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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
First Quarter

OCC File Number List for 2015
          *  OCC
          *  ODD

Additional Archives


Chronological List
Release No. Date Details
First Quarter

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

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-2015-04
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

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

 

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


Modified: 02/24/2015