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OCC Rulemaking Archive: 2009

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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter

File Number Lists for 2009
          * OCC
          * ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2009-20
34-61254 Dec. 29, 2009 Notice of Filing of Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares
Comments due:  January 29, 2010
See also:  Order: Rel. No. 34-61591

SR-OCC-2009-19
34-61170 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Treasury Futures Traded by ELX Futures LP
Comments due:  January 14, 2010

SR-ODD-2009-01
34-61150 Dec. 10, 2009 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Dividend Index Options
Comments due:  January 8, 2010

SR-OCC-2009-18
34-61078 Nov. 30, 2009 Notice of Filing of Proposed Rule Change to Allow Members to Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance from the Commission or Interpretive Guidance from a Self-Regulatory Organization
Comments due:  December 28, 2009
See also:  Order: Rel. No. 34-61425

SR-OCC-2009-15
34-61006 Nov. 16, 2009 Order Approving Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral (Corrected)
See also:  Notice: Rel. No. 34-60743

SR-OCC-2009-16
34-60881 Oct. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to its Market Loan Program to Allow Dividend Equivalent Payments to be Principally Effected Through The Depository Trust Company's Facilities
Comments due:  November 20, 2008

SR-OCC-2009-14
34-60872 Oct. 23, 2009 Order Approving Proposed Rule Change to Clear Options Based on Index-Linked Securities
See also:  Notice: Rel. No. 34-60602
Third Quarter

SR-OCC-2009-15
34-60743 Sep. 29, 2009 Notice of Filing of Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral
Comments due:  October 27, 2009
See also:  Order: Rel. No. 34-61006

SR-OCC-2009-14
34-60602 Sep. 1, 2009 Notice of Filing of Proposed Rule Change to Clear Options Based on Index-Linked Securities
Comments due:  September 23, 2009
See also:  Order: Rel. No. 34-60872

SR-OCC-2009-13
34-60386 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts
Comments due:  August 21, 2009

SR-OCC-2009-12
34-60380 Jul. 23, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options
Comments due:  August 21, 2009
Second Quarter

SR-OCC-2009-11
34-60144 Jun. 19, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes
Comments due:  July 20, 2009

SR-OCC-2009-10
34-60063 Jun. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME
Comments due:  July 8, 2009

SR-OCC-2009-09
34-59945 May 20, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cross-Margining of Security Futures on Exchange-Traded Funds Based on Broad-Based Stock Indices
Comments due:  June 19, 2009

SR-OCC-2009-08
34-59845 Apr. 29, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Stock as Margin
Comments due:  May 27, 2009

SR-OCC-2009-07
34-59764 Apr. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  May 11, 2009

SR-OCC-2009-06
34-59763 Apr. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Clearance and Settlement of Metals Futures and Options on Metals Futures Traded on NYSE Liffe
Comments due:  May 11, 2009

SR-OCC-2009-05
34-59675 Apr. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options
Comments due:  April 28, 2009
First Quarter

SR-OCC-2009-04
34-59664 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options
Comments due:  April 28, 2009

SR-OCC-2009-03
34-59635 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees
Comments due:  April 27, 2009

SR-OCC-2009-01
34-59442 Feb. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amended Interpretative Guidance on the New Methodology for Adjusting Option Contracts for Cash Dividends and Distributions
Comments due:  March 26, 2009

SR-OCC-2009-02
34-59385 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Exchange Directorships Under Its By-Laws
Comments due:  March 12, 2009

SR-OCC-2008-20
34-59294 Jan. 23, 2009 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Establishing a Market Loan Program [Corrected Version]
Comments due:  February 24, 2009

SR-OCC-2008-19
34-59293 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 1506
Comments due:  February 20, 2009


File Number Lists for 2009

OCC

Release No. Date Details

SR-OCC-2009-20
34-61591 Feb. 25, 2010 Order Approving Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares
34-61254 Dec. 29, 2009 Notice of Filing of Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares
Comments due:  January 29, 2010

SR-OCC-2009-19
34-61170 Dec. 15, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Treasury Futures Traded by ELX Futures LP
Comments due:  January 14, 2010

SR-OCC-2009-18
34-61425 Jan. 26, 2010 Order Approving Proposed Rule Change to Allow Members to Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance from the Commission or Interpretive Guidance from a Self-Regulatory Organization
34-61078 Nov. 30, 2009 Notice of Filing of Proposed Rule Change to Allow Members to Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance from the Commission or Interpretive Guidance from a Self-Regulatory Organization
Comments due:  December 28, 2009

SR-OCC-2009-16
34-60881 Oct. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to its Market Loan Program to Allow Dividend Equivalent Payments to be Principally Effected Through The Depository Trust Company's Facilities
Comments due:  November 20, 2008

SR-OCC-2009-15
34-61006 Nov. 16, 2009 Order Approving Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral (Corrected)
34-60743 Sep. 29, 2009 Notice of Filing of Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral
Comments due:  October 27, 2009

SR-OCC-2009-14
34-60872 Oct. 23, 2009 Order Approving Proposed Rule Change to Clear Options Based on Index-Linked Securities
34-60602 Sep. 1, 2009 Notice of Filing of Proposed Rule Change to Clear Options Based on Index-Linked Securities
Comments due:  September 23, 2009

SR-OCC-2009-13
34-60386 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts
Comments due:  August 21, 2009

SR-OCC-2009-12
34-60380 Jul. 23, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options
Comments due:  August 21, 2009

SR-OCC-2009-11
34-60144 Jun. 19, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes
Comments due:  July 20, 2009

SR-OCC-2009-10
34-60063 Jun. 8, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME
Comments due:  July 8, 2009

SR-OCC-2009-09
34-59945 May 20, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cross-Margining of Security Futures on Exchange-Traded Funds Based on Broad-Based Stock Indices
Comments due:  June 19, 2009

SR-OCC-2009-08
34-59845 Apr. 29, 2009 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Stock as Margin
Comments due:  May 27, 2009

SR-OCC-2009-07
34-59764 Apr. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule
Comments due:  May 11, 2009

SR-OCC-2009-06
34-59763 Apr. 14, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Clearance and Settlement of Metals Futures and Options on Metals Futures Traded on NYSE Liffe
Comments due:  May 11, 2009

SR-OCC-2009-05
34-59675 Apr. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options
Comments due:  April 28, 2009

SR-OCC-2009-04
34-59664 Mar. 31, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options
Comments due:  April 28, 2009

SR-OCC-2009-03
34-59635 Mar. 26, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees
Comments due:  April 27, 2009

SR-OCC-2009-02
34-59385 Feb. 11, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Exchange Directorships Under Its By-Laws
Comments due:  March 12, 2009

SR-OCC-2009-01
34-59442 Feb. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amended Interpretative Guidance on the New Methodology for Adjusting Option Contracts for Cash Dividends and Distributions
Comments due:  March 26, 2009

ODD

Release No. Date Details

SR-ODD-2009-01
34-61150 Dec. 10, 2009 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Dividend Index Options
Comments due:  January 8, 2010

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2009.shtml


Modified: 10/16/2014