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 2017

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-OCC-2017-008
34-82009 Nov. 3, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
Comments due: November 30, 2017
Comments received are available for this proposal.
SR-OCC-2017-017
34-81956 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement
Comments due: November 22, 2017
SR-OCC-2017-010
34-81955 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy
Comments due: November 22, 2017
SR-OCC-2017-009
34-81949 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
Comments due: November 22, 2017
SR-OCC-2017-005
34-81909 Oct. 19, 2017 Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework
Comments due: November 15, 2017
Third Quarter
SR-OCC-2017-013
34-81266 Jul. 31, 2017 Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-007
See also: Notice: Rel. No. 34-80942
Second Quarter
SR-OCC-2017-015
34-81008 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-OCC-2017-013
34-80941 Jun. 15, 2017 Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 11, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c Order: Rel. No. 34-81266
Comments received are available for this proposal.
SR-OCC-2017-012
34-80672 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Management Structure
Comments due: June 9, 2017
SR-OCC-2017-004
34-80555 Apr. 28, 2017 Order Approving Proposed Rule Change Concerning Enhancements to OCC’s Stock Loan Programs On February 28, 2017, The Options Clearing Corporation (“OCC”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change SR-OCC-2017-004 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 2(“Act”), and Rule 19b-4 thereunder. The proposed rule change was published for 3comment in the Federal Register on March 14, 2017. The Commission did not receive any comment letters on the proposed rule change. This order approves the proposed rule change
See also: Notice: Rel. No. 34-80171
SR-OCC-2017-002
34-80531 Apr. 26, 2017 Order Approving Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
See also: Notice: Rel. No. 34-80168
SR-OCC-2017-003
34-80372 Apr. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members to Participate in Default Management Testing
Comments due: May 1, 2017
First Quarter
SR-OCC-2017-004
34-80171 Mar. 8, 2017 Notice of Filing of Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 4, 2017
See also: Order: Rel. No. 34-80555
SR-OCC-2017-002
34-80168 Mar. 7, 2017 Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
Comments due: April 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Order: Rel. No. 34-80531
SR-OCC-2017-001
34-80147 Mar. 3, 2017 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility
See also: Notice: Rel. No. 34-79818
SR-OCC-2017-001
34-79818 Jan. 18, 2017 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 15, 2017
Comments received are available for this proposal.

OCC File Number List for 2017

Release No. Date Details
SR-OCC-2017-017
34-81956 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement
Comments due: November 22, 2017
SR-OCC-2017-015
34-81008 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-OCC-2017-013
34-81266 Jul. 31, 2017 Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-007
34-80941 Jun. 15, 2017 Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 11, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
Comments received are available for this proposal.
SR-OCC-2017-012
34-80672 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Management Structure
Comments due: June 9, 2017
SR-OCC-2017-010
34-81955 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy
Comments due: November 22, 2017
SR-OCC-2017-009
34-81949 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
Comments due: November 22, 2017
SR-OCC-2017-008
34-82009 Nov. 3, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
Comments due: November 30, 2017
Comments received are available for this proposal.
SR-OCC-2017-005
34-81909 Oct. 19, 2017 Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework
Comments due: November 15, 2017
SR-OCC-2017-004
34-80555 Apr. 28, 2017 Order Approving Proposed Rule Change Concerning Enhancements to OCC’s Stock Loan Programs On February 28, 2017, The Options Clearing Corporation (“OCC”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change SR-OCC-2017-004 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 2(“Act”), and Rule 19b-4 thereunder. The proposed rule change was published for 3comment in the Federal Register on March 14, 2017. The Commission did not receive any comment letters on the proposed rule change. This order approves the proposed rule change
34-80171 Mar. 8, 2017 Notice of Filing of Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 4, 2017
SR-OCC-2017-003
34-80372 Apr. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members to Participate in Default Management Testing
Comments due: May 1, 2017
SR-OCC-2017-002
34-80531 Apr. 26, 2017 Order Approving Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
34-80168 Mar. 7, 2017 Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
Comments due: April 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
SR-OCC-2017-001
34-80147 Mar. 3, 2017 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility
34-79818 Jan. 18, 2017 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 15, 2017
Comments received are available for this proposal.