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 2019
ODD File Number List for 2019

Additional Archives

Chronological List

Release No. Date Details
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-2019-003
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.