OCC Rulemaking Archive: 2009

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

File Number Lists for 2009
           OCC
           ODD

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Chronological List

Release No.	Date	Details
Fourth Quarter
SR-OCC-2009-20
34-61254	Dec. 29, 2009	Notice of Filing of Proposed Rule Change Relating to ETFS Physical Swiss Gold Shares and ETFS Physical Silver Shares Comments due:  January 29, 2010 See also:  Order: Rel. No. 34-61591
SR-OCC-2009-19
34-61170	Dec. 15, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Treasury Futures Traded by ELX Futures LP Comments due:  January 14, 2010
SR-ODD-2009-01
34-61150	Dec. 10, 2009	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Dividend Index Options Comments due:  January 8, 2010
SR-OCC-2009-18
34-61078	Nov. 30, 2009	Notice of Filing of Proposed Rule Change to Allow Members to Deposit Customer Fully Paid or Excess Margin Securities to the Extent Permitted by No-Action Relief or Interpretive Guidance from the Commission or Interpretive Guidance from a Self-Regulatory Organization Comments due:  December 28, 2009 See also:  Order: Rel. No. 34-61425
SR-OCC-2009-15
34-61006	Nov. 16, 2009	Order Approving Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral (Corrected) See also:  Notice: Rel. No. 34-60743
SR-OCC-2009-16
34-60881	Oct. 26, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to its Market Loan Program to Allow Dividend Equivalent Payments to be Principally Effected Through The Depository Trust Company's Facilities Comments due:  November 20, 2008
SR-OCC-2009-14
34-60872	Oct. 23, 2009	Order Approving Proposed Rule Change to Clear Options Based on Index-Linked Securities See also:  Notice: Rel. No. 34-60602
Third Quarter
SR-OCC-2009-15
34-60743	Sep. 29, 2009	Notice of Filing of Proposed Rule Change to Revise the Minimum Eligibility Criteria for Common Stock Loaned Through Stock Loan Programs and Deposited as Margin Collateral Comments due:  October 27, 2009 See also:  Order: Rel. No. 34-61006
SR-OCC-2009-14
34-60602	Sep. 1, 2009	Notice of Filing of Proposed Rule Change to Clear Options Based on Index-Linked Securities Comments due:  September 23, 2009 See also:  Order: Rel. No. 34-60872
SR-OCC-2009-13
34-60386	Jul. 24, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Treasury Futures Contracts Comments due:  August 21, 2009
SR-OCC-2009-12
34-60380	Jul. 23, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Cash-Settled Foreign Currency Index Options Comments due:  August 21, 2009
Second Quarter
SR-OCC-2009-11
34-60144	Jun. 19, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Ancillary Fee Changes Comments due:  July 20, 2009
SR-OCC-2009-10
34-60063	Jun. 8, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Cross-Margining Agreement Between OCC and CME Comments due:  July 8, 2009
SR-OCC-2009-09
34-59945	May 20, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cross-Margining of Security Futures on Exchange-Traded Funds Based on Broad-Based Stock Indices Comments due:  June 19, 2009
SR-OCC-2009-08
34-59845	Apr. 29, 2009	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Stock as Margin Comments due:  May 27, 2009
SR-OCC-2009-07
34-59764	Apr. 14, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Fee Schedule Comments due:  May 11, 2009
SR-OCC-2009-06
34-59763	Apr. 14, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Clearance and Settlement of Metals Futures and Options on Metals Futures Traded on NYSE Liffe Comments due:  May 11, 2009
SR-OCC-2009-05
34-59675	Apr. 1, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Flexibly Structured Options Comments due:  April 28, 2009
First Quarter
SR-OCC-2009-04
34-59664	Mar. 31, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Commodity Options Comments due:  April 28, 2009
SR-OCC-2009-03
34-59635	Mar. 26, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Schedule of Fees Comments due:  April 27, 2009
SR-OCC-2009-01
34-59442	Feb. 24, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amended Interpretative Guidance on the New Methodology for Adjusting Option Contracts for Cash Dividends and Distributions Comments due:  March 26, 2009
SR-OCC-2009-02
34-59385	Feb. 11, 2009	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify Exchange Directorships Under Its By-Laws Comments due:  March 12, 2009
SR-OCC-2008-20
34-59294	Jan. 23, 2009	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Establishing a Market Loan Program [Corrected Version] Comments due:  February 24, 2009
SR-OCC-2008-19
34-59293	Jan. 23, 2009	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 1506 Comments due:  February 20, 2009

File Number Lists for 2009

OCC

ODD

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2009.shtml