The Options Clearing Corporation Rulemaking
We encourage the public to submit comments on the following 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.
Self-Regulatory Organization Rulemaking Table
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File Number
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SRO Organization
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Details
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|---|---|---|---|---|
| Release Number:34-99392 | SEC Issue Date:Jan 19, 2024 | File Number:SR-OCC-2024-002 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Rules, By-Laws, and Certain Clearing Member Documents Comments Due: February 15, 2024 See Also - Exhibit 5a-5f Submit a Comment on SR-OCC-2024-002
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| Release Number:34-99169 | SEC Issue Date:Dec 14, 2023 | File Number:SR-OCC-2023-008 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Collateral Risk Management Policy and Margin Policy. Comments Due: January 10, 2024 View Received Comments See Also - Exhibit 5a, Exhibit 5b |
| Release Number:34-98979 | SEC Issue Date:Nov 17, 2023 | File Number:SR-OCC-2023-003 | SRO Organization:The Options Clearing Corporation |
Details: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations |
| Release Number:34-98932 | SEC Issue Date:Nov 14, 2023 | File Number:SR-OCC-2023-007 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options Comments Due: December 11, 2023 Rebuttal Comments: December 26, 2023 |
| Release Number:34-98559 | SEC Issue Date:Sep 27, 2023 | File Number:SR-OCC-2023-003 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations |
| Release Number:34-98505 | SEC Issue Date:Sep 25, 2023 | File Number:SR-OCC-2023-007 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities C |
| Release Number:34-98215 | SEC Issue Date:Aug 24, 2023 | File Number:SR-OCC-2023-007 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation Comments Due: September 20, 2023 See Also - Exhibit 3a, Exhibit 5a |
| Release Number:34-98107 | SEC Issue Date:Aug 10, 2023 | File Number:SR-OCC-2023-005 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan Comments Due: September 6, 2023 |
| Release Number:34-98101 | SEC Issue Date:Aug 10, 2023 | File Number:SR-OCC-2022-012 | SRO Organization:The Options Clearing Corporation |
Details: Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit Comments Due: 21 days after date of publication in the Federal Register. |
| Release Number:34-98093 | SEC Issue Date:Aug 9, 2023 | File Number:SR-OCC-2023-006 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Capital Management Policy and Cash and Investment Management Policy Comments Due: September 5, 2023 See Also - Exhibit-5 |