SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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


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

Release No. Date Details

SR-OCC-2011-19
34-66090 Jan. 3, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Comments due:  January 30, 2012

SR-OCC-2011-18
34-66081 Jan. 3, 2012 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to DCO 60 Day Regulations
Comments due:  January 30, 2012

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-2011-16
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-2011-15
34-65927 Dec. 9, 2011 Order Approving Proposed Rule Change Relating to Management of Liquidity Risk
34-65622 Oct. 26, 2011 Notice of Filing of Proposed Rule Change Relating to Management of Liquidity Risk
Comments due:  November 22, 2011

SR-OCC-2011-14
34-65789 Nov. 18, 2011 Order Approving Proposed Rule Change Relating to Clearing Options on the CBOE Silver Volatility Index
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

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
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
34-65483 Oct. 4, 2011 Notice of Filing of Proposed Rule Relating to Relative Performance Indexes
Comments due:  November 1, 2011

SR-OCC-2011-12
34-65648 Oct. 27, 2011 Order Approving Proposed Rule Change to Adopt Fitness Standards for Directors, Clearing Members, and Others
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

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
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-2011-09
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-2011-08
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
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
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

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-2011-06
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

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
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

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-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
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
Comments received are available for this notice.

SR-OCC-2011-02
34-64119 Mar. 24, 2011 Order Approving Proposed Rule Change to Accommodate the Clearance of Relative Performance Options
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

ODD

Release No. Date Details

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-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

 

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


Modified: 05/14/2014