|
|
 |
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
2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
| 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
|
