDivRisk Adding new Appendices A and B to Chapter 9 Date: October 21, 2011 OneChicago has submitted a rule amendment to the CFTC which adds a new Appendix A and Appendix B to Chapter 9 that more completely describes the OCX.NoDivRisk™ products. The revisions are included as […]


Press Release PR11-13 10/4/2011

OneChicago Announces Trading Volumes for September 2011 – OneChicago now lists 2,800 products, including 400 ETFs and more than 1,300 products in OCX.NoDivRisk™ suite Chicago – October 4, 2011 – OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 182,157 security futures contracts were traded in the month of September 2011. […]


Notice to Members 2011-21

Effective Date Changes for: OATS Processing and Exchange Futures for Physical Trading on OCX.BETS® Effective Date Changes for: Notice to Members 2011-18: OATS Processing Notice to Members 2011-20: Exchange Futures for Physical Trading on OCX.BETS® Based on a FINRA date change to implement updated OATS, OneChicago will consequently follow the same protocol. Notice to Members […]


Regulatory Memo Re: OATS Requirements

OATS Reporting Requirements Re:   OATS Exchange Futures for Physical Trading on OCX.BETS®         OATS Expansion         Information Barrier ID The Financial Industry Regulatory Authority (“FINRA”) has updated the OATS Reporting Technical Specifications to, among other items, expand OATS reporting to all Reg NMS stocks. These changes are effective October 3, 2011. As part of that expansion, […]


Notice to Members 2011-20

Exchange Futures for Physical Trading on OCX.BETS® Effective Date: September 23, 2011 The Financial Industry Regulatory Authority (“FINRA”) has updated the OATS Reporting Technical Specifications to, among other items, expand OATS reporting to all Reg NMS stocks. These changes are effective October 3, 2011. As part of that expansion, FINRA is requiring additional information on […]


Notice to Members 2011-18

OATS Processing BETS Audit Trail reporting Real Time Reports Effective Date: October 3, 2011 OneChicago is updating its OCX.BETS system and the resulting audit trail and OATS reports to meet the requirements outlined in FINRA’s Oat Reporting Technical Specifications as of May 3, 2011 Read the rest of the PDF here.


Press Release PR11-12 09/2/2011

OneChicago Announces Trading Volumes for August 2011 -Volume up 25% over August 2010 -Open interest stood at 385,072 contracts on the equity finance exchange at the end of August Chicago – September 2, 2011 – OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 507,238 security futures contracts were traded in […]


Notice to Members 2011-19

OneChicago Instance of CBOEdirect, GTC Stop Orders As of Tuesday, August 30, 2011 the Good Till Cancelled (GTC) stop order type is fully functional on the OneChicago instance of CBOEdirect. For further information contact Operations at 312-424-8507 or operations@onechicago.com


Holiday Notice – Labor Day

Labor Day Holiday Trading Hours OneChicago (OCX) will be closed on Monday, September 5, 2011 in observance of the upcoming Labor Day Holiday, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, September 6, 2011. If you have any questions, please contact OneChicago at 312.424.8500 or info@OneChicago.com.


Press Release PR11-11 08/16/2011

FFastFill Certifies as Independent Software Vendor for OneChicago Chicago and London – August 16, 2011 – OneChicago (OCX), a US equity finance exchange and FFastFill, a leader in providing Software as a Service (SaaS), today announced that the exchange has certified FFastFill as an independent software vendor (ISV). As a OneChicago ISV, FFastFill will provide […]


Press Release PR11-10 08/02/2011

OneChicago Announces Trading Volumes for July 2011 EFPs and block activity represented more than $370 million in notional value in July Chicago – August 2, 2011 – OneChicago, LLC (OCX), an equity finance exchange, today announced that a total of 115,974 security futures contracts were traded in the month of July 2011. July 2011 Highlights […]


Notice To Members 2011-17

Security Futures Products Rule Submission and Rule Certification Updated Revisions to OneChicago Rule 905 Expanding Trade Prices to Four (4) Decimal Points Dear Mr. Stawick: Pursuant to section 5c(c)(1) of the Commodity Exchange Act, as amended (the “Act”), and section 41.24 of the regulations promulgated by the Commission under the Act, submitted herewith is an […]


Notice To Members 2011-16

OneChicago refines Execution Fee and Carry Fee structure for trading Security Futures (SSF) As of August 1, 2011 a minimum execution fee and carry fee charge per tradable instrument of $0.01 will be in effect. Execution fees are assessed at the rate of $20 per $1 million dollars (2/10th of a basis point) of the […]


Holiday Notice – Independence Day July 4th

Independence Day Holiday Trading Hours OneChicago (OCX) will be closed on Monday, July 4, 2011 in observance of the upcoming Independence Day Holiday, July 4th, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, July 5, 2011. If you have any questions, please contact OneChicago at 312.424.8500 or info@OneChicago.com.


Notice To Members 2011-15

Restricted Stock List Functionality added to OCX.RiskMan™ Effective: June 30, 2011 OneChicago’s OCX.RiskMan™ is used by clearing firms to set risk controls for each OneChicago access point they authorize. OneChicago supports the trading/reporting of Blocks and Exchange Futures for Physicals (“EFP”) in OneChicago’s products. Restricted Stock List OCX.RiskMan Functionality OneChicago is adding restricted stock list […]


Notice To Members 2011-14

OneChicago Rule Changes Rule 414, Position Limits and Position Accountability Rule 417, Block Trading Effective: June 15, 2011 OneChicago has updated two rules such that the rules are consistent with previously issued regulatory notices. Rule 414, Position Limits and Position Accountability OneChicago Rule 414, Position Limits and Position Accountability; was updated to include a new […]


Notice To Members 2011-13

Change to EFP reporting for the equity leg. Effective: June 17, 2011 Based on customer feedback, OneChicago is modifying the reporting for crossed Exchange Future for Physical (“EFP”) trades that are point and click trade on the OCX.BETS™ platform. Specifically, for trade June 17th, OneChicago will modify the EFP equity leg that is posted to […]


Press Release PR11-08 06/09/2011

OneChicago Offers OATS OSO Services for Point-and-Click Traded EFPs New service allows firms to meet FINRA regulatory obligations Chicago – June 9, 2011 – OneChicago, LLC (OCX), an equity finance exchange listing security futures, announced today that it is now offering Order Audit Trail System (OATS) Order Sending Organization (OSO) services to its customers. The […]


Notice To Members 2011-12

OneChicago Offers Transmitting OSO (Order Sending Organization) Services to submit OATS reports on behalf of firms OneChicago is now offering OATS OSO (Order Sending Organization) services to our customers executing point and click traded EFPs (Exchange Future for Physicals) at OneChicago. OneChicago will create and submit to FINRA the appropriate OATS records based on data […]


Notice To Members 2011-11

OneChicago makes available OATS formatted Order Event records for the stock portion of Exchange Future for Physical (“EFP”) trades where OneChicago has submitted the stock portion to the FINRA/NASDAQ trade reporting facility. The data is available as Reportable Order Events (“ROE”) formatted as New Order, Cancel/Replace and Execution reports or as Combined Order/Execution reports as […]


Press Release PR11-07 06/01/2011

OneChicago Reports May Volume Chicago – June 1, 2011 – OneChicago, LLC (OCX), an equity finance exchange trading security futures, today reported that 263,912 security futures contracts traded at the exchange in May 2011. Open interest stood at 443,620 contracts at the end of May 2011. May 2011 Highlights • 43% of May 2011 month-end […]


Notice To Members 2011-10

Reminder — Open Interest Reporting and Carry Fees OneChicago updated its pricing structure for exchange fees to encompass an execution fee and a carry fee as of May 1, 2011. The carry fee is computed daily, including weekends and holidays, based on the open interest reported by the clearing firm. OneChicago reiterates the importance for […]


Notice To Members 2011-9

Securities and Exchange Commission Rule 15c3-5 Applicability to Security Futures The Securities and Exchange Commission (“SEC” or “Commission”) has issued Rule 15c3-5, Risk Management Controls for Brokers or Dealers With Market Access. Generally, the notice requires that Brokers or Dealers (“BDs”) with access to securities markets, including security futures markets, to establish and maintain a […]


Notice To Members 2011-8

Rule 417, Block Trading Rule 610, Priority of Customer Orders In response to inquiries, the Exchange is providing guidance regarding block trading with customers, specifically pre-hedging block trades by executing trades in related instruments and reporting such trades. A related topic Rule 610, Priority of Customer Orders, is also addressed in the second half of this notice. […]


Press Release PR11-06 05/04/2011

OneChicago Unveils New Name for Innovative Product, OCX.NoDivRisk Updated identifier reflects the product’s value to investors Chicago – May 4, 2011 – OneChicago, LLC (OCX), an equity finance exchange that offers security futures, announced today the renaming of its security futures 1D product to OCX.NoDivRisk from OCX.NoDiv. The new identifier for the product suite, which […]


Press Release PR11-05 05/01/2011

OneChicago Reports April Volume 49% of Month End Open Interest was in OCX.NoDivRisk™ products Chicago – May 2, 2011 – OneChicago, LLC (OCX), an equity finance exchange trading security futures, today reported that 331,209 security futures contracts traded at the exchange in April 2011. Open interest stood at 450,409 contracts at the end of April […]


Notice to Members 2011-6

As previously announced, OneChicago is changing its trading fee structure to more closely align it’s pricing with similar equity financing tools. We have prepared the following Questions and Answers to improve our customer’s understanding of the new fee structure. What are the new Exchange Fees? OneChicago fees will be divided into two parts –an execution […]


Holiday Notice – Good Friday

Good Friday Holiday Trading Hours OneChicago (OCX) will be closed on Friday, April 22, 2011 in observance of the upcoming Holiday, Good Friday, which is consistent with U.S. equity markets. OneChicago will be open on Monday, April 25, 2011 If you have any questions, please contact OneChicago at 312.424.8500 or info@OneChicago.com.


Notice To Members 2011-7

Customer Margins Increases Effective April 14, 2011 OneChicago is raising the minimum customer margin levels to 50% on the following futures effective April 14, 2011. Symbol Description CGA1C China Green Agriculture Futures CHBT1C China-Biotics Futures CHBT1D China-Biotics Futures DEER1C Deer Consumer Products Futures FEED1C AgFeed Industries Futures FSIN1C Fushi Copperweld Futures HRBN1C Harbin Electric ONP1C […]


Press Release – New Fee Structure

OneChicago Changes Fee Structure to Highlight Significant Cost Savings – New fees will position security futures as competitive equity finance products – Fee structure sets first example for listed derivatives in accordance to Dodd-Frank Chicago – April 13, 2011 – OneChicago, LLC (OCX), an equity finance exchange trading security futures, today announced that it is […]


Notice to Members 2011-5

OneChicago Fee Data Files As previously announced, OneChicago is changing its trading fee structure to more closely align it’s pricing with similar equity financing tools. The new fees are effective May 1, 2011. OneChicago will make 4 files available each day. Access to the reports will be in an OneChicago secure production billing directory setup […]


Press Release PR11-04 04/01/2011

OneChicago Reports March Volume, Increase of 24% over March 2010 – March numbers round off a quarter of steady volume increase Chicago – April 1, 2011 – OneChicago, LLC (OCX), an equity finance exchange trading security futures, today reported that 479,402 security futures contracts traded at the exchange in March 2011, an increase of 24% […]


Notice to Members 2011-4

March 14, 2011 RE: OneChicago Fee Structure Changes OneChicago will be changing the fee structure for trading Security Futures (SF). The change is to highlight the superior financing rates that participants receive when carrying their equity exposure via the SF. When customers calculate the cost of carrying a position on securities margin against the cost […]


Notice to Members

Addition of Contract Months March 3, 2011 OneChicago, LLC will add Contract Months to the Narrow Based Indices (NBI’s) listed below effective for trading, Friday, March 4, 2011. Row Underlying Symbol Futures Symbol Security Name Contract Month to be Added 1 XOEJ XOEJ9C OneChicago Select Index XOEJ June ’11 2 XOEK XOEK9C OneChicago Select Index […]


Press Release PR11-03 03/03/2011

OneChicago Reports February Volume Chicago, IL – March 3, 2011 – OneChicago, LLC (“OCX”), an equity finance exchange trading security futures, today reported that 177,910 security futures contracts traded at the exchange in February 2011. Open interest stood at 367,720 contracts at the end of February 2011. February Highlights • 159,997 EFPs and blocks were […]


Holiday Notice – Presidents’ Day

Presidents’ Day Trading Hours Trading Community Notice RE: Holiday Trading Hours OneChicago (OCX) will be closed on Monday, February 21, 2011 in observance of the upcoming Holiday, Presidents Day, which is consistent with U.S. equity markets. OneChicago will be open on Tuesday, February 22, 2011. If you have any questions, please contact OneChicago at 312.424.8500 […]


Notice to Members

Addition of Contract Month DATE: February 11, 2011 RE: Addition of Contract Month OneChicago, LLC will add a Contract Month to the security listed below effective for trading, Monday, February 14, 2011. Row Underlying Symbol Futures Symbol Security Name Contract Monthto be Added 1 TOT TOT1C TOTAL S.A. May ’11 For further information contact Shahe […]


Notice to Members 2011-3

OneChicago Near Real Time OCX.BETS Reports View PDF


Special Notice to the DIA Symbol Contract

OneChicago will launch 1C & 1D futures contracts with a 1,000 multiplier on the SPDR Dow Jones Industrial Average ETF (“DIA”) in the coming weeks. To accommodate these news contracts the current 100 multiplier contracts , which use the DIA symbol will have a symbol change to DIAM in keeping with OneChicago’s other 100 muliplier […]


Notice to Members 2011-2

Changes to Position Limits and Position Accountability Thresholds View PDF


Holiday Notice – MLK Jr. Day

Holiday hours: View PDF


Notice to Members 2011-1

Expanding Trade Prices to Four (4) Decimal Points on 1/18/2011. View PDF


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