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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
Second Quarter | First Quarter
File Number Lists for 2009
 OCC
Additional Archives
2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
| Release No. |
Date |
Details |
| 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: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2009-11
|
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
Submit comments on SR-OCC-2009-10
|
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
Submit comments on SR-OCC-2009-09
|
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
Submit comments on SR-OCC-2009-08
|
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
| Release No. |
Date |
Details |
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: 21 days after publication in the Federal Register
Submit comments on SR-OCC-2009-11
|
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
Submit comments on SR-OCC-2009-10
|
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
Submit comments on SR-OCC-2009-09
|
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
Submit comments on SR-OCC-2009-08
|
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
|
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-2009-02 |
| 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-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
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http://www.sec.gov/rules/sro/occ.shtml
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