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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
Third Quarter |  Second Quarter |  First Quarter

OCC File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-OCC-2016-007
34-78277 Jul. 11, 2016 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Membership Approval Process
See also: Notice: Rel. No. 34-77938
Second Quarter

SR-OCC-2016-003
34-78151 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset
Comments due:  July 21, 2016

SR-OCC-2016-004
34-78056 Jun. 13, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due: July 8, 2016
Rebuttal comments due: July 22, 2016
See also: Notice: Rel. No. 34-77358, Notice: Rel. No. 34-77720

SR-OCC-2016-007
34-77938 May 27, 2016 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporationís Membership Approval Process
Comments due: June 23, 2016
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Order: Rel. No. 34-78277
First Quarter

SR-OCC-2016-004
34-77720 Apr. 27, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
See also: Notice: Rel. No. 34-77358, Order Instituting Proceedings: Rel. No. 34-78056

SR-OCC-2016-006
34-77415 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-matching of Matched-Book Positions in the Stock Loan/Hedge Program
Comments due:  April 18, 2016

SR-OCC-2016-004
34-77358 Mar. 14, 2016 Notice of Filing of Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due: April 8, 2016
Additional Materials: Exhibit 3A, Exhibit 5A, Exhibit 5B
See also: Order Instituting Proceedings: Rel. No. 34-78056, Notice: Rel. No. 34-77720
Comments received are available for this proposal.

SR-OCC-2016-005
34-77336 Mar. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Simplify The Options Clearing Corporation's Schedule of Fees
Comments due: April 6, 2016
Additional Materials: Exhibit 5

SR-OCC-2015-018
34-77042 Feb. 3, 2016 Order Approving the Adoption of a Charter of a New Committee of The Options Clearing Corporation's Board of Directors, the Technology Committee
See also: Notice: Rel. No. 34-76686

SR-OCC-2016-001
34-77041 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 1, 2016
Additional Materials: Exhibit 5
OCC File Number List for 2016

Release No. Date Details

SR-OCC-2016-007
34-78277 Jul. 11, 2016 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Membership Approval Process
34-77938 May 27, 2016 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporationís Membership Approval Process
Comments due: June 23, 2016
Additional Materials: Exhibit 5a, Exhibit 5b

SR-OCC-2016-006
34-77415 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-matching of Matched-Book Positions in the Stock Loan/Hedge Program
Comments due:  April 18, 2016

SR-OCC-2016-005
34-77336 Mar. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Simplify The Options Clearing Corporation's Schedule of Fees
Comments due: April 6, 2016
Additional Materials: Exhibit 5

SR-OCC-2016-004
34-78056 Jun. 13, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due: July 8, 2016
Rebuttal comments due: July 22, 2016
34-77720 Apr. 27, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
34-77358 Mar. 14, 2016 Notice of Filing of Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due: April 8, 2016
Additional Materials: Exhibit 3A, Exhibit 5A, Exhibit 5B
Comments received are available for this proposal.

SR-OCC-2016-003
34-78151 Jun. 24, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset
Comments due:  July 21, 2016

SR-OCC-2016-001
34-77041 Feb. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: March 1, 2016
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/occ.shtml


Modified: 07/12/2016