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
First Quarter

OCC File Number List for 2018

Additional Archives

Chronological List

Release No. Date Details
First Quarter
SR-OCC-2018-003
34-82543 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify OCC's Rules Regarding the Exercise Procedures for Certain Options on Futures
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-OCC-2017-022
34-82534 Jan. 18, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
SR-OCC-2017-019
34-82502 Jan. 12, 2018 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning The Options Clearing Corporation's Adoption of a New Minimum Cash Requirement for the Clearing Fund
SR-OCC-2017-011
34-82473 Jan. 9, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy
Comments due: February 6, 2018

OCC File Number List for 2018

Release No. Date Details
SR-OCC-2018-003
34-82543 Jan. 19, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify OCC's Rules Regarding the Exercise Procedures for Certain Options on Futures
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5