OCC Rulemaking Archive 2017

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 2017

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-OCC-2017-007
34-82355 Dec. 19, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Margin Policy
Comments due: January 16, 2018
SR-OCC-2017-021
34-82352 Dec. 19, 2017 Notice of Filing of a Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: January 16, 2018
SR-OCC-2017-020
34-82351 Dec. 19, 2017 Notice of Filing of a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: January 16, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-OCC-2017-009
34-82312 Dec. 13, 2017 Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
See also: Notice: Rel. No. 34-81949
SR-OCC-2017-008
34-82311 Dec. 13, 2017 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
See also: Notice: Rel. No. 34-82009
SR-OCC-2017-010
34-82310 Dec. 13, 2017 Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Default Management Policy
See also: Notice: Rel. No. 34-81955
SR-OCC-2017-017
34-82309 Dec. 13, 2017 Order Approving Proposed Rule Change Concerning Liquidity for Same Day Settlement
See also: Notice: Rel. No. 34-81956
SR-OCC-2017-005
34-82232 Dec. 7, 2017 Order Approving Proposed Rule Change Related to a Comprehensive Risk Management Framework
See also: Notice: Rel. No. 34-81909
SR-OCC-2017-022
34-82161 Nov. 28, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
Comments due: December 26, 2017
Comments received are available for this proposal.
SR-OCC-2017-019
34-82156 Nov. 27, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund
Comments due: December 22, 2017
Comments received are available for this proposal.
SR-OCC-2017-008
34-82009 Nov. 3, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
Comments due: November 30, 2017
See also: Order: Rel. No. 34-82311
Comments received are available for this proposal.
SR-OCC-2017-017
34-81956 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement
Comments due: November 22, 2017
See also: Order: Rel. No. 34-82309
SR-OCC-2017-010
34-81955 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy
Comments due: November 22, 2017
See also: Order: Rel. No. 34-82310
SR-OCC-2017-009
34-81949 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
Comments due: November 22, 2017
See also: Order: Rel. No. 34-82312
SR-OCC-2017-005
34-81909 Oct. 19, 2017 Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework
Comments due: November 15, 2017
See also: Order: Rel. No. 34-82232
Third Quarter
SR-OCC-2017-013
34-81266 Jul. 31, 2017 Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-007
See also: Notice: Rel. No. 34-80942
Second Quarter
SR-OCC-2017-015
34-81008 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-OCC-2017-013
34-80941 Jun. 15, 2017 Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 11, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c Order: Rel. No. 34-81266
Comments received are available for this proposal.
SR-OCC-2017-012
34-80672 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Management Structure
Comments due: June 9, 2017
SR-OCC-2017-004
34-80555 Apr. 28, 2017 Order Approving Proposed Rule Change Concerning Enhancements to OCC’s Stock Loan Programs On February 28, 2017, The Options Clearing Corporation (“OCC”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change SR-OCC-2017-004 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 2(“Act”), and Rule 19b-4 thereunder. The proposed rule change was published for 3comment in the Federal Register on March 14, 2017. The Commission did not receive any comment letters on the proposed rule change. This order approves the proposed rule change
See also: Notice: Rel. No. 34-80171
SR-OCC-2017-002
34-80531 Apr. 26, 2017 Order Approving Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
See also: Notice: Rel. No. 34-80168
SR-OCC-2017-003
34-80372 Apr. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members to Participate in Default Management Testing
Comments due: May 1, 2017
First Quarter
SR-OCC-2017-004
34-80171 Mar. 8, 2017 Notice of Filing of Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 4, 2017
See also: Order: Rel. No. 34-80555
SR-OCC-2017-002
34-80168 Mar. 7, 2017 Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
Comments due: April 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
See also: Order: Rel. No. 34-80531
SR-OCC-2017-001
34-80147 Mar. 3, 2017 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility
See also: Notice: Rel. No. 34-79818
SR-OCC-2017-001
34-79818 Jan. 18, 2017 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 15, 2017
Comments received are available for this proposal.

OCC File Number List for 2017

Release No. Date Details
SR-OCC-2017-022
34-83326 May 24, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
34-82801 Mar. 2, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
Comments due: March 28, 2018
Rebuttal comments due: April 11, 2018
34-82534 Jan. 18, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
34-82161 Nov. 28, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
Comments due: December 26, 2017
Comments received are available for this proposal.
SR-OCC-2017-021
34-83732 Jul. 27, 2018 Notice of Filing of Partial Amendments No. 1and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: August 17, 2018
34-83485 Jun. 20, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: July 11, 2018
Rebuttal comments due: July 17, 2018
34-82927 Mar. 22, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Updates to and
Comments due: April 17, 2018
Rebuttal comments due: May 1, 2018
34-82586 Jan. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
34-82352 Dec. 19, 2017 Notice of Filing of a Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: January 16, 2018
SR-OCC-2017-020
34-83725 Jul. 27, 2018 Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: August 17, 2018
34-83484 Jun. 20, 2018 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: July 11, 2018
Rebuttal comments due: July 17, 2018
34-82926 Mar. 22, 2018 Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: April 17, 2018
Rebuttal comments due: May 1, 2018
34-82585 Jan. 25, 2018 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
34-82351 Dec. 19, 2017 Notice of Filing of a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: January 16, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
Comments received are available for this proposal.
SR-OCC-2017-019
34-82502 Jan. 12, 2018 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning The Options Clearing Corporation's Adoption of a New Minimum Cash Requirement for the Clearing Fund
34-82156 Nov. 27, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund
Comments due: December 22, 2017
Comments received are available for this proposal.
SR-OCC-2017-017
34-82309 Dec. 13, 2017 Order Approving Proposed Rule Change Concerning Liquidity for Same Day Settlement
34-81956 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement
Comments due: November 22, 2017
SR-OCC-2017-015
34-81008 Jun. 23, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle
Comments due: July 20, 2017
Additional Materials: Exhibit 5
SR-OCC-2017-013
34-81266 Jul. 31, 2017 Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-007
34-80941 Jun. 15, 2017 Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 11, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
Comments received are available for this proposal.
SR-OCC-2017-012
34-80672 May 15, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Management Structure
Comments due: June 9, 2017
SR-OCC-2017-011
34-82785 Feb. 27, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy
34-82473 Jan. 9, 2018 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy
Comments due: February 6, 2018
SR-OCC-2017-010
34-82310 Dec. 13, 2017 Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Default Management Policy
34-81955 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy
Comments due: November 22, 2017
SR-OCC-2017-009
34-82312 Dec. 13, 2017 Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
34-81949 Oct. 26, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy
Comments due: November 22, 2017
SR-OCC-2017-008
34-82311 Dec. 13, 2017 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
34-82009 Nov. 3, 2017 Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy
Comments due: November 30, 2017
Comments received are available for this proposal.
SR-OCC-2017-007
34-82658 Feb. 7, 2018 Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Policy
34-82355 Dec. 19, 2017 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Margin Policy
Comments due: January 16, 2018
SR-OCC-2017-005
34-82232 Dec. 7, 2017 Order Approving Proposed Rule Change Related to a Comprehensive Risk Management Framework
34-81909 Oct. 19, 2017 Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework
Comments due: November 15, 2017
SR-OCC-2017-004
34-80555 Apr. 28, 2017 Order Approving Proposed Rule Change Concerning Enhancements to OCC’s Stock Loan Programs On February 28, 2017, The Options Clearing Corporation (“OCC”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change SR-OCC-2017-004 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 2(“Act”), and Rule 19b-4 thereunder. The proposed rule change was published for 3comment in the Federal Register on March 14, 2017. The Commission did not receive any comment letters on the proposed rule change. This order approves the proposed rule change
34-80171 Mar. 8, 2017 Notice of Filing of Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 4, 2017
SR-OCC-2017-003
34-80372 Apr. 4, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members to Participate in Default Management Testing
Comments due: May 1, 2017
SR-OCC-2017-002
34-80531 Apr. 26, 2017 Order Approving Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
34-80168 Mar. 7, 2017 Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure
Comments due: April 3, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
SR-OCC-2017-001
34-80147 Mar. 3, 2017 Order Approving Proposed Rule Change Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility
34-79818 Jan. 18, 2017 Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 15, 2017
Comments received are available for this proposal.