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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 2013

Additional Archives


Chronological List
Release No. Date Details
First Quarter

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: 21 days after publication in the Federal Register
* 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
Comments received are available for this proposal.
* Submit comments on SR-OCC-2013-04

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

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-2013-06
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: 21 days after publication in the Federal Register
* Submit comments on SR-OCC-2013-06

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
Comments received are available for this proposal.
* Submit comments on SR-OCC-2013-04

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


Modified: 05/17/2013