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OCC Rulemaking Archive: 2005

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 2005
          * OCC
          * ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2005-20
34-52982 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Renaming of the NASDAQ SmallCap Market to the NASDAQ Capital Market
Comments due:  January 17, 2006

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
* Click to submit comments on SR-OCC-2004-20

SR-OCC-2005-16
34-52869 Dec. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gasoline Index Futures
Comments due:  December 29, 2005

SR-OCC-2005-18
34-52868 Dec. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Deposits for a Customersí Lien Account
Comments due:  December 29, 2005

SR-OCC-2005-15
34-52830 Nov. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rejection of Erroneous Post-Trade Instructions
Comments due:  December 22, 2005

SR-OCC-2005-13
34-52790 Nov. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fees For Certain Transactions Executed on OneChicago, LLC
Comments due:  December 20, 2005

SR-OCC-2005-14
34-52789 Nov. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Position Sub-Accounts
Comments due:  December 20, 2005

SR-OCC-2003-13
34-52783 Nov. 16, 2005 Notice of Filing of Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
Comments due:  December 14, 2005
See also:  Order: Rel. No. 34-53053
Third Quarter

SR-OCC-2005-12
34-52473 Sep. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for OCCís Theoretical Profit/Loss File
Comments due:  October 19, 2005

SR-OCC-2005-09
34-52125 Jul. 26, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCCís Data Distribution Service
Comments due:  August 23, 2005

SR-OCC-2005-10
34-52120 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Procedures with Respect to the OCCs Stock Loan/Borrow Program
Comments due:  August 19, 2005

SR-OCC-2005-11
34-52110 Jul. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Year-End Financial Reporting Deadline Applicable to Clearing Members Primarily Regulated as Futures Commission Merchants with the Commodity Futures Trading Commissionís Regulations
Comments due:  August 18, 2005

SR-OCC-2002-16
34-52035 Jul. 14, 2005 Order Granting Approval of a Proposed Rule Change Relating to Unsegregation of Long Option Positions
See also:  Notice: Rel. No. 34-51331

SR-OCC-2005-08
34-52034 Jul. 14, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reducing Clearing Fees for Securities Option Contracts
Comments due:  August 11, 2005

SR-OCC-2003-04
34-52030 Jul. 14, 2005 Order Granting Approval of a Proposed Rule Change Relating to a New Customersí Lien Account
See also:  Notice: Rel. No. 34-51330

SR-OCC-2005-06
34-52010 Jul. 12, 2005 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend By-Laws and Rules to Accommodate Short-Term Options Proposed for Trading by the Chicago Board Options Exchange, Inc., the American Stock Exchange, LLC, the International Securities Exchange, Inc., and the Pacific Exchange, Inc.
Comments due:  August 9, 2005
Second Quarter

SR-OCC-2005-07
34-51861 Jun. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Update its By-Laws and Rules Pertaining to the Settlement of Exercised Cross-Rate Foreign Currency Options
Comments due:  July 18, 2005

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
See also:  Notice: Rel. No. 34-51521

SR-OCC-2005-05
34-51586 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes that Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910
Comments due:  May 17, 2005

SR-OCC-2005-04
34-51584 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Procedures with Respect to Deposits of Cash or Securities with an Escrow Bank for Short Positions in Stock Option or Index Option Contracts
Comments due:  May 17, 2005

SR-OCC-2004-17
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
See also:  Order: Rel. No. 34-51826
First Quarter

SR-ODD-2005-01
34-51454 Mar. 30, 2005 Order Granting Approval of Proposed Supplement to the Options Disclosure Document Regarding Volatility Options

SR-OCC-2005-03
34-51445 Mar. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Electronic Pledge System through Which Clearing Members May Deposit Securities with Banks Acting as Agents for OCC to Meet Margin and Clearing Fund Requirements
Comments due:  April 26, 2005

SR-OCC-2005-02
34-51390 Mar. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Money-Only Settlement Service
Comments due:  April 18, 2005

SR-OCC-2004-19
34-51350 Mar. 9, 2005 Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
See also:  Notice: Rel. No. 34-51120

SR-OCC-2002-16
34-51331 Mar. 8, 2005 Notice of Filing of a Proposed Rule Change Relating to Unsegregation of Long Option Positions
See also:  Order: Rel. No. 34-52035

SR-OCC-2003-04
34-51330 Mar. 8, 2005 Notice of Filing of a Proposed Rule Change Relating to a New Customersí Lien Account
See also:  Order: Rel. No. 34-52030

SR-OCC-2005-01
34-51291 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Cross-Margining Agreement with The Clearing Corporation
Comments due:  March 29, 2005

SR-OCC-2004-19
34-51120 Feb. 1, 2005 Notice of Filing of a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
See also:  Order: Rel. No. 34-51350

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


File Number Lists for 2005

OCC

Release No. Date Details

SR-OCC-2005-25
34-53267 Feb. 9, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adjustment Panels
Comments due:  March 10, 2006

SR-OCC-2005-23
34-54382 Aug. 29, 2006 Order Granting Approval of a Proposed Rule Change Relating to the Use of Margin Deposit in the Event of a Clearing Member Liquidation
34-53794 May 11, 2006 Notice of Filing of a Proposed Rule Change Relating to the Use of Margin Deposit in the Event of a Clearing Member Liquidation
Comments due:  June 9, 2006

SR-OCC-2005-22
34-53455 Mar. 8, 2006 Order Granting Approval of a Proposed Rule Change Relating to Allocations Processing
34-53150 Jan. 19, 2006 Notice of Filing of a Proposed Rule Change Relating to Allocations Processing
Comments due:  February 21, 2006

SR-OCC-2005-21
34-53151 Jan. 19, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocations Processing
Comments due:  February 21, 2006

SR-OCC-2005-20
34-52982 Dec. 19, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Renaming of the NASDAQ SmallCap Market to the NASDAQ Capital Market
Comments due:  January 17, 2006
See also:  Order: Rel. No. 34-53322

SR-OCC-2005-19
34-53425 Mar. 6, 2006 Order Approving Proposed Rule Change Relating to Submission of Exercise Notices for American Option Contracts other Than at Expiration
34-53090 Jan. 10, 2006 Notice of Filing of Proposed Rule Change Relating to Submission of Exercise Notices for American Option Contracts other Than at Expiration
Comments due:  February 8, 2006

SR-OCC-2005-18
34-52868 Dec. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Deposits for a Customersí Lien Account
Comments due:  December 29, 2005

SR-OCC-2005-16
34-52869 Dec. 1, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gasoline Index Futures
Comments due:  December 29, 2005

SR-OCC-2005-15
34-52830 Nov. 23, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rejection of Erroneous Post-Trade Instructions
Comments due:  December 22, 2005

SR-OCC-2005-14
34-52789 Nov. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Position Sub-Accounts
Comments due:  December 20, 2005

SR-OCC-2005-13
34-52790 Nov. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fees For Certain Transactions Executed on OneChicago, LLC
Comments due:  December 20, 2005

SR-OCC-2005-12
34-52473 Sep. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for OCCís Theoretical Profit/Loss File
Comments due:  October 19, 2005

SR-OCC-2005-11
34-52110 Jul. 22, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Year-End Financial Reporting Deadline Applicable to Clearing Members Primarily Regulated as Futures Commission Merchants with the Commodity Futures Trading Commissionís Regulations
Comments due:  August 18, 2005

SR-OCC-2005-10
34-52120 Jul. 25, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Procedures with Respect to the OCCs Stock Loan/Borrow Program
Comments due:  August 19, 2005

SR-OCC-2005-09
34-52125 Jul. 26, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCCís Data Distribution Service
Comments due:  August 23, 2005

SR-OCC-2005-08
34-52034 Jul. 14, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reducing Clearing Fees for Securities Option Contracts
Comments due:  August 11, 2005

SR-OCC-2005-07
34-51861 Jun. 16, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Update its By-Laws and Rules Pertaining to the Settlement of Exercised Cross-Rate Foreign Currency Options
Comments due:  July 18, 2005

SR-OCC-2005-06
34-52010 Jul. 12, 2005 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend By-Laws and Rules to Accommodate Short-Term Options Proposed for Trading by the Chicago Board Options Exchange, Inc., the American Stock Exchange, LLC, the International Securities Exchange, Inc., and the Pacific Exchange, Inc.
Comments due:  August 9, 2005

SR-OCC-2005-05
34-51586 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes that Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910
Comments due:  May 17, 2005

SR-OCC-2005-04
34-51584 Apr. 20, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Procedures with Respect to Deposits of Cash or Securities with an Escrow Bank for Short Positions in Stock Option or Index Option Contracts
Comments due:  May 17, 2005

SR-OCC-2005-03
34-51445 Mar. 29, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Electronic Pledge System through Which Clearing Members May Deposit Securities with Banks Acting as Agents for OCC to Meet Margin and Clearing Fund Requirements
Comments due:  April 26, 2005

SR-OCC-2005-02
34-51390 Mar. 17, 2005 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Money-Only Settlement Service
Comments due:  April 18, 2005

SR-OCC-2005-01
34-51291 Mar. 2, 2005 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Cross-Margining Agreement with The Clearing Corporation
Comments due:  March 29, 2005

ODD

Release No. Date Details

SR-ODD-2005-01
34-51454 Mar. 30, 2005 Order Granting Approval of Proposed Supplement to the Options Disclosure Document Regarding Volatility Options

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2005.shtml


Modified: 10/16/2014