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OCC Rulemaking Archive: 2006

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 2006
          * OCC
          * ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-ODD-2006-01
34-55035 Dec. 29, 2006 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding U.S. Dollar-Denominated Foreign Currency Options

SR-OCC-2006-10
34-54935 Dec. 13, 2006 Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options
See also:  Notice: Rel. No. 34-54721

SR-OCC-2006-08
34-54898 Dec. 8, 2006 Notice of Filing of Proposed Rule Change to Revise Stock Futures Adjustment Methodology
Comments due:  December 29, 2006
See also:  Order: Rel. No. 34-55349

SR-OCC-2006-12
34-54880 Dec. 6, 2006 Order Approving a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks
See also:  Notice: Rel. No. 34-54572

SR-OCC-2006-20
34-54793 Nov. 20, 2006 Notice of Filing of Proposed Rule Change to Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted to Call for Cash-Only Delivery
Comments due:  December 20, 2006
See also:  Order: Rel. No. 34-55124

SR-OCC-2006-16
34-54786 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share
Comments due:  December 19, 2006
See also:  Order: Rel. No. 34-55151

SR-OCC-2006-18
34-54785 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures
Comments due:  December 19, 2006

SR-OCC-2006-17
34-54784 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs
Comments due:  December 19, 2006
See also:  Order: Rel. No. 34-55152

SR-OCC-2006-01
34-54748 Nov. 14, 2006 Notice of Amended Filing of Proposed Rule Change to Revise Option Adjustment Methodology
Comments due:  December 12, 2006
See also:  Order: Rel. No. 34-55258 and Notice: Rel. No. 34-53400
Comments received are available for this notice.

SR-OCC-2006-10
34-54721 Nov. 8, 2006 Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options
Comments due:  December 8, 2006
See also:  Order: Rel. No. 34-54935

SR-OCC-2006-12
34-54572 Oct. 4, 2006 Notice of Filing of a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks
Comments due:  November 3, 2006
See also:  Order: Rel. No. 34-54880
Third Quarter

SR-OCC-2006-05
34-54514 Sep. 26, 2006 Order Granting Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedures
See also:  Notice: Rel. No. 34-54306

SR-OCC-2006-14
34-54464 Sep. 18, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees
Comments due:  October 17, 2006

SR-OCC-2006-07
34-54448 Sep. 14, 2006 Order Approving Proposed Rule Change Relating to a Surcharge for Non-Clearing Member Subscribers That Have Not Met a Mandated Conversion Date for Its Data Distribution Service
See also:  Notice: Rel. No. 34-54060

SR-OCC-2006-13
34-54409 Sep. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Name Change of a Board Committee and of a Securities Market
Comments due:  October 4, 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
See also:  Notice: Rel. No. 34-53794

SR-OCC-2006-05
34-54306 Aug. 11, 2006 Notice of Filing of a Proposed Rule Change Relating to Expiration Date Exercise Procedures
Comments due:  September 8, 2006
See also:  Order: Rel. No. 34-54514

SR-OCC-2006-11
34-54305 Aug. 11, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quarterly Options
Comments due:  September 8, 2006
Second Quarter

SR-OCC-2006-07
34-54060 Jun. 28, 2006 Notice of Filing of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service
Comments due:  July 31, 2006
See also:  Order: Rel. No. 34-54448

SR-OCC-2006-06
34-54059 Jun. 28, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service
Comments due:  July 31, 2006

SR-OCC-2006-04
34-53980 Jun. 14, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Back-up Communication Channel to Internet Access For Clearing Members
Comments due:  July 14, 2006

SR-OCC-2006-03
34-53812 May 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Effect Certain Fee Changes to Ancillary Services Program
Comments due:  June 13, 2006

SR-OCC-2005-23
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
See also:  Order: Rel. No. 34-54382
First Quarter

SR-OCC-2006-02
34-53530 Mar. 21, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of Non-Customer
Comments due:  April 24, 2006

SR-OCC-2005-22
34-53455 Mar. 8, 2006 Order Granting Approval of a Proposed Rule Change Relating to Allocations Processing
See also:  Notice: Rel. No. 34-53150

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
See also:  Notice: Rel. No. 34-53090

SR-OCC-2006-01
34-53400 Mar. 2, 2006 Notice of Filing of Proposed Rule Change to Revise Option Adjustment Methodology
Comments due:  March 24, 2006
See also:  Order: Rel. No. 34-55258 and Notice: Rel. No. 34-54748
Comments received electronically are available for this notice.

SR-OCC-2004-20
34-53322 Feb. 15, 2006 Order Granting Approval of a Proposed Rule Change Relating to a New Risk Management Methodology
See also:  Notice: Rel. No. 34-52975

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-2005-21
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-2005-22
34-53150 Jan. 19, 2006 Notice of Filing of a Proposed Rule Change Relating to Allocations Processing
Comments due:  February 21, 2006
See also:  Order: Rel. No. 34-53455

SR-OCC-2005-19
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
See also:  Order: Rel. No. 34-53425

SR-OCC-2003-13
34-53053 Jan. 5, 2006 Order Approving Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
See also:  Notice: Rel. No. 34-52783


File Number Lists for 2006

OCC

Release No. Date Details

SR-OCC-2006-22
34-55307 Feb. 15, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Futures Clearing Services by Providing an Alternative Method for Effecting Gross Position Adjustments and Certain Trade Management Services
Comments due:  March 16, 2007

SR-OCC-2006-21
34-55686 May 1, 2007 Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements
34-55047 Jan. 5, 2007 Notice of Filing of a Proposed Rule Change Relating to Membership Requirements
Comments due:  February 2, 2007

SR-OCC-2006-20
34-55124 Jan. 18, 2007 Order Approving Proposed Rule Change to Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted to Call for Cash-Only Delivery
34-54793 Nov. 20, 2006 Notice of Filing of Proposed Rule Change to Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted to Call for Cash-Only Delivery
Comments due:  December 20, 2006

SR-OCC-2006-19
34-56069 Jul. 13, 2007 Order Granting Approval of a Proposed Rule Change Relating to Close-Out Netting Procedures
34-55788 May 21, 2007 Notice of Filing of a Proposed Rule Change Relating to Close-Out Netting Procedures
Comments due:  June 19, 2007
Comments received are available for this notice.

SR-OCC-2006-18
34-54785 Nov. 20, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures
Comments due:  December 19, 2006

SR-OCC-2006-17
34-55152 Jan. 23, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs
34-54784 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs
Comments due:  December 19, 2006

SR-OCC-2006-16
34-55151 Jan. 23, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share
34-54786 Nov. 20, 2006 Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share
Comments due:  December 19, 2006

SR-OCC-2006-15
34-55716 May 7, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin
34-55504 Mar. 21, 2007 Notice of Filing of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin
Comments due:  April 19, 2007

SR-OCC-2006-14
34-54464 Sep. 18, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees
Comments due:  October 17, 2006

SR-OCC-2006-13
34-54409 Sep. 6, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Name Change of a Board Committee and of a Securities Market
Comments due:  October 4, 2006

SR-OCC-2006-12
34-54880 Dec. 6, 2006 Order Approving a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks
34-54572 Oct. 4, 2006 Notice of Filing of a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks
Comments due:  November 3, 2006

SR-OCC-2006-11
34-54305 Aug. 11, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quarterly Options
Comments due:  September 8, 2006

SR-OCC-2006-10
34-54935 Dec. 13, 2006 Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options
34-54721 Nov. 8, 2006 Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options
Comments due:  December 8, 2006

SR-OCC-2006-09
34-56930 Dec. 7, 2007 Order Granting Approval of a Proposed Rule Change Relating to Choice of Law and Forum Selection
34-55653 Apr. 20, 2007 Notice of Filing of a Proposed Rule Change Relating to Choice of Law and Forum Selection
Comments due:  May 18, 2007

SR-OCC-2006-08
34-55349 Feb. 26, 2007 Order Approving Proposed Rule Change to Revise Stock Futures Adjustment Methodology
34-54898 Dec. 8, 2006 Notice of Filing of Proposed Rule Change to Revise Stock Futures Adjustment Methodology
Comments due:  December 29, 2006

SR-OCC-2006-07
34-54448 Sep. 14, 2006 Order Approving Proposed Rule Change Relating to a Surcharge for Non-Clearing Member Subscribers That Have Not Met a Mandated Conversion Date for Its Data Distribution Service
34-54060 Jun. 28, 2006 Notice of Filing of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service
Comments due:  July 31, 2006

SR-OCC-2006-06
34-54059 Jun. 28, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service
Comments due:  July 31, 2006

SR-OCC-2006-05
34-54514 Sep. 26, 2006 Order Granting Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedures
34-54306 Aug. 11, 2006 Notice of Filing of a Proposed Rule Change Relating to Expiration Date Exercise Procedures
Comments due:  September 8, 2006

SR-OCC-2006-04
34-53980 Jun. 14, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Back-up Communication Channel to Internet Access For Clearing Members
Comments due:  July 14, 2006

SR-OCC-2006-03
34-53812 May 16, 2006 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Effect Certain Fee Changes to Ancillary Services Program
Comments due:  June 13, 2006

SR-OCC-2006-02
34-53530 Mar. 21, 2006 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of Non-Customer
Comments due:  April 24, 2006

SR-OCC-2006-01
34-55258 Feb. 8, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 to Revise Option Adjustment Methodology
Comments received are available for this notice.
34-54748 Nov. 14, 2006 Notice of Amended Filing of Proposed Rule Change to Revise Option Adjustment Methodology
Comments due:  December 12, 2006
34-53400 Mar. 2, 2006 Notice of Filing of Proposed Rule Change to Revise Option Adjustment Methodology
Comments due:  March 24, 2006
Comments received electronically are available for this notice.

ODD

Release No. Date Details

SR-ODD-2006-01
34-55035 Dec. 29, 2006 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding U.S. Dollar-Denominated Foreign Currency Options

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2006.shtml


Modified: 06/19/2008