OCC Rulemaking Archive: 2010

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 2010
           OCC
           ODD

Additional Archives

2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002

Chronological List

Release No.	Date	Details
Fourth Quarter
SR-OCC-2010-19
34-63623	Dec. 30, 2010	Notice of Filing of Proposed Rule Change Relating to Stock Loan Programs Comments due:  January 26, 2011 See also:  Order: Rel. No. 34-64181
SR-OCC-2010-16
34-63293	Nov. 9, 2010	Order Approving Proposed Rule Change Relating to Weekly Options And Monthly Options See also:  Notice: Rel. No. 34-62942
SR-OCC-2010-05
34-63278	Nov. 8, 2010	Order Granting Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices See also:  Notice: Rel. No. 34-61820
SR-OCC-2010-18
34-63222	Nov. 1, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate Index Futures that are Settled in a Non-U.S. Currency Comments due:  November 26, 2010
SR-OCC-2010-14
34-63217	Nov. 1, 2010	Order Approving Proposed Rule Change to Revise its Rules to Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology See also:  Notice: Rel. No. 34-62854
SR-ODD-2010-02
34-63125	Oct. 18, 2010	Order Approving Accelerated Distribution of an Amended Options Disclosure Document
SR-OCC-2010-17
34-63120	Oct. 15, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Member Trade Assignment Arrangements Comments due:  November 15, 2010
SR-OCC-2010-13
34-63066	Oct. 8, 2010	Order Approving Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security See also:  Notice: Rel. No. 34-62801
Third Quarter
SR-OCC-2010-09
34-62956	Sep. 20, 2010	Order Granting Approval of Proposed Rule Change Relating to Sprott Physical Gold Shares See also:  Notice: Rel. No. 34-62329
SR-OCC-2010-16
34-62942	Sep. 20, 2010	Notice of Filing of Proposed Rule Change Relating to Weekly Options And Monthly Options Comments due:  October 19, 2010 See also:  Order: Rel. No. 34-63293
SR-OCC-2010-15
34-62879	Sep. 9, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Interpret By-Laws as to Dividend Adjustments Comments due:  October 7, 2010
SR-OCC-2010-14
34-62854	Sep. 7, 2010	Notice of Filing of Proposed Rule Change to Revise its Rules to Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology Comments due:  October 4, 2010 See also:  Order: Rel. No. 34-63217
SR-OCC-2010-13
34-62801	Aug. 31, 2010	Notice of Filing of a Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security Comments due:  September 28, 2010 See also:  Order: Rel. No. 34-63066
SR-OCC-2010-12
34-62685	Aug. 10, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of Government Securities to Exclude Separate Trading of Registered Interest and Principal Securities on Treasury Inflation Protected Securities, commonly known as TIP-STRIPS Comments due:  September 7, 2010
SR-OCC-2010-11
34-62684	Aug. 10, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of the Term Representative Comments due:  September 7, 2010
SR-OCC-2010-10
34-62566	Jul. 23, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC's By-Laws and Rules to Change its Method of Holding Certain Securities Pledged by Members to Satisfy Margin and Clearing Fund Obligations Comments due:  August 19, 2010
Second Quarter
SR-OCC-2010-08
34-62421	Jun. 30, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additional Underlying Interests for Commodity Futures and Commodity Options available to ELX Futures, L.P. for Clearing and Settlement Services Comments due:  July 29, 2010
SR-OCC-2010-04
34-62371	Jun. 24, 2010	Notice of Filing of Proposed Rule Change to Revise its By-Laws and Rules to Establish a Clearing Fund Amount Intended to Support Losses under a Defined Set of Default Scenarios Comments due:  July 21, 2010  Submit comments on SR-OCC-2010-04
SR-OCC-2010-09
34-62329	Jun. 21, 2010	Notice of Filing of Proposed Rule Change Relating to Sprott Physical Gold Shares Comments due:  July 19, 2010 See also:  Order: Rel. No. 34-62956
SR-OCC-2010-07
34-62290	Jun. 14, 2010	Order Granting Approval of a Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index See also:  Notice: Rel. No. 34-62094
SR-ODD-2010-01
34-62161	May 24, 2010	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options on Conventional Index-Linked Securities and Amendment to the Options Disclosure Document Inside Front Cover
SR-OCC-2010-07
34-62094	May 13, 2010	Notice of Filing of Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index Comments due:  June 9, 2010 See also:  Order: Rel. No. 34-62290
SR-OCC-2010-03
34-61958	Apr. 22, 2010	Order Granting Approval of a Proposed Rule Change Relating to ETFS Palladium Shares And ETFS Platinum Shares See also:  Notice: Rel. No. 34-61692
SR-OCC-2010-06
34-61911	Apr. 15, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Certain By-Laws and Rules Related to the Stock Loan/Hedge and Market Loan Programs Comments due:  May 14, 2010
SR-OCC-2010-05
34-61820	Apr. 1, 2010	Notice of Filing of Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices Comments due:  April 28, 2010 See also:  Order: Rel. No. 34-63278
First Quarter
SR-OCC-2010-03
34-61692	Mar. 11, 2010	Notice of Filing of Proposed Rule Change Relating to ETFS Palladium Shares and ETFS Platinum Shares Comments due:  April 8, 2010 See also:  Order: Rel. No. 34-61958
SR-OCC-2010-02
34-61673	Mar. 8, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adjustment Increments Applicable to Stock Futures Comments due:  April 5, 2010
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 See also:  Notice: Rel. No. 34-61254
SR-OCC-2010-01
34-61485	Feb. 3, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options for which the Premium and Exercise Price are Expressed as a Multiple of the Per-Share Amount Comments due:  March 3, 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 See also:  Notice: Rel. No. 34-61078

File Number Lists for 2010

OCC

Release No.	Date	Details
SR-OCC-2010-19
34-64181	Apr. 5, 2011	Order Approving a Proposed Rule Change Relating to Stock Loan Programs
34-63623	Dec. 30, 2010	Notice of Filing of Proposed Rule Change Relating to Stock Loan Programs Comments due:  January 26, 2011
SR-OCC-2010-18
34-63222	Nov. 1, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate Index Futures that are Settled in a Non-U.S. Currency Comments due:  November 26, 2010
SR-OCC-2010-17
34-63120	Oct. 15, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearing Member Trade Assignment Arrangements Comments due:  November 15, 2010
SR-OCC-2010-16
34-63293	Nov. 9, 2010	Order Approving Proposed Rule Change Relating to Weekly Options And Monthly Options
34-62942	Sep. 20, 2010	Notice of Filing of Proposed Rule Change Relating to Weekly Options And Monthly Options Comments due:  October 19, 2010
SR-OCC-2010-15
34-62879	Sep. 9, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Interpret By-Laws as to Dividend Adjustments Comments due:  October 7, 2010
SR-OCC-2010-14
34-63217	Nov. 1, 2010	Order Approving Proposed Rule Change to Revise its Rules to Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology
34-62854	Sep. 7, 2010	Notice of Filing of Proposed Rule Change to Revise its Rules to Expand the Forms of Collateral Eligible for Incorporation in the System for Theoretical Analysis and Numerical Simulations Risk Management Methodology Comments due:  October 4, 2010
SR-OCC-2010-13
34-63066	Oct. 8, 2010	Order Approving Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security
34-62801	Aug. 31, 2010	Notice of Filing of a Proposed Rule Change To Allow for Adjustments to the Settlement Price of Exchange-Designated Security Futures for All Cash Dividends or Distributions Paid by the Issuer of the Underlying Security Comments due:  September 28, 2010
SR-OCC-2010-12
34-62685	Aug. 10, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of Government Securities to Exclude Separate Trading of Registered Interest and Principal Securities on Treasury Inflation Protected Securities, commonly known as TIP-STRIPS Comments due:  September 7, 2010
SR-OCC-2010-11
34-62684	Aug. 10, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Definition of the Term Representative Comments due:  September 7, 2010
SR-OCC-2010-10
34-62566	Jul. 23, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC's By-Laws and Rules to Change its Method of Holding Certain Securities Pledged by Members to Satisfy Margin and Clearing Fund Obligations Comments due:  August 19, 2010
SR-OCC-2010-09
34-62956	Sep. 20, 2010	Order Granting Approval of Proposed Rule Change Relating to Sprott Physical Gold Shares
34-62329	Jun. 21, 2010	Notice of Filing of Proposed Rule Change Relating to Sprott Physical Gold Shares Comments due:  July 19, 2010
SR-OCC-2010-08
34-62421	Jun. 30, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Additional Underlying Interests for Commodity Futures and Commodity Options available to ELX Futures, L.P. for Clearing and Settlement Services Comments due:  July 29, 2010
SR-OCC-2010-07
34-62290	Jun. 14, 2010	Order Granting Approval of a Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index
34-62094	May 13, 2010	Notice of Filing of Proposed Rule Change Relating to Clearing Options on the CBOE Gold ETF Volatility Index Comments due:  June 9, 2010
SR-OCC-2010-06
34-61911	Apr. 15, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Certain By-Laws and Rules Related to the Stock Loan/Hedge and Market Loan Programs Comments due:  May 14, 2010
SR-OCC-2010-05
34-61820	Apr. 1, 2010	Notice of Filing of Proposed Rule Change Relating to Cash-Settled Foreign Currency Options With One-Cent Exercise Prices Comments due:  April 28, 2010  Submit comments on SR-OCC-2010-05
SR-OCC-2010-04
34-62371	Jun. 24, 2010	Notice of Filing of Proposed Rule Change to Revise its By-Laws and Rules to Establish a Clearing Fund Amount Intended to Support Losses under a Defined Set of Default Scenarios Comments due:  July 21, 2010  Submit comments on SR-OCC-2010-04
SR-OCC-2010-03
34-61958	Apr. 22, 2010	Order Granting Approval of a Proposed Rule Change Relating to ETFS Palladium Shares And ETFS Platinum Shares
34-61692	Mar. 11, 2010	Notice of Filing of Proposed Rule Change Relating to ETFS Palladium Shares and ETFS Platinum Shares Comments due:  April 8, 2010
SR-OCC-2010-02
34-61673	Mar. 8, 2010	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Adjustment Increments Applicable to Stock Futures Comments due:  April 5, 2010
SR-OCC-2010-01
34-61485	Feb. 3, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Options for which the Premium and Exercise Price are Expressed as a Multiple of the Per-Share Amount Comments due:  March 3, 2010

ODD

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2010.shtml