Options Clearing Corporation (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 2020

Additional Archives

Chronological List for 2020

(Search any column)
Release No. Date Details
Fourth Quarter
SR-OCC-2020-012
34-90139 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model
Comments due: 21 days after publication in the Federal Register
SR-OCC-2020-010
34-90100 Oct. 6, 2020 Order Approving Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago
SR-OCC-2020-011
34-90065 Oct. 1, 2020 Notice of Filing of Proposed Rule Change to Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange
Comments due: 21 days after publication in the Federal Register
Third Quarter
SR-OCC-2020-008
34-89809 Sep. 10, 2020 Order Approving Proposed Rule Change to Enhance OCC's Stock Loan Close-Out Process
SR-OCC-2020-010
34-89590 Aug. 18, 2020 Notice of Filing of Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago
Comments due: September 14, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-009
34-89534 Aug. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: September 8, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-008
34-89393 Jul. 24, 2020 Notice of Filing of Proposed Rule Change to Enhance OCC's Stock Loan Close-Out Process
Comments due: August 20, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-007
34-89392 Jul. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model
Comments due: August 20, 2020
Second Quarter
SR-OCC-2020-006
34-89037 Jun. 10, 2020 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: July 7, 2020
SR-OCC-2020-003
34-89014 Jun. 4, 2020 Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
SR-OCC-2020-004
34-88989 Jun. 2, 2020 Order Approving Proposed Rule Change to Modify the Sequence for Processing Options Transactions
SR-OCC-2020-005
34-88974 May 29, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Clearing Members to Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
Comments due: June 25, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-003
34-88690 Apr. 20, 2020 Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
Comments due: May 15, 2020
Additional Materials: Exhibit 5a
SR-OCC-2020-004
34-88654 Apr. 15, 2020 Notice of Filing of Proposed Rule Change to Modify the Sequence for Processing Options Transactions
Comments due: May 12, 2020
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5
First Quarter
SR-OCC-2020-002
34-88511 Mar. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees
Comments due: April 24, 2020 
Additional Materials: Exhibit 5
SR-OCC-2020-001
34-88310 Mar. 2, 2020 Order Approving Proposed Rule Change to Modify the Fees for Exercise Notices Submitted after the Deadlines and to Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates
SR-OCC-2020-001
34-88030 Jan. 24, 2020 Notice of Filing of Proposed Rule Change to Modify the Fees for Exercise Notices Submitted after the Deadlines and to Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates
Comments due: February 20, 2020
SR-OCC-2019-007
34-88029 Jan. 24, 2020 Order Approving Proposed Rule Change, as modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility

File Number List for 2020

Release No. Date Details
SR-OCC-2020-012
34-90139 Oct. 8, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model
Comments due: 21 days after publication in the Federal Register
SR-OCC-2020-011
34-90065 Oct. 1, 2020 Notice of Filing of Proposed Rule Change to Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange
Comments due: 21 days after publication in the Federal Register
SR-OCC-2020-010
34-90100 Oct. 6, 2020 Order Approving Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago
34-89590 Aug. 18, 2020 Notice of Filing of Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago
Comments due: September 14, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-009
34-89534 Aug. 12, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: September 8, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-008
34-89809 Sep. 10, 2020 Order Approving Proposed Rule Change to Enhance OCC's Stock Loan Close-Out Process
34-89393 Jul. 24, 2020 Notice of Filing of Proposed Rule Change to Enhance OCC's Stock Loan Close-Out Process
Comments due: August 20, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-007
34-89392 Jul. 24, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model
Comments due: August 20, 2020
SR-OCC-2020-006
34-89037 Jun. 10, 2020 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: July 7, 2020
SR-OCC-2020-005
34-88974 May 29, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Deadline for Clearing Members to Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other than Market Maker Trades
Comments due: June 25, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-004
34-88989 Jun. 2, 2020 Order Approving Proposed Rule Change to Modify the Sequence for Processing Options Transactions
34-88654 Apr. 15, 2020 Notice of Filing of Proposed Rule Change to Modify the Sequence for Processing Options Transactions
Comments due: May 12, 2020
Additional Materials: Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5
SR-OCC-2020-003
34-89014 Jun. 4, 2020 Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
34-88690 Apr. 20, 2020 Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
Comments due: May 15, 2020
Additional Materials: Exhibit 5a
SR-OCC-2020-002
34-88511 Mar. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees
Comments due: April 24, 2020
Additional Materials: Exhibit 5
SR-OCC-2020-001
34-88310 Mar. 2, 2020 Order Approving Proposed Rule Change to Modify the Fees for Exercise Notices Submitted after the Deadlines and to Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates
34-88030 Jan. 24, 2020 Notice of Filing of Proposed Rule Change to Modify the Fees for Exercise Notices Submitted after the Deadlines and to Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates
Comments due: February 20, 2020