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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
Second Quarter | First Quarter
OCC File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
| Release No. |
Date |
Details |
| Second Quarter |
SR-OCC-2013-04 |
| 34-69772 |
Jun. 17, 2013 |
Order Approving Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
See also: Notice: Rel. No. 34-69480
|
SR-OCC-2013-09 |
| 34-69771 |
Jun. 17, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Executive Chairman and President, and Create an Additional Directorship to be Occupied By the President
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-OCC-2013-09
|
SR-OCC-2013-08 |
| 34-69723 |
Jun. 10, 2013 |
Notice of Filing of Proposed Rule Change to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2013-08
|
SR-OCC-2013-07 |
| 34-69722 |
Jun. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking to Clear Over-The-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2013-07
|
SR-OCC-2013-05 |
| 34-69642 |
May 28, 2013 |
Notice of Filing of Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
Comments due: June 24, 2013
Submit comments on SR-OCC-2013-05
|
SR-OCC-2013-06 |
| 34-69595 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, to Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC
Comments due: June 12, 2013
Submit comments on SR-OCC-2013-06
|
SR-OCC-2013-03 |
| 34-69534 |
May 8, 2013 |
Order Approving Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
See also: Notice: Rel. No. 34-69188
|
SR-OCC-2013-04 |
| 34-69480 |
Apr. 30, 2013 |
Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: May 28, 2013
See also: Order: Rel. No. 34-69772
|
SR-OCC-2013-02 |
| 34-69403 |
Apr. 18, 2013 |
Order Approving Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
See also: Notice: Rel. No. 34-69026
|
| First Quarter |
SR-OCC-2013-03 |
| 34-69188 |
Mar. 20, 2013 |
Notice of Filing of Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
Comments due: April 16, 2013
See also: Order: Rel. No. 34-69534
|
SR-OCC-2013-02 |
| 34-69026 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
Comments due: March 29, 2013
See also: Order: Rel. No. 34-69403
|
SR-OCC-2013-01 |
| 34-68962 |
Feb. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Clarifying Language to Conform Interpretive Guidance Concerning Options Overlying Fund Shares with OCC’s By-Laws Governing Adjustments
Comments due: March 21, 2013
|
SR-OCC-2012-23 |
| 34-68712 |
Jan. 23, 2013 |
Order Approving Proposed Rule Change to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities
See also: Notice: Rel. No. 34-68403
|
SR-OCC-2012-22 |
| 34-68602 |
Jan. 9, 2013 |
Order Approving Proposed Rule Change to Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account to Settle Mark-to-Market Payments Arising from Stock Loan and Borrow Positions Carried in the Customers' Account
See also: Notice: Rel. No. 34-68288
|
| OCC File Number List for 2013 |
| Release No. |
Date |
Details |
SR-OCC-2013-09 |
| 34-69771 |
Jun. 17, 2013 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Executive Chairman and President, and Create an Additional Directorship to be Occupied By the President
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2013-09
|
SR-OCC-2013-08 |
| 34-69723 |
Jun. 10, 2013 |
Notice of Filing of Proposed Rule Change to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2013-08
|
SR-OCC-2013-07 |
| 34-69722 |
Jun. 10, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking to Clear Over-The-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2013-07
|
SR-OCC-2013-06 |
| 34-69595 |
May 16, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, to Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC
Comments due: June 12, 2013
Submit comments on SR-OCC-2013-06
|
SR-OCC-2013-05 |
| 34-69642 |
May 28, 2013 |
Notice of Filing of Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
Comments due: June 24, 2013
Submit comments on SR-OCC-2013-05
|
SR-OCC-2013-04 |
| 34-69772 |
Jun. 17, 2013 |
Order Approving Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
|
| 34-69480 |
Apr. 30, 2013 |
Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: May 28, 2013
|
SR-OCC-2013-03 |
| 34-69534 |
May 8, 2013 |
Order Approving Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
|
| 34-69188 |
Mar. 20, 2013 |
Notice of Filing of Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
Comments due: April 16, 2013
|
SR-OCC-2013-02 |
| 34-69403 |
Apr. 18, 2013 |
Order Approving Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
|
| 34-69026 |
Mar. 4, 2013 |
Notice of Filing of Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
Comments due: March 29, 2013
|
SR-OCC-2013-01 |
| 34-68962 |
Feb. 21, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Clarifying Language to Conform Interpretive Guidance Concerning Options Overlying Fund Shares with OCC’s By-Laws Governing Adjustments
Comments due: March 21, 2013
|
http://www.sec.gov/rules/sro/occ.shtml
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