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OCC Rulemaking Archive: 2007

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 2007
          * OCC
          * ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2007-15
34-56991 Dec. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account
Comments due:  January 17, 2008

SR-OCC-2007-07
34-56931 Dec. 7, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities
Comments due:  January 7, 2008

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
See also:  Notice: Rel. No. 34-55653

SR-OCC-2007-08
34-56875 Nov. 30, 2007 Order Granting Approval of a Proposed Rule Change Relating to Binary Options
See also:  Notice: Rel. No. 34-56471

SR-OCC-2007-13
34-56856 Nov. 28, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options
Comments due:  December 27, 2007

SR-OCC-2007-11
34-56846 Nov. 27, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Expanding Sub-Accounts
Comments due:  December 24, 2007

SR-OCC-2007-14
34-56845 Nov. 27, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures
Comments due:  December 21, 2007

SR-OCC-2007-10
34-56800 Nov. 16, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members For Theoretical Profit and Loss Values
Comments due:  December 17, 2007

SR-OCC-2007-12
34-56684 Oct. 22, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares
Comments due:  November 16, 2007
Third Quarter

SR-OCC-2007-08
34-56471 Sep. 19, 2007 Notice of Filing of a Proposed Rule Change Relating to Binary Options
Comments due:  October 17, 2007
See also:  Order: Rel. No. 34-56875

SR-OCC-2007-09
34-56386 Sep. 11, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction
Comments due:  October 9, 2007

SR-OCC-2007-06
34-56288 Aug. 20, 2007 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
See also:  Notice: Rel. No. 34-55939

SR-OCC-2006-19
34-56069 Jul. 13, 2007 Order Granting Approval of a Proposed Rule Change Relating to Close-Out Netting Procedures
See also:  Notice: Rel. No. 34-55788
Comments received are available for this notice.
Second Quarter

SR-OCC-2007-06
34-55939 Jun. 21, 2007 Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options
Comments due:  July 12, 2007
See also:  Order: Rel. No. 34-56288

SR-ODD-2007-03
34-55921 Jun. 18, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options

SR-OCC-2007-01
34-55872 Jun. 6, 2007 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options
See also:  Notice: Rel. No. 34-55362

SR-OCC-2006-19
34-55788 May 21, 2007 Notice of Filing of a Proposed Rule Change Relating to Close-Out Netting Procedures
Comments due:  June 19, 2007
See also:  Order: Rel. No. 34-56069
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-55504

SR-OCC-2007-05
34-55709 May 4, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Clearing Fee Schedule
Comments due:  May 31, 2007

SR-ODD-2007-02
34-55702 May 3, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares

SR-OCC-2006-21
34-55686 May 1, 2007 Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements
See also:  Notice: Rel. No. 34-55047

SR-OCC-2007-03
34-55681 Apr. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment No. 5 of the Restated Participant Exchange Agreement
Comments due:  May 24, 2007

SR-OCC-2006-09
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
See also:  Order: Rel. No. 34-56930

SR-ODD-2007-01
34-55582 Apr. 4, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options

SR-OCC-2007-02
34-55579 Apr. 4, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Rate-Modified Foreign Currency Options
Comments due:  May 1, 2007

SR-OCC-2007-04
34-55565 Apr. 2, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Portfolio Margining of Customer Securities
Comments due:  April 27, 2007
First Quarter

SR-OCC-2006-15
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
See also:  Order: Rel. No. 34-55716

SR-OCC-2007-01
34-55362 Feb. 27, 2007 Notice of Filing of Proposed Rule Change Relating to Credit Default Options
Comments due:  March 26, 2007
See also:  Order: Rel. No. 34-55872

SR-OCC-2006-08
34-55349 Feb. 26, 2007 Order Approving Proposed Rule Change to Revise Stock Futures Adjustment Methodology
See also:  Notice: Rel. No. 34-54898

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-2006-01
34-55258 Feb. 8, 2007 Order Approving Proposed Rule Change as Modified by Amendment No. 1 to Revise Option Adjustment Methodology
See also:  Notices: Rel. Nos. 34-54748 and 34-53400
Comments received are available for this notice.

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
See also:  Notice: Rel. No. 34-54784

SR-OCC-2006-16
34-55151 Jan. 23, 2007 Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share
See also:  Notice: Rel. No. 34-54786

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
See also:  Notice: Rel. No. 34-54793

SR-OCC-2006-21
34-55047 Jan. 5, 2007 Notice of Filing of a Proposed Rule Change Relating to Membership Requirements
Comments due:  February 2, 2007
See also:  Order: Rel. No. 34-55686


File Number Lists for 2007

OCC

Release No. Date Details

SR-OCC-2007-20
34-58158 Jul. 15, 2008 Order Granting Approval of a Proposed Rule Change Relating to the System for Theoretical Analysis and Numerical Simulations
34-57270 Feb. 5, 2008 Notice of Filing of a Proposed Rule Change Relating to the System for Theoretical Analysis and Numerical Simulations
Comments due:  March 4, 2008

SR-OCC-2007-19
34-57118 Jan. 9, 2008 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cross-Margining with ICE-Clear US, Inc.
Comments due:  February 6, 2008

SR-OCC-2007-18
34-57163 Jan. 16, 2008 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedure
Comments due:  February 14, 2008

SR-OCC-2007-17
34-57192 Jan. 24, 2008 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Clearing Fee Schedule
Comments due:  February 20, 2008

SR-OCC-2007-16
34-59046 Dec. 3, 2008 Order Granting Approval of a Proposed Rule Change Relating to Late Exercises
34-57584 Mar. 31, 2008 Notice of Filing of a Proposed Rule Change Relating to Late Exercises
Comments due:  April 28, 2008

SR-OCC-2007-15
34-56991 Dec. 19, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account
Comments due:  January 17, 2008

SR-OCC-2007-14
34-56845 Nov. 27, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures
Comments due:  December 21, 2007

SR-OCC-2007-13
34-56856 Nov. 28, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options
Comments due:  December 27, 2007

SR-OCC-2007-12
34-56684 Oct. 22, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares
Comments due:  November 16, 2007

SR-OCC-2007-11
34-56846 Nov. 27, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Expanding Sub-Accounts
Comments due:  December 24, 2007

SR-OCC-2007-10
34-56800 Nov. 16, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members For Theoretical Profit and Loss Values
Comments due:  December 17, 2007

SR-OCC-2007-09
34-56386 Sep. 11, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction
Comments due:  October 9, 2007

SR-OCC-2007-08
34-56875 Nov. 30, 2007 Order Granting Approval of a Proposed Rule Change Relating to Binary Options
34-56471 Sep. 19, 2007 Notice of Filing of a Proposed Rule Change Relating to Binary Options
Comments due:  October 17, 2007

SR-OCC-2007-07
34-56931 Dec. 7, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities
Comments due:  January 7, 2008

SR-OCC-2007-06
34-56288 Aug. 20, 2007 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
34-55939 Jun. 21, 2007 Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options
Comments due:  July 12, 2007

SR-OCC-2007-05
34-55709 Mar. 4, 2007 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Clearing Fee Schedule
Comments due:  May 31, 2007

SR-OCC-2007-04
34-55565 Apr. 2, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Portfolio Margining of Customer Securities
Comments due:  April 27, 2007

SR-OCC-2007-03
34-55681 Apr. 27, 2007 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment No. 5 of the Restated Participant Exchange Agreement
Comments due:  May 24, 2007

SR-OCC-2007-02
34-55579 Apr. 4, 2007 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Rate-Modified Foreign Currency Options
Comments due:  May 1, 2007

SR-OCC-2007-01
34-55872 Jun. 6, 2007 Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options
34-55362 Feb. 27, 2007 Notice of Filing of Proposed Rule Change Relating to Credit Default Options
Comments due:  March 26, 2007

ODD

Release No. Date Details

SR-ODD-2007-03
34-55921 Jun. 18, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options

SR-ODD-2007-02
34-55702 May 3, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares

SR-ODD-2007-01
34-55582 Apr. 4, 2007 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2007.shtml


Modified: 10/16/2014