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OCC Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2013-22
34-71090 Dec. 17, 2013 Notice of Filing of Proposed Rule Change to Make a Non-Material Housekeeping Rule Change so that OCC's Membership Qualifications Accurately Reflect Current Operational Practices
Comments due: January 13, 2014
See also: Order: Rel. No. 34-71422

SR-OCC-2013-18
34-71030 Dec. 11, 2013 Notice of Filing of Proposed Rule Change Concerning the Governance Committee Charter
Comments due: January 6, 2014
See also: Order: Rel. No. 34-71396

SR-OCC-2013-17
34-71022 Dec. 6, 2013 Order Approving Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee
See also: Notice: Rel. No. 34-70753

SR-OCC-2013-21
34-70947 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical Changes to OCC's By-Laws and Rules in Connection with the Modification of the Individual Registration Categories of the Investment Industry Regulatory Organization of Canada
Comments due: December 24, 2013
* Submit comments on SR-OCC-2013-21

SR-OCC-2013-20
34-70935 Nov. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify OCC's Existing Policy Regarding Use of Clearing Fund Assets in Anticipation of a Clearing Member Default
Comments due: December 23, 2013
* Submit comments on SR-OCC-2013-20

SR-OCC-2013-19
34-70838 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement between The Options Clearing Corporation and NYSE Liffe US LLC in Connection with NYSE Liffe US LLC's Transition to Electronic Vault Receipts
Comments due: December 6, 2013
* Submit comments on SR-OCC-2013-19

SR-OCC-2013-17
34-70753 Oct. 24, 2013 Notice of Filing of Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee
Comments due: November 20, 2013
See also: Order: Rel. No. 34-71022
Third Quarter

SR-OCC-2013-16
34-70719 Oct. 18, 2013 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending OCC's By-Laws and Rules to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: November 14, 2013
* Submit comments on SR-OCC-2013-16

SR-OCC-2013-10
34-70704 Oct. 17, 2013 Order Approving Proposed Rule Change to Amend Policy Statement Adopted Under Rule 205 Entitled "Back-up Communication Channel to Internet Access"
See also: Notice: Rel. No. 34-70289

SR-OCC-2013-15
34-70545 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to: to Correct an Inadvertent Omission in a Prior Rule Change Filing Related to the Definition of Hedge Clearing Member
Comments due: October 24, 2013
* Submit comments on SR-OCC-2013-15

SR-OCC-2013-13
34-70502 Sep. 25, 2013 Order Approving Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts with Aggregated Long Positions, Requirements to be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices
See also: Notice: Rel. No. 34-70225

SR-OCC-2013-12
34-70486 Sep. 24, 2013 Order Approving Proposed Rule Change to Revise OCC By-Laws and Rules to Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members
See also: Notice: Rel. No. 34-70207

SR-OCC-2013-10
34-70289 Aug. 29, 2013 Notice of Filing of Proposed Rule Change to Amend its Policy Statement Adopted Under Rule 205 Entitled "Back-up Communication Channel to Internet Access"
Comments due: September 26, 2013
See also: Order: Rel. No. 34-70704

SR-OCC-2013-14
34-70279 Aug. 28, 2013 Notice of Filing of Proposed Rule Change to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: September 25, 2013
* Submit comments on SR-OCC-2013-14

SR-OCC-2013-13
34-70225 Aug. 16, 2013 Notice of Filing of Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts with Aggregated Long Positions, Requirements to be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices
Comments due: September 12, 2013
See also: Order: Rel. No. 34-70502

SR-OCC-2013-12
34-70207 Aug. 15, 2013 Notice of Filing of Proposed Rule Change to Revise its By-Laws and Rules to Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members
Comments due: September 11, 2013
See also: Order: Rel. No. 34-70486

SR-OCC-2013-11
34-70092 Aug. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to: (i) Provide Clarification Regarding the Applicability of Certain Provisions of OCC's By-Laws and Rules to Certain U.S. Dollar-Settled Gold Futures Designed to Replicate Positions in the Spot Market; and (ii) Remove Provisions Applicable Only to the Now-Discontinued U.S. Dollar-Settled Gold Futures That Were Based on the Value of Gold in the Spot Market With an Additional Daily Cost of Carry Feature
Comments due: August 28, 2013
* Submit comments on SR-OCC-2013-11

SR-OCC-2013-09
34-70076 Jul. 30, 2013 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Chairman and President, and Create an Additional Directorship to be Occupied By the President
See also: Notice: Rel. No. 34-69771

SR-OCC-2013-05
34-69977 Jul. 11, 2013 Order Approving Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
See also: Notice: Rel. No. 34-69642
Second Quarter

SR-OCC-2013-04
34-69772 Jun. 17, 2013 Order Approving Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
See also: Notice: Rel. No. 34-69480

SR-OCC-2013-09
34-69771 Jun. 17, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Executive Chairman and President, and Create an Additional Directorship to be Occupied By the President
Comments due: July 12, 2013
See also: Order: Rel. No. 34-70076

SR-OCC-2013-08
34-69723 Jun. 10, 2013 Notice of Filing of Proposed Rule Change to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 5, 2013
* Submit comments on SR-OCC-2013-08

SR-OCC-2013-07
34-69722 Jun. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking to Clear Over-The-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC
Comments due: July 5, 2013

SR-OCC-2013-05
34-69642 May 28, 2013 Notice of Filing of Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
Comments due: June 24, 2013
See also: Order: Rel. No. 34-69977

SR-OCC-2013-06
34-69595 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, to Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC
Comments due: June 12, 2013

SR-OCC-2013-03
34-69534 May 8, 2013 Order Approving Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
See also: Notice: Rel. No. 34-69188

SR-OCC-2013-04
34-69480 Apr. 30, 2013 Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: May 28, 2013
See also: Order: Rel. No. 34-69772
Comments received are available for this proposal.

SR-OCC-2013-02
34-69403 Apr. 18, 2013 Order Approving Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
See also: Notice: Rel. No. 34-69026
First Quarter

SR-OCC-2013-03
34-69188 Mar. 20, 2013 Notice of Filing of Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
Comments due: April 16, 2013
See also: Order: Rel. No. 34-69534

SR-OCC-2013-02
34-69026 Mar. 4, 2013 Notice of Filing of Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
Comments due: March 29, 2013
See also: Order: Rel. No. 34-69403

SR-OCC-2013-01
34-68962 Feb. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Clarifying Language to Conform Interpretive Guidance Concerning Options Overlying Fund Shares with OCC’s By-Laws Governing Adjustments
Comments due: March 21, 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
See also: Notice: Rel. No. 34-68403

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
See also: Notice: Rel. No. 34-68288


OCC File Number List for 2013

Release No. Date Details

SR-OCC-2013-23
34-71571 Feb. 19, 2014 Order Approving Proposed Rule Change, As Modified by Amendment No. 1, to Provide OCC With Authority in Emergency Circumstances to Waive, Suspend, or Extend the Time for Compliance With Its By-Laws, Rules, Policies and Procedures, or any Other Rules Issued by OCC
34-71268 Jan. 9, 2014 Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, to Provide OCC With Authority in Emergency Circumstances to Extend, Waive, or Suspend the Operation of its By-Laws, Rules, Policies and Procedures, or any Other Rules Issued by OCC
Comments due: February 5, 2014

SR-OCC-2013-22
34-71422 Jan. 28, 2014 Order Approving Proposed Rule Change to Make a Non-Material Housekeeping Rule Change so that OCC's Membership Qualifications Accurately Reflect Current Operational Practices
34-71090 Dec. 17, 2013 Notice of Filing of Proposed Rule Change to Make a Non-Material Housekeeping Rule Change so that OCC's Membership Qualifications Accurately Reflect Current Operational Practices
Comments due: January 13, 2014

SR-OCC-2013-21
34-70947 Nov. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical Changes to OCC's By-Laws and Rules in Connection with the Modification of the Individual Registration Categories of the Investment Industry Regulatory Organization of Canada
Comments due: December 24, 2013
* Submit comments on SR-OCC-2013-21

SR-OCC-2013-20
34-70935 Nov. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify OCC's Existing Policy Regarding Use of Clearing Fund Assets in Anticipation of a Clearing Member Default
Comments due: December 23, 2013
* Submit comments on SR-OCC-2013-20

SR-OCC-2013-19
34-70838 Nov. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Amendment to the Amended and Restated Clearing and Services Agreement between The Options Clearing Corporation and NYSE Liffe US LLC in Connection with NYSE Liffe US LLC's Transition to Electronic Vault Receipts
Comments due: December 6, 2013
* Submit comments on SR-OCC-2013-19

SR-OCC-2013-18
34-71396 Jan. 24, 2014 Order Approving Proposed Rule Change Concerning the Governance Committee Charter
34-71030 Dec. 11, 2013 Notice of Filing of Proposed Rule Change Concerning the Governance Committee Charter
Comments due: January 6, 2014

SR-OCC-2013-17
34-71022 Dec. 6, 2013 Order Approving Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee
34-70753 Oct. 24, 2013 Notice of Filing of Proposed Rule Change Concerning Charters for the Board of Directors, the Membership/Risk Committee, the Audit Committee and the Performance Committee
Comments due: November 20, 2013

SR-OCC-2013-16
34-70719 Oct. 18, 2013 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Amending OCC's By-Laws and Rules to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: November 14, 2013
* Submit comments on SR-OCC-2013-16

SR-OCC-2013-15
34-70545 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to: to Correct an Inadvertent Omission in a Prior Rule Change Filing Related to the Definition of Hedge Clearing Member
Comments due: October 24, 2013
* Submit comments on SR-OCC-2013-15

SR-OCC-2013-14
34-70279 Aug. 28, 2013 Notice of Filing of Proposed Rule Change to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: September 25, 2013
* Submit comments on SR-OCC-2013-14

SR-OCC-2013-13
34-70502 Sep. 25, 2013 Order Approving Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts with Aggregated Long Positions, Requirements to be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices
34-70225 Aug. 16, 2013 Notice of Filing of Proposed Rule Change Relating to the Use of Manual Signatures, Reduction of Segregated Long Positions in Accounts with Aggregated Long Positions, Requirements to be Physically Present, and Other Technical Changes to OCC's By-Laws and Rules to Better Reflect Current Operational Practices
Comments due: September 12, 2013

SR-OCC-2013-12
34-70486 Sep. 24, 2013 Order Approving Proposed Rule Change to Revise OCC By-Laws and Rules to Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members
34-70207 Aug. 15, 2013 Notice of Filing of Proposed Rule Change to Revise its By-Laws and Rules to Make Structural Changes to OCC's Membership/Risk Committee Regarding Public Directors and the Process for Designating Membership/Risk Committee Members
Comments due: September 11, 2013

SR-OCC-2013-11
34-70092 Aug. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to: (i) Provide Clarification Regarding the Applicability of Certain Provisions of OCC's By-Laws and Rules to Certain U.S. Dollar-Settled Gold Futures Designed to Replicate Positions in the Spot Market; and (ii) Remove Provisions Applicable Only to the Now-Discontinued U.S. Dollar-Settled Gold Futures That Were Based on the Value of Gold in the Spot Market With an Additional Daily Cost of Carry Feature
Comments due: August 28, 2013
* Submit comments on SR-OCC-2013-11

SR-OCC-2013-10
34-70704 Oct. 17, 2013 Order Approving Proposed Rule Change to Amend Policy Statement Adopted Under Rule 205 Entitled "Back-up Communication Channel to Internet Access"
34-70289 Aug. 29, 2013 Notice of Filing of Proposed Rule Change to Amend its Policy Statement Adopted Under Rule 205 Entitled "Back-up Communication Channel to Internet Access"
Comments due: September 26, 2013

SR-OCC-2013-09
34-70076 Jul. 30, 2013 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Chairman and President, and Create an Additional Directorship to be Occupied By the President
34-69771 Jun. 17, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Separate the Powers and Duties Currently Combined in the Office of OCC's Chairman into Two Offices, Executive Chairman and President, and Create an Additional Directorship to be Occupied By the President
Comments due: July 12, 2013

SR-OCC-2013-08
34-69723 Jun. 10, 2013 Notice of Filing of Proposed Rule Change to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 5, 2013
* Submit comments on SR-OCC-2013-08

SR-OCC-2013-07
34-69722 Jun. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Short-Form License Agreement That Must Be Signed by OCC Clearing Members Seeking to Clear Over-The-Counter Index Options on Underlying Indices Published by Standard & Poor's Financial Services LLC
Comments due: July 5, 2013

SR-OCC-2013-06
34-69595 May 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, to Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC
Comments due: June 12, 2013

SR-OCC-2013-05
34-69977 Jul. 11, 2013 Order Approving Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
34-69642 May 28, 2013 Notice of Filing of Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts to Account for Certain Events, Such as Certain Dividend Distributions or Other Corporate Actions, That Affect the Underlying Security or Other Underlying Interest
Comments due: June 24, 2013

SR-OCC-2013-04
34-69772 Jun. 17, 2013 Order Approving Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
34-69480 Apr. 30, 2013 Notice of Filing of Proposed Rule Change to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: May 28, 2013
Comments received are available for this proposal.

SR-OCC-2013-03
34-69534 May 8, 2013 Order Approving Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
34-69188 Mar. 20, 2013 Notice of Filing of Proposed Rule Change to Add Provisions to the By-Laws to Facilitate the Use of the Stock Loan/Hedge Program by Canadian Clearing Members
Comments due: April 16, 2013

SR-OCC-2013-02
34-69403 Apr. 18, 2013 Order Approving Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
34-69026 Mar. 4, 2013 Notice of Filing of Proposed Rule Change to Implement a Revised Method of Calculating Clearing Members' Respective Contributions to OCC's Clearing Fund
Comments due: March 29, 2013

SR-OCC-2013-01
34-68962 Feb. 21, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Clarifying Language to Conform Interpretive Guidance Concerning Options Overlying Fund Shares with OCC’s By-Laws Governing Adjustments
Comments due: March 21, 2013

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2013.shtml


Modified: 02/20/2014