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
First Quarter
Additional Archives
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Chronological List for 2023
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| Release No. | Date | Details |
|---|---|---|
| First Quarter | ||
| SR-OCC-2022-012 | ||
| 34-97178 | Mar. 21, 2023 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Concerning The Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit
Comments due: 15 days after publication in the Federal Register Rebuttal comments due: 29 days after publication in the Federal Register |
| SR-OCC-2023-002 | ||
| 34-97150 | Mar. 15, 2023 | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2, Exhibit 5a, Exhibit 5b |
| SR-OCC-2023-001 | ||
| 34-96948 | Feb. 17, 2023 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy
Comments due: March 16, 2023 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-OCC-2022-012 | ||
| 34-96797 | Feb. 3, 2023 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning The Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit |
File Number List for 2023
| Release No. | Date | Details |
|---|---|---|
| SR-OCC-2023-002 | ||
| 34-97150 | Mar. 15, 2023 | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards.
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 2, Exhibit 5a, Exhibit 5b |
| SR-OCC-2023-001 | ||
| 34-96948 | Feb. 17, 2023 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy
Comments due: March 16, 2023 Additional Materials: Exhibit 3, Exhibit 5 |