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OCC Rulemaking Archive: 2004

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.

Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

File Number Lists for 2004
          * OCC
          * ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2004-22
34-50951 Dec. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  January 28, 2005

SR-OCC-2004-11
34-50895 Dec. 20, 2004 Order Granting Approval of a Proposed Rule Change Relating to Yield-Based Treasury Options
See also:  Notice: Rel. No. 34-50466

SR-OCC-2004-18
34-50585 Oct. 25, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Adjustment Policies for Options and Stock Futures on Fund Shares
Comments due:  November 19, 2004

SR-OCC-2004-13
34-50526 Oct. 13, 2004 Order Granting Approval of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
See also:  Notice: Rel. No. 34-50280

SR-OCC-2004-16
34-50518 Oct. 12, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Approved Depositories
Comments due:  November 8, 2004

SR-OCC-2004-10
34-50509 Oct. 8, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish an Internal Cross-Margin Program
Comments due:  November 5, 2004
Third Quarter

SR-OCC-2004-11
34-50466 Sep. 29, 2004 Notice of Filing of a Proposed Rule Change Relating to Yield-Based Treasury Options
See also:  Order: Rel. No. 34-50895

SR-OCC-2003-09
34-50465 Sep. 29, 2004 Order Granting Approval of a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Minimum Net Capital Requirements for Appointed Clearing Members
Comments due:  21 days after publication in the Federal Register
See also:  Notice: Rel. No. 34-49478

SR-OCC-2003-14
34-50392 Sep. 16, 2004 Order Approving a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules and Adding Rules to Protect the Clearing Corporation and its Members

SR-OCC-2004-13
34-50280 Aug. 27, 2004 Notice of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
See also:  Order: Rel. No. 34-50526

SR-OCC-2004-04
34-50178 Aug. 10, 2004 Order Granting Approval of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
See also:  Notice: Rel. No. 34-49929

SR-OCC-2004-14
34-50141 Aug. 4, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Rule 611, Segregation of Long Positions.
Comments due:  August 31, 2004

SR-OCC-2004-09
34-50120 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligible Securities for OCC’s Stock/Loan Hedge Program
Comments due:  August 26, 2004

SR-OCC-2004-12
34-50080 Jul. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  August 20, 2004

SR-OCC-2004-15
34-50069 Jul. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Erroneous Cross-Reference Resulting from an Approved Rule Change
Comments due:  August 20, 2004

SR-OCC-2004-07
34-49987 Jul. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Settlements of Exercises and Assignments of Foreign Currency Options
Comments due:  August 5, 2004
Second Quarter

SR-OCC-2004-04
34-49929 Jun. 28, 2004 Notice of Filing of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
Comments due:  July 23, 2004
See also:  Order: Rel. No. 34-50178

SR-OCC-2004-08
34-49925 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Variance Futures and Options of Variance Futures
Comments due:  July 23, 2004

SR–OCC–2003–11
34-49841 Jun. 9, 2004 Order Approving A Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
See also:  Notice: Rel. No. 34-49378

SR-OCC-2004-06
34-49834 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Index Option Expiration Date Exercise Procedures
Comments due:  July 6, 2004

SR-OCC-2004-02
34-49582 Apr. 19, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Member Accounts
Comments due:  May 21, 2004

SR-OCC-2004-05
34-49554 Apr. 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Definition of "Premium" with Respect to Foreign Currency and Cross-Rate Currency Options
Comments due:  May 7, 2004

SR-ODD-2004-02
34-49533 Apr. 7, 2004 Order Granting Approval of Proposed Amendment to the Front Inside Cover Page of the Options Disclosure Document
First Quarter

SR-OCC-2003-09
34-49478 Mar. 25, 2004

Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members
See also:  Order : Rel. No. 34-50465


SR-OCC-2003-12
34-49477 Mar. 25, 2004

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clearing Agreement
Comments due:  April 22, 2004


SR-OCC-2004-03
34-49470 Mar. 25, 2004

Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules to Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule
Comments due:  April 21, 2004


SR-OCC-2004-01
34-49436 Mar. 17, 2004

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  April 14, 2004


SR-OCC-2003-08
34-49420 Mar. 16, 2004

Order Approving Proposed Rule Change Related to Delivery Settlement of Exercised Stock Options and Matured Stock Futures


SR–OCC–2003–11
34–49378 Mar. 9, 2004 Notice of Filing of a Proposed Rule Change Relating To Clearing Member Trade Assignment Processing
See also:  Order: Rel. No. 34-49841
Comments received are available for this notice.


File Number Lists for 2004

OCC

Release No. Date Details

SR-OCC-2004-23
34-50992 Jan. 7, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Conforming Change in Rule 1106(a)(3)
Comments due:  February 3, 2005

SR-OCC-2004-22
34-50951 Dec. 30, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  January 28, 2005

SR-OCC-2004-20
34-53322 Feb. 15, 2006 Order Granting Approval of a Proposed Rule Change Relating to a New Risk Management Methodology

SR-OCC-2004-20
34-52975 Dec. 19, 2005 Notice of Filing of a Proposed Rule Change Relating to a New Risk Management Methodology
Comments due:  January 17, 2006

SR-OCC-2004-19
34-51350 Mar. 9, 2005 Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
34-51120 Feb. 1, 2005 Notice of Filing of a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing

SR-OCC-2004-18
34-50585 Oct. 25, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Adjustment Policies for Options and Stock Futures on Fund Shares
Comments due:  November 19, 2004

SR-OCC-2004-17
34-51826 Jun. 13, 2005 Order Granting Approval of a Proposed Rule Change Relating to Calculating Net Capital under OCC Rule 307
34-51521 Apr. 11, 2005 Notice of Filing of a Proposed Rule Change Relating to Calculating Net Capital under OCC Rule 307
Comments due:  May 9, 2005

SR-OCC-2004-16
34-50518 Oct. 12, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Approved Depositories
Comments due:  November 8, 2004

SR-OCC-2004-15
34-50069 Jul. 23, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Erroneous Cross-Reference Resulting from an Approved Rule Change
Comments due:  August 20, 2004

SR-OCC-2004-14
34-50141 Aug. 4, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Rule 611, Segregation of Long Positions.
Comments due:  August 31, 2004

SR-OCC-2004-13
34-50526 Oct. 13, 2004 Order Granting Approval of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
34-50280 Aug. 27, 2004 Notice of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
Comments due:  September 28, 2004

SR-OCC-2004-12
34-50080 Jul. 26, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  August 20, 2004

SR-OCC-2004-11
34-50895 Dec. 20, 2004 Order Granting Approval of a Proposed Rule Change Relating to Yield-Based Treasury Options
34-50466 Sep. 29, 2004 Notice of Filing of a Proposed Rule Change Relating to Yield-Based Treasury Options
Comments due:  October 26, 2004

SR-OCC-2004-10
34-50509 Oct. 8, 2004 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish an Internal Cross-Margin Program
Comments due:  November 5, 2004

SR-OCC-2004-09
34-50120 Jul. 29, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligible Securities for OCC’s Stock/Loan Hedge Program
Comments due:  August 26, 2004

SR-OCC-2004-08
34-49925 Jun. 28, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Variance Futures and Options of Variance Futures
Comments due:  July 23, 2004

SR-OCC-2004-07
34-49987 Jul. 8, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Settlements of Exercises and Assignments of Foreign Currency Options
Comments due:  August 5, 2004

SR-OCC-2004-06
34-49834 Jun. 8, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Index Option Expiration Date Exercise Procedures
Comments due:  July 6, 2004

SR-OCC-2004-05
34-49554 Apr. 12, 2004 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Definition of "Premium" with Respect to Foreign Currency and Cross-Rate Currency Options
Comments due:  May 7, 2004

SR-OCC-2004-04
34-50178 Aug. 10, 2004 Order Granting Approval of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
34-49929 Jun. 28, 2004 Notice of Filing of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
Comments due:  July 23, 2004

SR-OCC-2004-03
34-49470 Mar. 25, 2004

Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules to Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule
Comments due:  April 21, 2004


SR-OCC-2004-02
34-49582 Apr. 19, 2004 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Member Accounts
Comments due:  May 21, 2004

SR-OCC-2004-01
34-49436 Mar. 17, 2004

Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due:  April 14, 2004

ODD

Release No. Date Details

SR-ODD-2004-02
34-49533 Apr. 7, 2004 Order Granting Approval of Proposed Amendment to the Front Inside Cover Page of the Options Disclosure Document

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2004.shtml


Modified: 10/16/2014