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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


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

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

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

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

Release No. Date Details

SR-ODD-2010-02
34-63125 Oct. 18, 2010 Order Approving Accelerated Distribution of an Amended Options Disclosure Document

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

 

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


Modified: 10/16/2014