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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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

OCC File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2016-014
34-79435 Nov. 30, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Compliance with Section 871(m) of the Internal Revenue Code
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-79172

SR-OCC-2016-013
34-79212 Nov. 1, 2016 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporationís Margin Coverage During Times of Increase Volatility
Comments due: November 28, 2016

SR-OCC-2016-014
34-79172 Oct. 27, 2016 Notice of Filing of Proposed Rule Change Related to Compliance with Section 871(m) of the Internal Revenue Code
Comments due: November 22, 2016

SR-OCC-2016-009
34-79094 Oct. 13, 2016 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation's Escrow Deposit Program
See also: Notice: Rel. No. 34-78675

SR-OCC-2016-012
34-79028 Oct. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: October 28, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
Third Quarter

SR-OCC-2016-010
34-78983 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Amendments to and the Restatement of OCCís Certificate of Incorporation
Comments due: October 26, 2016
Additional Materials: Exhibit 5

SR-OCC-2016-002
34-78862 Sep. 16, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements
See also: Notice: Rel. No. 34-78438

SR-OCC-2016-004
34-78724 Aug. 30, 2016 Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
See also: Notice: Rel. No. 34-78056, Notice: Rel. No. 34-77720, Notice: Rel. No. 34-77358

SR-OCC-2016-009
34-78675 Aug. 25, 2016 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Escrow Deposit Program
Comments due:  September 21, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-OCC-2016-008
34-78526 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-OCC-2016-002
34-78438 Jul. 28, 2016 Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements
Comments due: August 24, 2016
Additional Materials: Exhibit 5a
See also: Order: Rel. No. 34-78862

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. 34-78724, 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 Corporation's 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. 34-78724, Notice: Rel. No. 34-77358, Order: 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:  Notice: Rel. No. 34-78724, Order: 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-2016-014
34-79435 Nov. 30, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Compliance with Section 871(m) of the Internal Revenue Code
Comments due: 21 days after publication in the Federal Register
34-79172 Oct. 27, 2016 Notice of Filing of Proposed Rule Change Related to Compliance with Section 871(m) of the Internal Revenue Code
Comments due: November 22, 2016

SR-OCC-2016-013
34-79212 Nov. 1, 2016 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporationís Margin Coverage During Times of Increase Volatility
Comments due: November 28, 2016

SR-OCC-2016-012
34-79028 Oct. 3, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: October 28, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-OCC-2016-010
34-78983 Sep. 29, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Amendments to and the Restatement of OCCís Certificate of Incorporation
Comments due: October 26, 2016
Additional Materials: Exhibit 5

SR-OCC-2016-009
34-79094 Oct. 13, 2016 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation's Escrow Deposit Program
34-78675 Aug. 25, 2016 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Escrow Deposit Program
Comments due:  September 21, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-OCC-2016-008
34-78526 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

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 Corporation's 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
34-78724 Aug. 30, 2016 Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy
See also: Notice: Rel. No. 34-78056, Notice: Rel. No. 34-77720, Notice: Rel. No. 34-77358
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-2016-002
34-78862 Sep. 16, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements
34-78438 Jul. 28, 2016 Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements
Comments due: August 24, 2016
Additional Materials: Exhibit 5a

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: 11/30/2016