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Self-Regulatory Organization Rulemaking Table

File Number
SRO Organization
Details
Release Number:34-98979 SEC Issue Date:Nov 17, 2023 File Number:SR-OCC-2023-003 SRO Organization:The Options Clearing Corporation Details: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Release Number:34-98932 SEC Issue Date:Nov 14, 2023 File Number:SR-OCC-2023-007 SRO Organization:The Options Clearing Corporation Details: Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options
Comments Due: December 11, 2023
Rebuttal Comments: December 26, 2023
Submit a Comment on SR-OCC-2023-007
Release Number:34-98559 SEC Issue Date:Sep 27, 2023 File Number:SR-OCC-2023-003 SRO Organization:The Options Clearing Corporation Details: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Release Number:34-98505 SEC Issue Date:Sep 25, 2023 File Number:SR-OCC-2023-007 SRO Organization:The Options Clearing Corporation Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities C
Release Number:34-98215 SEC Issue Date:Aug 24, 2023 File Number:SR-OCC-2023-007 SRO Organization:The Options Clearing Corporation Details: Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments Due: September 20, 2023
See Also - Exhibit 3a, Exhibit 5a
Submit a Comment on SR-OCC-2023-007
Release Number:34-98107 SEC Issue Date:Aug 10, 2023 File Number:SR-OCC-2023-005 SRO Organization:The Options Clearing Corporation Details: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan
Comments Due: September 6, 2023
Submit a Comment on SR-OCC-2023-005
Release Number:34-98101 SEC Issue Date:Aug 10, 2023 File Number:SR-OCC-2022-012 SRO Organization:The Options Clearing Corporation Details: Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit
Comments Due: 21 days after date of publication in the Federal Register.  
Submit a Comment on SR-OCC-2022-012
Release Number:34-98093 SEC Issue Date:Aug 9, 2023 File Number:SR-OCC-2023-006 SRO Organization:The Options Clearing Corporation Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Capital Management Policy and Cash and Investment Management Policy
Comments Due: September 5, 2023
See Also - Exhibit-5
Submit a Comment on SR-OCC-2023-006
Release Number:34-97832 SEC Issue Date:Jul 3, 2023 File Number:SR-OCC-2023-003 SRO Organization:The Options Clearing Corporation Details: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Comments Due: July 25, 2023
Submit a Comment on SR-OCC-2023-003
Release Number:34-97785 SEC Issue Date:Jun 21, 2023 File Number:SR-OCC-2023-005 SRO Organization:The Options Clearing Corporation Details: Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan
Comments Due: July 18, 2023
View Received Comments
Submit a Comment on SR-OCC-2023-005
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