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

OCC File Number List for 2019
ODD File Number List for 2019

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-OCC-2019-007
34-87246 Oct. 8, 2019 Notice of Filing of Partial Amendment No. 1 and Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019
SR-OCC-2019-008
34-87207 Oct. 3, 2019 Notice of Filing of Proposed Rule Change to Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors
Comments due: October 30, 2019
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
Third Quarter
SR-OCC-2019-005
34-86731 Aug. 22, 2019 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
SR-OCC-2019-007
34-86725 Aug. 21, 2019 Notice of Filing of Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 17, 2019
Comments received are available for this proposal.
Additional Materials: Exhibit 3g; Exhibit 5b, Exhibit 5c
SR-OCC-2019-006
34-86436 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies
Comments due: August 19, 2019
SR-OCC-2019-005
34-86296 Jul. 3, 2019 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: July 30, 2019
Second Quarter
SR-OCC-2019-004
34-86119 Jun. 17, 2019 Order Approving Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
SR-OCC-2019-002
34-85873 May 16, 2019 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
SR-OCC-2019-003
34-85779 May 6, 2019 Order Approving Proposed Rule Change to Require that an Actionable Identifier be Included on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
SR-OCC-2019-004
34-85755 Apr. 30, 2019 Notice of Filing of Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: May 28, 2019
First Quarter
SR-OCC-2019-003
34-85441 Mar. 28, 2019 Notice of Filing of Proposed Rule Change to Require that an Actionable Identifier be Included on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
Comments due: April 24, 2019
SR-OCC-2019-002
34-85440 Mar. 28, 2019 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: April 24, 2019
SR-OCC-2019-001
34-85322 Mar. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: April 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-OCC-2018-015
34-85129 Feb. 13, 2019 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Changes to The Options Clearing Corporation's Management Structure
SR-OCC-2015-02
34-85121 Feb. 13, 2019 Order Disapproving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan

OCC File Number List for 2019

Release No. Date Details
SR-OCC-2019-008
34-87207 Oct. 3, 2019 Notice of Filing of Proposed Rule Change to Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors
Comments due: October 30, 2019
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
SR-OCC-2019-007
34-87246 Oct. 8, 2019 Notice of Filing of Partial Amendment No. 1 and Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019
34-86725 Aug. 21, 2019 Notice of Filing of Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 17, 2019
Comments received are available for this proposal.
Additional Materials: Exhibit 3g; Exhibit 5b, Exhibit 5c
SR-OCC-2019-006
34-86436 Jul. 23, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies
Comments due: August 19, 2019
SR-OCC-2019-005
34-86731 Aug. 22, 2019 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
34-86296 Jul. 3, 2019 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: July 30, 2019
SR-OCC-2019-004
34-86119 Jun. 17, 2019 Order Approving Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
34-85755 Apr. 30, 2019 Notice of Filing of Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: May 28, 2019
SR-OCC-2019-003
34-85779 May 6, 2019 Order Approving Proposed Rule Change to Require that an Actionable Identifier be Included on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
34-85441 Mar. 28, 2019 Notice of Filing of Proposed Rule Change to Require that an Actionable Identifier be Included on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
Comments due: April 24, 2019
SR-OCC-2019-002
34-85873 May 16, 2019 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
34-85440 Mar. 28, 2019 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: April 24, 2019
SR-OCC-2019-001
34-85322 Mar. 14, 2019 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: April 10, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.