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

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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: December 27, 2016 See also: Notice: Rel. No. 34-79172 Submit Comments on SR-OCC-2016-014
SR-OCC-2016-013
34-79212	Nov. 1, 2016	Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increase Volatility Comments due: November 28, 2016 Submit Comments on SR-OCC-2016-013
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 Submit Comments on SR-OCC-2016-014
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. Submit Comments on SR-OCC-2016-012
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 OCC’s Certificate of Incorporation Comments due: October 26, 2016 Additional Materials: Exhibit 5 Submit Comments on SR-OCC-2016-010
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: December 27, 2016 Submit Comments on 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 Submit Comments on SR-OCC-2016-014
SR-OCC-2016-013
34-79212	Nov. 1, 2016	Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increase Volatility Comments due: November 28, 2016 Submit Comments on SR-OCC-2016-013
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. Submit Comments on SR-OCC-2016-012
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 OCC’s Certificate of Incorporation Comments due: October 26, 2016 Additional Materials: Exhibit 5 Submit Comments on SR-OCC-2016-010
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