OCC Rulemaking

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 2011
           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-2011-13
34-66070	Dec. 29, 2011	Order Approving Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, Relating to Relative Performance Indexes See also:  Notice: Rel. No. 34-65483 and Notice: Rel. No. 34-65807
SR-OCC-2011-17
34-65990	Dec. 16, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Novation of Trades at OCC Comments due:  January 12, 2012
SR-OCC-2011-15
34-65927	Dec. 9, 2011	Order Approving Proposed Rule Change Relating to Management of Liquidity Risk See also:  Notice: Rel. No. 34-65622
SR-OCC-2011-16
34-65870	Dec. 2, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for the Clearing of Real Estate Index Futures Contracts Comments due:  December 29, 2011
SR-OCC-2011-13
34-65807	Nov. 22, 2011	Notice of Filing of Amendment No. 2 and Amendment No. 3 to Proposed Rule Relating to Relative Performance Indexes Comments due:  December 20, 2011 See also:  Notice: Rel. No. 34-65483 and Order: Rel. No. 34-66070
SR-OCC-2011-14
34-65789	Nov. 18, 2011	Order Approving Proposed Rule Change Relating to Clearing Options on the CBOE Silver Volatility Index See also:  Notice: Rel. No. 34-65484
SR-OCC-2011-08
34-65654	Oct. 28, 2011	Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Provide Specific Authority to Use an Auction Process As One of the Means to Liquidate a Defaulting Clearing Member's Accounts See also:  Notice: Rel. No. 34-65370; Notice: Rel. No. 34-64982
SR-OCC-2011-12
34-65648	Oct. 27, 2011	Order Approving Proposed Rule Change to Adopt Fitness Standards for Directors, Clearing Members, and Others See also:  Notice: Rel. No. 34-65338
SR-OCC-2011-15
34-65622	Oct. 26, 2011	Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk Comments due:  November 22, 2011 See also:  Order: Rel. No. 34-65927
SR-OCC-2011-14
34-65484	Oct. 4, 2011	Notice of Filing of Proposed Rule Relating to Clearing Options on the CBOE Silver Volatility Index Comments due:  November 1, 2011 See also:  Order: Rel. No. 34-65789
SR-OCC-2011-13
34-65483	Oct. 4, 2011	Notice of Filing of Proposed Rule Relating to Relative Performance Indexes Comments due:  November 1, 2011 See also:  Notice: Rel. No. 34-65807 and Order: Rel. No. 34-66070
Third Quarter
SR-OCC-2011-10
34-65386	Sep. 23, 2011	Order Approving 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 See also:  Notice: Rel. No. 34-65119
SR-OCC-2011-08
34-65370	Sep. 21, 2011	Notice of Filing of Amendment No. 1 to Proposed Rule Change to Provide Specific Authority to Use an Auction Process As One of the Means to Liquidate a Defaulting Clearing Member's Accounts Comments due:  October 12, 2011 See also:  Order: Rel. No. 34-65654; Notice: Rel. No. 34-64982
SR-OCC-2011-12
34-65338	Sep. 14, 2011	Notice of Filing of Proposed Rule Change to Adopt Fitness Standards for Directors, Clearing Members, and Others Comments due:  October 11, 2011 See also:  Order: Rel. No. 34-65648
SR-OCC-2011-10
34-65119	Aug. 12, 2011	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:  September 7, 2011
SR-OCC-2011-08
34-64982	Jul. 28, 2011	Notice of Filing of Proposed Rule Change to Provide Specific Authority to Use an Auction Process As One of the Means to Liquidate a Defaulting Clearing Member's Accounts Comments due:  August 24, 2011 See also:  Order: Rel. No. 34-65654; Notice: Rel. No. 34-65370
SR-OCC-2011-09
34-64973	Jul. 27, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for the Clearing of Real Estate Index Futures Contracts Comments due:  August 23, 2011
SR-OCC-2011-06
34-64883	Jul. 14, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Clearing and Settling a Price Differential Spread Futures Transaction Comments due:  August 9, 2011
Second Quarter
SR-OCC-2011-05
34-64740	Jun. 24, 2011	Order Approving Proposed Rule Change to Provide Flexibility to The Options Clearing Corporation with Respect to its Obligations to Pay Settlement Amounts to Clearing Members Generally As Well As in Emergency Situations See also:  Notice: Rel. No. 34-64436
SR-OCC-2011-03
34-64712	Jun. 21, 2011	Order Approving Proposed Rule Change to Allow for an Expansion of OCC's Internal Cross-Margining Program to Include the Ability of a Pair of Affiliated Clearing Members to Establish an Internal Non-Proprietary Cross-Margining Account See also:  Notice: Rel. No. 34-64167
SR-OCC-2011-07
34-64697	Jun. 17, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide an Interpretation to Rule 401 to Allow Clearing Members to Use OCC Systems to Update Certain Non-critical Trade Data With Respect to Exchange Transactions Involving Securities Options Comments due:  July 14, 2011
SR-OCC-2011-05
34-64436	May 6, 2011	Notice of Filing of Proposed Rule Change to Provide Flexibility to The Options Clearing Corporation with Respect to its Obligations to Pay Settlement Amounts to Clearing Members Generally As Well As in Emergency Situations Comments due:  June 2, 2011 See also:  Order: Rel. No. 34-64740
SR-OCC-2011-04
34-64247	Apr. 7, 2011	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Legal Certainty for the Trading of Futures on the CBOE Gold ETF Volatility Index Comments due:  May 4, 2011
SR-OCC-2010-19
34-64181	Apr. 5, 2011	Order Approving a Proposed Rule Change Relating to Stock Loan Programs See also:  Notice: Rel. No. 34-63623
SR-OCC-2011-03
34-64167	Apr. 1, 2011	Notice of Filing of Proposed Rule Change to Allow for an Expansion of OCC's Internal Cross-Margining Program to Include the Ability of a Pair of Affiliated Clearing Members to Establish an Internal Non-Proprietary Cross-Margining Account Comments due:  April 28, 2011 See also:  Order: Rel. No. 34-64712 Comments received are available for this notice.
First Quarter
SR-ODD-2011-02
34-64154	Mar. 31, 2011	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Variability Index Options and Relative Performance Index Options and Amendment to the Options Disclosure Document Inside Front Cover
SR-OCC-2011-02
34-64119	Mar. 24, 2011	Order Approving Proposed Rule Change to Accommodate the Clearance of Relative Performance Options See also:  Notice: Rel. No. 34-63811
SR-OCC-2011-02
34-63811	Feb. 1, 2011	Notice of Filing of Proposed Rule Change to Accommodate the Clearance of Relative Performance Options Comments due:  February 22, 2011 See also:  Order: Rel. No. 34-64119
SR-ODD-2011-01
34-63711	Jan. 12, 2011	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options in, and Making Certain Technical Amendments to, the June 2007 Supplement to the Options Disclosure Document

File Number Lists for 2011

OCC

ODD

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2011.shtml