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OCC Rulemaking Archive: 2012

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

OCC File Number List for 2012
          *  OCC
          *  ODD

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2012-24
34-68535 Dec. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Its By-Laws and Rules Consistent with Recent System Changes to the Stock Loan/Hedge Program and Market Loan Program and Delete Certain Terms and Provisions No Longer Applicable
Comments due: January 23, 2013

SR-OCC-2012-25
34-68532 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule of Fees, Effective January 2, 2013, to Charge Non-Clearing Member Subscribers of Certain Non-Proprietary Data an Additional Monthly Fee to Accommodate Request for Such Data on a Real-Time Basis
Comments due: January 22, 2013

SR-OCC-2012-26
34-68531 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Interpretative Guidance Relating to the Adjustment of Stock Options and Single Stock Futures for Cash Dividends and Distributions on Underlying Securities
Comments due: January 22, 2013

SR-OCC-2012-19
34-68445 Dec. 14, 2012 Order Approving Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
See also:  Notice: Rel. No. 34-68130

SR-OCC-2012-14
34-68434 Dec. 14, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: AN-OCC-2012-01
See also:  Notice: Rel. No. 34-68112, Notice: Rel. No. 34-68111, Notice: Rel. No. 34-67906, Notice: Rel. No. 34-67835

SR-OCC-2012-23
34-68403 Dec. 11, 2012 Notice of Filing of Proposed Rule Change to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities
Comments due: January 7, 2013
See also:  Order: Rel. No. 34-68712

SR-ODD-2012-02
34-68368 Dec. 6, 2012 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for Cash Dividends and Distributions in Respect of Options Overlying Less than 100 Shares to Accommodate the Trading of Mini Options

SR-OCC-2012-21
34-68308 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Explicitly State That OCC May Reject a Request for Withdrawal of Margin or Make an Intra-Day Margin Call in Situations where a Clearing Member's Projected Settlement Obligations Could Exceed OCC's Available Liquidity Resources
Comments due: December 26, 2012

SR-OCC-2012-22
34-68288 Nov. 26, 2012 Notice of Filing of Proposed Rule Change to Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account to Settle Mark-to-Market Payments Arising from Stock Loan and Borrow Positions Carried in the Customers' Account
Comments due: December 21, 2012
See also:  Order: Rel. No. 34-68602

SR-OCC-2012-20
34-68151 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities with Maturities of Greater than 25 Years
Comments due: November 30, 2012

SR-OCC-2012-17
34-68148 Nov. 2, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
See also:  Notice: Rel. No. 34-68147, Notice: Rel. No. 34-67921, Notice: Rel. No. 34-67896

SR-OCC-2012-19
34-68130 Nov. 1, 2012 Notice of Filing of Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
Comments due:  November 28, 2012
See also:  Order: Rel. No. 34-68445

SR-OCC-2012-15
34-68113 Oct. 26, 2012 Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
See also:   Notice: Rel. No. 34-67851

SR-OCC-2012-14
34-68112 Oct. 26, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options
See also:   Order: Rel. No. 34-68434, Notice: Rel. No. 34-68111, Notice: Rel. No. 34-67906, Notice: Rel. No. 34-67835

SR-OCC-2012-16
34-68104 Oct. 25, 2012 Order Granting Accelerated Approval of Proposed Rule Change to Accommodate Equity Options That Have a Unit of Trading of 10 Shares
See also:   Notice: Rel. No. 34-67917

SR-OCC-2012-18
34-68025 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Per Contract Clearing Fee for Routing Trades Executed in Accordance with the Options Order Protection and Locked/Crossed Market Plan to $.01 Per Contract
Comments due:  November 6, 2012
Third Quarter

SR-OCC-2012-16
34-67917 Sep. 24, 2012 Notice of Filing of Proposed Rule Change to Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares
Comments due:  October 19, 2012
See also:   Order: Rel. No. 34-68104

SR-OCC-2012-17
34-67896 Sep. 20, 2012 Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
Comments due:  October 17, 2012
See also:   Order: Rel. No. 34-68148, Notice: Rel. No. 34-68147, Notice: Rel. No. 34-67921

SR-OCC-2012-15
34-67851 Sep. 13, 2012 Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
Comments due:  October 10, 2012
See also:   Order: Rel. No. 34-68113

SR-OCC-2012-14
34-67835 Sep. 12, 2012 Notice of Filing of Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options
Comments due:  October 9, 2012
See also:   Order: Rel. No. 34-68434, Notice: Rel. No. 34-68112, Notice: Rel. No. 34-68111, Notice: Rel. No. 34-67906

SR-OCC-2012-13
34-67826 Sep. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10
Comments due:  October 9, 2012

SR-OCC-2012-12
34-67782 Sep. 5, 2012 Order Approving Proposed Rule Change to Amend OCC's By-Laws to Allow the Corporation to Approve OCC's Form of Clearing Member Application and Form of Clearing Agreement
See also:   Notice: Rel. No. 34-67506

SR-OCC-2012-11
34-67733 Aug. 27, 2012 Order Approving Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104
See also:   Notice: Rel. No. 34-67443

SR-OCC-2012-10
34-67706 Aug. 22, 2012 Order Approving Proposed Rule Change to Amend OCC's By-Laws and Rules to Terminate OCC's Pledge Program
See also:   Notice: Rel. No. 34-67392

SR-OCC-2012-12
34-67506 Jul. 26, 2012 Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws to Allow the Corporation to Approve OCC’s Form of Clearing Member Application and Form of Clearing Agreement
Comments due:  August 22, 2012
See also:   Order: Rel. No. 34-67782

SR-OCC-2012-08
34-67459 Jul. 18, 2012 Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures
See also:   Notice: Rel. No. 34-67095

SR-OCC-2012-11
34-67443 Jul. 16, 2012 Notice of Filing of Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104
Comments due:  August 10, 2012
See also:   Order: Rel. No. 34-67733

SR-OCC-2012-10
34-67392 Ju1. 10, 2012 Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws and Rules to Terminate OCC’s Pledge Program
Comments due:  August 6, 2012
See also:   Order: Rel. No. 34-67706

SR-OCC-2012-09
34-67391 Ju1. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC’s Schedule of Fees to Eliminate Fees for Certain Educational Brochures
Comments due:  August 6, 2012

SR-OCC-2012-07
34-67333 Jul. 2, 2012 Order Approving Proposed Rule Change Relating to Adjustment Panel Voting
See also:   Notice: Rel. No. 34-67021
Second Quarter

SR-OCC-2012-08
34-67095 Jun. 1, 2012 Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures
Comments due:  June 28, 2012
See also:   Order: Rel. No. 34-67459

SR-OCC-2012-07
34-67021 May 18, 2012 Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting
Comments due:  June 14, 2012
See also:   Order: Rel. No. 34-67333

SR-OCC-2012-03
34-67018 May 18, 2012 Order Approving Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications"
See also:   Notice: Rel. No. 34-66676

SR-OCC-2012-04
34-67013 May 18, 2012 Order Approving Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules
See also:   Notice: Rel. No. 34-66715

SR-OCC-2012-06
34-66841 Apr. 20, 2012 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules
Comments due:  May 17, 2012

SR-OCC-2012-05
34-66742 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments
Comments due:  May 2, 2012

SR-OCC-2012-04
34-66715 Apr. 2, 2012 Notice of Filing of Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules
Comments due:  April 27, 2012
See also:   Order: Rel. No. 34-67013
First Quarter

SR-OCC-2012-03
34-66676 Mar. 29, 2012 Notice of Filing of Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications"
Comments due:  April 25, 2012
See also:   Order: Rel. No. 34-67018

SR-OCC-2012-01
34-66560 Mar. 9, 2012 Order Approving Proposed Rule Change Relating to Public Directors
See also:   Notice: Release No. 34-66266

SR-OCC-2012-02
34-66340 Feb. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit OCC to Clear and Settle Spot Gold Futures, Which Are Proposed to be Traded by NASDAQ OMX Futures Exchange, Inc.
Comments due:  March 5, 2012

SR-OCC-2012-01
34-66266 Jan. 27, 2012 Notice of Filing of Proposed Rule Change Relating to Public Directors
Comments due:  February 23, 2012
See also:   Order: Release No. 34-66560

SR-ODD-2012-01
34-66193 Jan. 19, 2012 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Relative Performance Options

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
Comments received are available for this proposal.

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

OCC File Number List for 2012

OCC

Release No. Date Details
34-68225 Nov. 14, 2012 Notice of Filing of Advance Notice to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
Comments due: December 11, 2012

SR-OCC-2012-26
34-68531 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Interpretative Guidance Relating to the Adjustment of Stock Options and Single Stock Futures for Cash Dividends and Distributions on Underlying Securities
Comments due: January 22, 2013

SR-OCC-2012-25
34-68532 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule of Fees, Effective January 2, 2013, to Charge Non-Clearing Member Subscribers of Certain Non-Proprietary Data an Additional Monthly Fee to Accommodate Request for Such Data on a Real-Time Basis
Comments due: January 22, 2013

SR-OCC-2012-24
34-68535 Dec. 26, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Its By-Laws and Rules Consistent with Recent System Changes to the Stock Loan/Hedge Program and Market Loan Program and Delete Certain Terms and Provisions No Longer Applicable
Comments due: January 23, 2013

SR-OCC-2012-23
34-68712 Jan. 23, 2013 Order Approving Proposed Rule Change to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities
34-68403 Dec. 11, 2012 Notice of Filing of Proposed Rule Change to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities
Comments due: January 7, 2013

SR-OCC-2012-22
34-68602 Jan. 9, 2013 Order Approving Proposed Rule Change to Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account to Settle Mark-to-Market Payments Arising from Stock Loan and Borrow Positions Carried in the Customers' Account
34-68288 Nov. 26, 2012 Notice of Filing of Proposed Rule Change to Clarify the Use of Certain Amounts Credited to the Liquidating Settlement Account to Settle Mark-to-Market Payments Arising from Stock Loan and Borrow Positions Carried in the Customers' Account
Comments due: December 21, 2012

SR-OCC-2012-21
34-68308 Nov. 28, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Explicitly State That OCC May Reject a Request for Withdrawal of Margin or Make an Intra-Day Margin Call in Situations where a Clearing Member's Projected Settlement Obligations Could Exceed OCC's Available Liquidity Resources
Comments due: December 26, 2012

SR-OCC-2012-20
34-68151 Nov. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities with Maturities of Greater than 25 Years
Comments due: November 30, 2012

SR-OCC-2012-19
34-68445 Dec. 14, 2012 Order Approving Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
See also:  Notice: Rel. No. 34-68130
34-68130 Nov. 1, 2012 Notice of Filing of Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
Comments due:  November 28, 2012

SR-OCC-2012-18
34-68025 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Per Contract Clearing Fee for Routing Trades Executed in Accordance with the Options Order Protection and Locked/Crossed Market Plan to $.01 Per Contract
Comments due:  November 6, 2012

SR-OCC-2012-17
34-68148 Nov. 2, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
34-67896 Sep. 20, 2012 Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
Comments due:  October 17, 2012

SR-OCC-2012-16
34-68104 Oct. 25, 2012 Order Granting Accelerated Approval of Proposed Rule Change to Accommodate Equity Options That Have a Unit of Trading of 10 Shares
34-67917 Sep. 24, 2012 Notice of Filing of Proposed Rule Change to Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares
Comments due:  October 19, 2012

SR-OCC-2012-15
34-68113 Oct. 26, 2012 Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
34-67851 Sep. 13, 2012 Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members
Comments due:  October 10, 2012

SR-OCC-2012-14
34-68434 Dec. 14, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: AN-OCC-2012-01
34-68112 Oct. 26, 2012 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options
34-67835 Sep. 12, 2012 Notice of Filing of Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options
Comments due:  October 9, 2012

SR-OCC-2012-13
34-67826 Sep. 11, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10
Comments due:  October 9, 2012

SR-OCC-2012-12
34-67782 Sep. 5, 2012 Order Approving Proposed Rule Change to Amend OCC's By-Laws to Allow the Corporation to Approve OCC's Form of Clearing Member Application and Form of Clearing Agreement
34-67506 Jul. 26, 2012 Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws to Allow the Corporation to Approve OCC’s Form of Clearing Member Application and Form of Clearing Agreement
Comments due:  August 22, 2012

SR-OCC-2012-11
34-67733 Aug. 27, 2012 Order Approving Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104
34-67443 Jul. 16, 2012 Notice of Filing of Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104
Comments due:  August 10, 2012

SR-OCC-2012-10
34-67706 Aug. 22, 2012 Order Approving Proposed Rule Change to Amend OCC's By-Laws and Rules to Terminate OCC's Pledge Program
34-67392 Ju1. 10, 2012 Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws and Rules to Terminate OCC’s Pledge Program
Comments due:  August 6, 2012

SR-OCC-2012-09
34-67391 Ju1. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC’s Schedule of Fees to Eliminate Fees for Certain Educational Brochures
Comments due:  August 6, 2012

SR-OCC-2012-08
34-67459 Jul. 18, 2012 Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures
34-67095 Jun. 1, 2012 Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures
Comments due:  June 28, 2012

SR-OCC-2012-07
34-67333 Jul. 2, 2012 Order Approving Proposed Rule Change Relating to Adjustment Panel Voting
34-67021 May 18, 2012 Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting
Comments due:  June 14, 2012

SR-OCC-2012-06
34-66841 Apr. 20, 2012 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules
Comments due:  May 17, 2012

SR-OCC-2012-05
34-66742 Apr. 5, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments
Comments due:  May 2, 2012

SR-OCC-2012-04
34-67013 May 18, 2012 Order Approving Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules
34-66715 Apr. 2, 2012 Notice of Filing of Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules
Comments due:  April 27, 2012

SR-OCC-2012-03
34-67018 May 18, 2012 Order Approving Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications"
34-66676 Mar. 29, 2012 Notice of Filing of Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications"
Comments due:  April 25, 2012

SR-OCC-2012-02
34-66340 Feb. 7, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit OCC to Clear and Settle Spot Gold Futures, Which Are Proposed to be Traded by NASDAQ OMX Futures Exchange, Inc.
Comments due:  March 5, 2012

SR-OCC-2012-01
34-66560 Mar. 9, 2012 Order Approving Proposed Rule Change Relating to Public Directors
34-66266 Jan. 27, 2012 Notice of Filing of Proposed Rule Change Relating to Public Directors
Comments due:  February 23, 2012

ODD

Release No. Date Details

SR-ODD-2012-02
34-68368 Dec. 6, 2012 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Adjustments for Cash Dividends and Distributions in Respect of Options Overlying Less than 100 Shares to Accommodate the Trading of Mini Options

SR-ODD-2012-01
34-66193 Jan. 19, 2012 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Relative Performance Options

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2012.shtml


Modified: 07/14/2014