SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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
First Quarter

OCC File Number List for 2015
          *  OCC
          *  ODD

Additional Archives


Chronological List
Release No. Date Details
First Quarter

SR-OCC-2015-009
34-74603 Mar. 27, 2015 Notice of Filing of a Proposed Rule Change to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-04
34-74537 Mar. 19, 2015 Order Approving Proposed Rule Change, as Modified by Amendment 1 Thereto, to Expand the Officers Who May Declare That a Clearing Member is Summarily Suspended
See also: Notice: Rel. No. 34-74212

SR-OCC-2015-007
34-74536 Mar. 19, 2015 Notice of Filing of Proposed Rule Change to Enhance the Measurement Used to Establish Minimum Capital Requirements for Banks Approved to Issue Letters of Credit
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-006
34-74511 Mar. 16, 2015 Notice of Filing of Proposed Rule Change Concerning the Provision of Clearance and Settlement Services for Energy Futures and Options on Energy Futures
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-005
34-74476 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Account From Which Certain Clearing Members May Fund the Additional Margin Requirement Associated With Overnight Trading Sessions
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-02
34-74452 Mar. 6, 2015 Order Approving Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
See also: Notice: Rel. No. 34-74136
Additional Materials:  

SR-OCC-2015-03
34-74432 Mar. 4, 2015 Notice of Filing of Proposed Rule Change Concerning the Execution of an Agreement for Clearing and Settlement Services between OCC and NASDAQ Futures, Inc.
Comments due: March 31, 2015
Additional Materials: Exhibit 3

SR-OCC-2014-21
34-74406 Mar. 2, 2015 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change in Order to Permit OCC to Adjust the Size of its Clearing Fund on an Intra-Month Basis
Comments due: March 27, 2015
Rebuttal comments due: April 10, 2015
See also: Notice: Rel. No. 34-73685
Comments received are available for this proposal.

SR-OCC-2014-23
34-74302 Feb. 19, 2015 Order Approving Proposed Rule Change to Clarify that OCC would not Treat a Futures Transaction that is an Exchange-for-Physical or Block Trade as a Non-Competitively Executed Trade if the Exchange on Which Such Trade is Executed has Provided OCC with Representations That it Has Policies or Procedures Requiring That Such Trades be Executed at Reasonable Prices and That Such Price is Validated by the Exchange
See also: Notice: Rel. No. 34-73961

SR-OCC-2015-04
34-74212 Feb. 5, 2015 Notice of Filing of a Proposed Rule Change, and Amendment 1 Thereto, to Expand the Officers Who May Declare That a Clearing Member is Summarily Suspended
Comments due: March 4, 2015
See also: Order: Rel. No. 34-74537

SR-OCC-2015-02
34-74136 Jan. 26, 2015 Notice of Filing of a Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due:  February 20, 2015
Comments received are available for this proposal.

SR-OCC-2015-01
34-74042 Jan. 13, 2015 Notice of Filing of Proposed Rule Change Concerning the Date of the Annual Meeting of The Options Clearing Corporation's Stockholders
Comments due:  February 10, 2015
OCC File Number List for 2015

Release No. Date Details

SR-OCC-2015-009
34-74603 Mar. 27, 2015 Notice of Filing of a Proposed Rule Change to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-007
34-74536 Mar. 19, 2015 Notice of Filing of Proposed Rule Change to Enhance the Measurement Used to Establish Minimum Capital Requirements for Banks Approved to Issue Letters of Credit
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-006
34-74511 Mar. 16, 2015 Notice of Filing of Proposed Rule Change Concerning the Provision of Clearance and Settlement Services for Energy Futures and Options on Energy Futures
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-005
34-74476 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Account From Which Certain Clearing Members May Fund the Additional Margin Requirement Associated With Overnight Trading Sessions
Comments due: 21 days after publication in the Federal Register

SR-OCC-2015-04
34-74537 Mar. 19, 2015 Order Approving Proposed Rule Change, as Modified by Amendment 1 Thereto, to Expand the Officers Who May Declare That a Clearing Member is Summarily Suspended
34-74212 Feb. 5, 2015 Notice of Filing of a Proposed Rule Change, and Amendment 1 Thereto, to Expand the Officers Who May Declare That a Clearing Member is Summarily Suspended
Comments due: March 4, 2015

SR-OCC-2015-03
34-74432 Mar. 4, 2015 Notice of Filing of Proposed Rule Change Concerning the Execution of an Agreement for Clearing and Settlement Services between OCC and NASDAQ Futures, Inc.
Comments due: March 31, 2015
Additional Materials: Exhibit 3

SR-OCC-2015-02
34-74452 Mar. 6, 2015 Order Approving Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
See also: Notice: Rel. No. 34-74136
Additional Materials:  
34-74136 Jan. 26, 2015 Notice of Filing of a Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due:  February 20, 2015
Comments received are available for this proposal.

SR-OCC-2015-01
34-74042 Jan. 13, 2015 Notice of Filing of Proposed Rule Change Concerning the Date of the Annual Meeting of The Options Clearing Corporation's Stockholders
Comments due:  February 10, 2015

 

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


Modified: 03/30/2015