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OCC Rulemaking Archive: 2003

We encourage the public to submit comments on the following 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 web site.

Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.

OCC File Number List for 2003

Additional Archives


Chronological List

Release No. Date Details
No proposals were posted to website.


OCC File Number List for 2003

Release No. Date Details

SR-OCC-2003-14
34-50392 Sep. 16, 2004 Order Approving a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules and Adding Rules to Protect the Clearing Corporation and its Members

SR-OCC-2003-12
34-49477 Mar. 25, 2004

Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clearing Agreement
Comments due:  April 22, 2004


SR-OCC-2003-13
34-53053 Jan. 5, 2006 Order Approving Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
34-52783 Nov. 16, 2005 Notice of Filing of Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
Comments due:  December 14, 2005

SR–OCC–2003–11
34-49841 Jun. 9, 2004 Order Approving A Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
34–49378 Mar. 9, 2004 Notice of Filing of a Proposed Rule Change Relating To Clearing Member Trade Assignment Processing
Comments received are available for this notice.

SR-OCC-2003-09
34-50465 Sep. 29, 2004 Order Granting Approval of a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Minimum Net Capital Requirements for Appointed Clearing Members
Comments due:  21 days after publication in the Federal Register
34-49478 Mar. 25, 2004

Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members


SR-OCC-2003-08
34-49420 Mar. 16, 2004

Order Approving Proposed Rule Change Related to Delivery Settlement of Exercised Stock Options and Matured Stock Futures


SR-OCC-2003-04
34-52030 Jul. 14, 2005 Order Granting Approval of a Proposed Rule Change Relating to a New Customers’ Lien Account
34-51330 Mar. 8, 2005 Notice of Filing of a Proposed Rule Change Relating to a New Customers’ Lien Account

 

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2003.shtml


Modified: 06/19/2008