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 2018
ODD File Number List for 2018

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-ODD-2018-01
34-84565 Nov. 9, 2018 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Implied Volatility Index Options, Certain Contract Adjustment Disclosures, and T+2 Settlement
SR-OCC-2018-014
34-84524 Nov. 2, 2018 Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: November 29, 2018
SR-OCC-2018-013
34-84521 Nov. 1, 2018 Notice of Filing of Proposed Rule Change to Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors
Comments due: November 28, 2018
SR-OCC-2018-012
34-84473 Oct. 23, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters
Third Quarter
SR-OCC-2018-012
34-84021 Sep. 4, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters
Comments due: October 1, 2018
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-OCC-2017-021
34-83918 Aug. 23, 2018 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 2, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
SR-OCC-2017-020
34-83916 Aug. 23, 2018 Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios
SR-OCC-2018-011
34-83799 Aug. 8, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying and Conforming Changes to The Options Clearing Corporation's Margins Methodology and Margin Policy
Comments due: September 4, 2018
Comments received are available for this proposal.
SR-OCC-2018-008
34-83735 Jul. 27, 2018 Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
SR-OCC-2017-021
34-83732 Jul. 27, 2018 Notice of Filing of Partial Amendments No. 1and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: August 17, 2018
SR-OCC-2017-020
34-83725 Jul. 27, 2018 Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: August 17, 2018
SR-OCC-2018-010
34-83724 Jul. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Flexibly Structured Options
Comments due: August 23, 2018
Second Quarter
SR-OCC-2018-009
34-83519 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations
Comments due: July 23, 2018
SR-OCC-2017-021
34-83485 Jun. 20, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: July 11, 2018
Rebuttal comments due: July 17, 2018
SR-OCC-2017-020
34-83484 Jun. 20, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: July 11, 2018
Rebuttal comments due: July 17, 2018
SR-OCC-2018-008
34-83406 Jun. 11, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
Comments due: July 6, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-OCC-2017-022
34-83326 May 24, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
SR-OCC-2018-007
34-83321 May 24, 2018 Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules
Comments due: June 15, 2018
SR-OCC-2018-007
34-82983 Apr. 3, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules
Comments due: April 30, 2018
First Quarter
SR-OCC-2017-021
34-82927 Mar. 22, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Updates to and
Comments due: April 17, 2018
Rebuttal comments due: May 1, 2018
SR-OCC-2017-020
34-82926 Mar. 22, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: April 17, 2018
Rebuttal comments due: May 1, 2018
SR-OCC-2018-001
34-82856 Mar. 12, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy
SR-OCC-2017-022
34-82801 Mar. 2, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
Comments due: March 28, 2018
Rebuttal comments due: April 11, 2018
SR-OCC-2018-004
34-82793 Feb. 28, 2018 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 27, 2018
Rebuttal comments due: April 10, 2018
Comments received are available for this proposal.
SR-OCC-2017-011
34-82785 Feb. 27, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy
SR-OCC-2017-007
34-82658 Feb. 7, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Policy
SR-OCC-2018-005
34-82657 Feb. 8, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 7, 2018
SR-OCC-2018-004
34-82596 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: February 23, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-OCC-2017-021
34-82586 Jan. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
SR-OCC-2017-020
34-82585 Jan. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
SR-OCC-2018-001
34-82576 Jan. 24, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy
Comments due: February 14, 2018
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: February 16, 2018
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-2018-014
34-84524 Nov. 2, 2018 Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: November 29, 2018
SR-OCC-2018-013
34-84521 Nov. 1, 2018 Notice of Filing of Proposed Rule Change to Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors
Comments due: November 28, 2018
SR-OCC-2018-012
34-84473 Oct. 23, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters
34-84021 Sep. 4, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters
Comments due: October 1, 2018
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f
SR-OCC-2018-011
34-83799 Aug. 8, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Clarifying and Conforming Changes to The Options Clearing Corporation's Margins Methodology and Margin Policy
Comments due: September 4, 2018
Comments received are available for this proposal.
SR-OCC-2018-010
34-83724 Jul. 27, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Flexibly Structured Options
Comments due: August 23, 2018
SR-OCC-2018-009
34-83519 Jun. 26, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations
Comments due: July 23, 2018
SR-OCC-2018-008
34-83735 Jul. 27, 2018 Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
34-83406 Jun. 11, 2018 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
Comments due: July 6, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-OCC-2018-007
34-83321 May 24, 2018 Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules
Comments due: June 15, 2018
34-82983 Apr. 3, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules
Comments due: April 30, 2018
SR-OCC-2018-005
34-82657 Feb. 8, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 7, 2018
SR-OCC-2018-004
34-82793 Feb. 28, 2018 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 27, 2018
Rebuttal comments due: April 10, 2018
Comments received are available for this proposal.
34-82596 Jan. 30, 2018 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: February 23, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
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: February 16, 2018
Additional Materials: Exhibit 5
SR-OCC-2018-001
34-82856 Mar. 12, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy
34-82576 Jan. 24, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy
Comments due: February 14, 2018

ODD File Number List for 2018

Release No. Date Details
SR-ODD-2018-01
34-84565 Nov. 9, 2018 Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Implied Volatility Index Options, Certain Contract Adjustment Disclosures, and T+2 Settlement