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OCC Rulemaking

We encourage the public to submit comments on the following Options Clearing Corporation (OCC) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Note:  Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

OCC File Number List for 2014

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-OCC-2014-16
34-73143 Sep. 18, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
Comments due: October 15, 2014

SR-OCC-2014-17
34-72752 Aug. 4, 2014 Notice of Filing of Proposed Rule Change to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month
Comments due: August 29, 2014

SR-OCC-2014-16
34-72718 Jul. 30, 2014 Notice of Filing of Proposed Rule Change to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-OCC-2014-14
34-72717 Jul. 30, 2014 Notice of Filing of Proposed Rule Change to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes
Comments due: August 26, 2014

SR-OCC-2014-15
34-72677 Jul. 25, 2014 Notice of Filing of Proposed Rule Change to Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts to Ensure that Only Net Long Positions May Be Exercised
Comments due: August 21, 2014
Comments received are available for this proposal.

SR-OCC-2014-12
34-72597 Jul. 11, 2014 Order Approving Proposed Rule Change to Make Its Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit
See also: Notice: Rel. No. 34-72294

SR-OCC-2014-09
34-72564 Jul. 8, 2014 Order Approving Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
See also: Notice: Rel. No. 34-72242
Second Quarter

SR-OCC-2014-13
34-72331 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide for the Calculation of Initial Margin Requirements for Segregated Futures Accounts Through the Use of the Standard Portfolio Analysis of Risk Margin Calculation System
Comments due: July 2, 2014

SR-OCC-2014-11
34-72330 Jun. 5, 2014 Notice of Filing of Proposed Rule Change to Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Clearing Fee Schedule
Comments due: July 2, 2014

SR-OCC-2014-12
34-72294 Jun. 2, 2014 Notice of Filing of Proposed Rule Change to Make The Options Clearing Corporation's Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit
Comments due: June 27, 2014
See also: Order: Rel. No. 34-72597

SR-OCC-2014-10
34-72266 May 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require That Intraday Margin be Collected and Margin Assets Not be Withdrawn When a Clearing Member's Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC to Satisfy Such Settlement Obligations
Comments due: June 24, 2014

SR-OCC-2014-09
34-72242 May 23, 2014 Notice of Filing of Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: June 20, 2014
See also: Order: Rel. No. 34-72564

SR-OCC-2014-07
34-72206 May 21, 2014 Order Approving Proposed Rule Change to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets
See also: Notice: Rel. No. 34-71910

SR-OCC-2014-07
34-71910 Apr. 9, 2014 Notice of Filing of Proposed Rule Change to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes
Comments due: May 6, 2014
See also: Order: Rel. No. 34-72206

SR-OCC-2014-08
34-71893 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of its Directors, Officers and Other Personnel
Comments due: May 2, 2014

SR-OCC-2014-06
34-71846 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Change Which Would Authorize the Executive Chairman, the Management Vice Chairman, or the President to Delegate to Other OCC Officers Their Authority to Review and Approve Certain Clearing Member Business Expansion Requests and Changes in Facilities Management Arrangements, Provided That Such Delegate is an Officer of the Rank of Senior Vice President or Higher
Comments due: 21 days after publication in the Federal Register
First Quarter

SR-OCC-2014-05
34-71769 Mar. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule
Comments due: April 17, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-OCC-2014-04
34-71751 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Administrative and Conforming Changes to Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect that Two Management Directors are on the Board of Directors
Comments due: April 15, 2014

SR-OCC-2014-03
34-71646 Mar. 4, 2014 Notice of Filing of Proposed Rule Change to Comply With Recently Adopted Commodity Futures Trading Commission Requirements for Derivatives Clearing Organizations That Accept Deposits of Futures Customer Funds
Comments due: March 31, 2014

SR-OCC-2014-01
34-71627 Feb. 27, 2014 Order Approving Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors
See also:  Notice: Rel. No. 34-71311

SR-OCC-2013-23
34-71571 Feb. 19, 2014 Order Approving Proposed Rule Change, As Modified by Amendment No. 1, to Provide OCC With Authority in Emergency Circumstances to Waive, Suspend, or Extend the Time for Compliance With Its By-Laws, Rules, Policies and Procedures, or any Other Rules Issued by OCC
See also:  Notice: Rel. No. 34-71268

SR-OCC-2014-02
34-71505 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Accommodate the Clearing of Physically-Settled Single Stock Futures for Which Delivery Would Occur on the First Business Day After the Maturity Date
Comments due: March 6, 2014

SR-OCC-2013-22
34-71422 Jan. 28, 2014 Order Approving Proposed Rule Change to Make a Non-Material Housekeeping Rule Change so that OCC's Membership Qualifications Accurately Reflect Current Operational Practices
See also:  Notice: Rel. No. 34-71090

SR-OCC-2013-18
34-71396 Jan. 24, 2014 Order Approving Proposed Rule Change Concerning the Governance Committee Charter
See also:  Notice: Rel. No. 34-71030

SR-OCC-2014-01
34-71311 Jan. 15, 2014 Notice of Filing of Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors
Comments due: February 12, 2014
See also:  Notice: Rel. No. 34-71627

SR-OCC-2013-23
34-71268 Jan. 9, 2014 Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, to Provide OCC With Authority in Emergency Circumstances to Extend, Waive, or Suspend the Operation of its By-Laws, Rules, Policies and Procedures, or any Other Rules Issued by OCC
Comments due: February 5, 2014
See also:  Order: Rel. No. 34-71571


OCC File Number List for 2014

Release No. Date Details

SR-OCC-2014-17
34-72752 Aug. 4, 2014 Notice of Filing of Proposed Rule Change to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month
Comments due: August 29, 2014

SR-OCC-2014-16
34-73143 Sep. 18, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
Comments due: October 15, 2014

SR-OCC-2014-16
34-72718 Jul. 30, 2014 Notice of Filing of Proposed Rule Change to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
Comments due: August 26, 2014
Comments received are available for this proposal.

SR-OCC-2014-15
34-72677 Jul. 25, 2014 Notice of Filing of Proposed Rule Change to Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts to Ensure that Only Net Long Positions May Be Exercised
Comments due: August 21, 2014
Comments received are available for this proposal.

SR-OCC-2014-14
34-72717 Jul. 30, 2014 Notice of Filing of Proposed Rule Change to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes
Comments due: August 26, 2014

SR-OCC-2014-13
34-72331 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide for the Calculation of Initial Margin Requirements for Segregated Futures Accounts Through the Use of the Standard Portfolio Analysis of Risk Margin Calculation System
Comments due: July 2, 2014

SR-OCC-2014-12
34-72597 Jul. 11, 2014 Order Approving Proposed Rule Change to Make Its Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit
34-72294 Jun. 2, 2014 Notice of Filing of Proposed Rule Change to Make The Options Clearing Corporation's Existing Policy Concerning Specified Concentration Limits Related to Deposits of Certain Letters of Credit Applicable to All Letters of Credit
Comments due: June 27, 2014

SR-OCC-2014-11
34-72330 Jun. 5, 2014 Notice of Filing of Proposed Rule Change to Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Clearing Fee Schedule
Comments due: July 2, 2014

SR-OCC-2014-10
34-72266 May 28, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require That Intraday Margin be Collected and Margin Assets Not be Withdrawn When a Clearing Member's Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC to Satisfy Such Settlement Obligations
Comments due: June 24, 2014

SR-OCC-2014-09
34-72564 Jul. 8, 2014 Order Approving Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
34-72242 May 23, 2014 Notice of Filing of Proposed Rule Change Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: June 20, 2014

SR-OCC-2014-08
34-71893 Apr. 7, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Certain Enhancements and Clarifications With Respect to OCC's Indemnification of its Directors, Officers and Other Personnel
Comments due: May 2, 2014

SR-OCC-2014-07
34-72206 May 21, 2014 Order Approving Proposed Rule Change to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets
34-71910 Apr. 9, 2014 Notice of Filing of Proposed Rule Change to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets and Make Additional, Conforming, Rule Changes
Comments due: May 6, 2014

SR-OCC-2014-06
34-71846 Apr. 1, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make a Change Which Would Authorize the Executive Chairman, the Management Vice Chairman, or the President to Delegate to Other OCC Officers Their Authority to Review and Approve Certain Clearing Member Business Expansion Requests and Changes in Facilities Management Arrangements, Provided That Such Delegate is an Officer of the Rank of Senior Vice President or Higher
Comments due: 21 days after publication in the Federal Register

SR-OCC-2014-05
34-71769 Mar. 21, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule
Comments due: April 17, 2014
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-OCC-2014-04
34-71751 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Administrative and Conforming Changes to Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect that Two Management Directors are on the Board of Directors
Comments due: April 15, 2014

SR-OCC-2014-03
34-71646 Mar. 4, 2014 Notice of Filing of Proposed Rule Change to Comply With Recently Adopted Commodity Futures Trading Commission Requirements for Derivatives Clearing Organizations That Accept Deposits of Futures Customer Funds
Comments due: March 31, 2014

SR-OCC-2014-02
34-71505 Feb. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Accommodate the Clearing of Physically-Settled Single Stock Futures for Which Delivery Would Occur on the First Business Day After the Maturity Date
Comments due: March 6, 2014

SR-OCC-2014-01

SR-OCC-2014-01
34-71627 Feb. 27, 2014 Order Approving Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors
34-71311 Jan. 15, 2014 Notice of Filing of Proposed Rule Change Concerning Amendments to the Charters for the Membership/Risk Committee, Audit Committee and Performance Committee of OCC's Board of Directors
Comments due: February 12, 2014

 

http://www.sec.gov/rules/sro/occ.shtml


Modified: 10/16/2014