OneChicago, LLC is a Designated Contract Market regulated by the CFTC and a notice-registered national securities exchange with the SEC. As a self-regulatory organization, OneChicago has an obligation to regulate and supervise its marketplace to ensure transparency, fairness, and uphold the integrity of our exchange.
Questions regarding exchange rules or market regulation should be sent to firstname.lastname@example.org.
The OneChicago Compliance Department is responsible for ensuring compliance by market participants with exchange rules by reviewing trading activity, conducting investigations, and prosecuting wrongdoers. The Compliance Department works hand in hand with OneChicago’s regulators, as well as other futures and securities exchanges to achieve these goals.
Additional regulatory notices and memos regarding the latest exchange policies.
RR 2017-8 OneChicago Ownership and Control Reports
RR 2016-1 OneChicago Audit Trail Requirements
RR 2015-48 OneChicago Summary Fine Schedule
RR 2014-33 Bilateral Block and Bilateral EFP Reporting Guidance
RR 2014-6 OCX.NoDivRisk Block Trade Minimum Threshold
RR 2013-20 Competitive Execution of Block Rolls Required
RR 2013-9 EFP Confirmations
RR 2012-25 Block Trades (Superseded in part by RR 2014-33)
RR 2012-4 EFP Guidance
RR 2011-8 Block Trading
RR 2017-11 Large Trader Reporting Guide
Trading Halt Guidelines
OneChicago Error Trade Policy
Security Futures Margins Questions & Answers
RR 2013-12 Disclosure of Payment for Order Flow Arrangements
RR 2012-26 Pre-Execution Discussions and Cross Trades
RR 2011-8 Priority of Customer Orders