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OCC Rulemaking Archive: 2007
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.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
File Number Lists for 2007
OCC
ODD
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Release No. |
Date |
Details |
Fourth Quarter |
SR-OCC-2007-15 |
34-56991 |
Dec. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account
Comments due: January 17, 2008
|
SR-OCC-2007-07 |
34-56931 |
Dec. 7, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities
Comments due: January 7, 2008
|
SR-OCC-2006-09 |
34-56930 |
Dec. 7, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Choice of Law and Forum Selection
See also: Notice: Rel. No. 34-55653
|
SR-OCC-2007-08 |
34-56875 |
Nov. 30, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Binary Options
See also: Notice: Rel. No. 34-56471
|
SR-OCC-2007-13 |
34-56856 |
Nov. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options
Comments due: December 27, 2007
|
SR-OCC-2007-11 |
34-56846 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Expanding Sub-Accounts
Comments due: December 24, 2007
|
SR-OCC-2007-14 |
34-56845 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures
Comments due: December 21, 2007
|
SR-OCC-2007-10 |
34-56800 |
Nov. 16, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members For Theoretical Profit and Loss Values
Comments due: December 17, 2007
|
SR-OCC-2007-12 |
34-56684 |
Oct. 22, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares
Comments due: November 16, 2007
|
Third Quarter |
SR-OCC-2007-08 |
34-56471 |
Sep. 19, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Binary Options
Comments due: October 17, 2007
See also: Order: Rel. No. 34-56875
|
SR-OCC-2007-09 |
34-56386 |
Sep. 11, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction
Comments due: October 9, 2007
|
SR-OCC-2007-06 |
34-56288 |
Aug. 20, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
See also: Notice: Rel. No. 34-55939
|
SR-OCC-2006-19 |
34-56069 |
Jul. 13, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Close-Out Netting Procedures
See also: Notice: Rel. No. 34-55788
Comments received are available for this notice.
|
Second Quarter |
SR-OCC-2007-06 |
34-55939 |
Jun. 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options
Comments due: July 12, 2007
See also: Order: Rel. No. 34-56288
|
SR-ODD-2007-03 |
34-55921 |
Jun. 18, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options
|
SR-OCC-2007-01 |
34-55872 |
Jun. 6, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options
See also: Notice: Rel. No. 34-55362
|
SR-OCC-2006-19 |
34-55788 |
May 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Close-Out Netting Procedures
Comments due: June 19, 2007
See also: Order: Rel. No. 34-56069
Comments received are available for this notice.
|
SR-OCC-2006-15 |
34-55716 |
May 7, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin
See also: Notice: Rel. No. 34-55504
|
SR-OCC-2007-05 |
34-55709 |
May 4, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Clearing Fee Schedule
Comments due: May 31, 2007
|
SR-ODD-2007-02 |
34-55702 |
May 3, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares
|
SR-OCC-2006-21 |
34-55686 |
May 1, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Membership Requirements
See also: Notice: Rel. No. 34-55047
|
SR-OCC-2007-03 |
34-55681 |
Apr. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment No. 5 of the Restated Participant Exchange Agreement
Comments due: May 24, 2007
|
SR-OCC-2006-09 |
34-55653 |
Apr. 20, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Choice of Law and Forum Selection
Comments due: May 18, 2007
See also: Order: Rel. No. 34-56930
|
SR-ODD-2007-01 |
34-55582 |
Apr. 4, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options
|
SR-OCC-2007-02 |
34-55579 |
Apr. 4, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Rate-Modified Foreign Currency Options
Comments due: May 1, 2007
|
SR-OCC-2007-04 |
34-55565 |
Apr. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Portfolio Margining of Customer Securities
Comments due: April 27, 2007
|
First Quarter |
SR-OCC-2006-15 |
34-55504 |
Mar. 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to the Approval of Fund Shares Deposited as Margin
Comments due: April 19, 2007
See also: Order: Rel. No. 34-55716
|
SR-OCC-2007-01 |
34-55362 |
Feb. 27, 2007 |
Notice of Filing of Proposed Rule Change Relating to Credit Default Options
Comments due: March 26, 2007
See also: Order: Rel. No. 34-55872
|
SR-OCC-2006-08 |
34-55349 |
Feb. 26, 2007 |
Order Approving Proposed Rule Change to Revise Stock Futures Adjustment Methodology
See also: Notice: Rel. No. 34-54898
|
SR-OCC-2006-22 |
34-55307 |
Feb. 15, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance Futures Clearing Services by Providing an Alternative Method for Effecting Gross Position Adjustments and Certain Trade Management Services
Comments due: March 16, 2007
|
SR-OCC-2006-01 |
34-55258 |
Feb. 8, 2007 |
Order Approving Proposed Rule Change as Modified by Amendment No. 1 to Revise Option Adjustment Methodology
See also: Notices: Rel. Nos. 34-54748 and 34-53400
Comments received are available for this notice.
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SR-OCC-2006-17 |
34-55152 |
Jan. 23, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs
See also: Notice: Rel. No. 34-54784
|
SR-OCC-2006-16 |
34-55151 |
Jan. 23, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to the Definition of Fund Share
See also: Notice: Rel. No. 34-54786
|
SR-OCC-2006-20 |
34-55124 |
Jan. 18, 2007 |
Order Approving Proposed Rule Change to Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted to Call for Cash-Only Delivery
See also: Notice: Rel. No. 34-54793
|
SR-OCC-2006-21 |
34-55047 |
Jan. 5, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Membership Requirements
Comments due: February 2, 2007
See also: Order: Rel. No. 34-55686
|
File Number Lists for 2007 |
OCC
Release No. |
Date |
Details |
SR-OCC-2007-20 |
34-58158 |
Jul. 15, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to the System for Theoretical Analysis and Numerical Simulations
|
34-57270 |
Feb. 5, 2008 |
Notice of Filing of a Proposed Rule Change Relating to the System for Theoretical Analysis and Numerical Simulations
Comments due: March 4, 2008
|
SR-OCC-2007-19 |
34-57118 |
Jan. 9, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cross-Margining with ICE-Clear US, Inc.
Comments due: February 6, 2008
|
SR-OCC-2007-18 |
34-57163 |
Jan. 16, 2008 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedure
Comments due: February 14, 2008
|
SR-OCC-2007-17 |
34-57192 |
Jan. 24, 2008 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Clearing Fee Schedule
Comments due: February 20, 2008
|
SR-OCC-2007-16 |
34-59046 |
Dec. 3, 2008 |
Order Granting Approval of a Proposed Rule Change Relating to Late Exercises
|
34-57584 |
Mar. 31, 2008 |
Notice of Filing of a Proposed Rule Change Relating to Late Exercises
Comments due: April 28, 2008
|
SR-OCC-2007-15 |
34-56991 |
Dec. 19, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cleared Contracts Carried in a Proprietary Account
Comments due: January 17, 2008
|
SR-OCC-2007-14 |
34-56845 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Descriptions of OCC's Assignment Procedures
Comments due: December 21, 2007
|
SR-OCC-2007-13 |
34-56856 |
Nov. 28, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options
Comments due: December 27, 2007
|
SR-OCC-2007-12 |
34-56684 |
Oct. 22, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Options on Leveraged ETF Shares
Comments due: November 16, 2007
|
SR-OCC-2007-11 |
34-56846 |
Nov. 27, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Expanding Sub-Accounts
Comments due: December 24, 2007
|
SR-OCC-2007-10 |
34-56800 |
Nov. 16, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members For Theoretical Profit and Loss Values
Comments due: December 17, 2007
|
SR-OCC-2007-09 |
34-56386 |
Sep. 11, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fee Reduction
Comments due: October 9, 2007
|
SR-OCC-2007-08 |
34-56875 |
Nov. 30, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Binary Options
|
34-56471 |
Sep. 19, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Binary Options
Comments due: October 17, 2007
|
SR-OCC-2007-07 |
34-56931 |
Dec. 7, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Yield-Based Treasury Securities
Comments due: January 7, 2008
|
SR-OCC-2007-06 |
34-56288 |
Aug. 20, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Credit Default Basket Options
|
34-55939 |
Jun. 21, 2007 |
Notice of Filing of a Proposed Rule Change Relating to Credit Default Basket Options
Comments due: July 12, 2007
|
SR-OCC-2007-05 |
34-55709 |
Mar. 4, 2007 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Clearing Fee Schedule
Comments due: May 31, 2007
|
SR-OCC-2007-04 |
34-55565 |
Apr. 2, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Portfolio Margining of Customer Securities
Comments due: April 27, 2007
|
SR-OCC-2007-03 |
34-55681 |
Apr. 27, 2007 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment No. 5 of the Restated Participant Exchange Agreement
Comments due: May 24, 2007
|
SR-OCC-2007-02 |
34-55579 |
Apr. 4, 2007 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Rate-Modified Foreign Currency Options
Comments due: May 1, 2007
|
SR-OCC-2007-01 |
34-55872 |
Jun. 6, 2007 |
Order Granting Approval of a Proposed Rule Change Relating to Credit Default Options
|
34-55362 |
Feb. 27, 2007 |
Notice of Filing of Proposed Rule Change Relating to Credit Default Options
Comments due: March 26, 2007
|
ODD
Release No. |
Date |
Details |
SR-ODD-2007-03 |
34-55921 |
Jun. 18, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Credit Default Options
|
SR-ODD-2007-02 |
34-55702 |
May 3, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Options Adjustment Methodology and Fund Shares
|
SR-ODD-2007-01 |
34-55582 |
Apr. 4, 2007 |
Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Rate-Modified Cash-Settled Foreign Currency Options
|
http://www.sec.gov/rules/sro/occ/occarchive/occarchive2007.shtml
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