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 2012
           OCC
           ODD

Additional Archives

2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002

Chronological List

Release No.	Date	Details
Fourth Quarter
SR-OCC-2012-18
34-68025	Oct. 10, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Per Contract Clearing Fee for Routing Trades Executed in Accordance with the Options Order Protection and Locked/Crossed Market Plan to $.01 Per Contract Comments due:  21 days after publication in the Federal Register  Submit comments on SR-OCC-2012-18
AN-OCC-2012-03
34-68002	Oct. 5, 2012	Notice of Filing of Advance Notice and Notice of No Objection to Replace The Options Clearing Corporation’s Credit Facility Comments due:  21 days after publication in the Federal Register  Submit comments on AN-OCC-2012-03
Third Quarter
SR-OCC-2012-17
34-67921	Sep. 25, 2012	Advance Notice Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments due:  October 22, 2012 See also:  Notice: Rel. No. 34-67896  Submit comments on SR-OCC-2012-17
SR-OCC-2012-16
34-67917	Sep. 24, 2012	Notice of Filing of Proposed Rule Change to Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares Comments due:  October 19, 2012  Submit comments on SR-OCC-2012-16
SR-OCC-2012-14
34-67906	Sep. 21, 2012	Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options Comments due:  October 18, 2012 See also:  Notice: Rel. No. 34-67835  Submit comments on SR-OCC-2012-14
SR-OCC-2012-17
34-67896	Sep. 20, 2012	Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments due:  October 17, 2012 See also:  Notice: Rel. No. 34-67921  Submit comments on SR-OCC-2012-17
SR-OCC-2012-15
34-67851	Sep. 13, 2012	Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members Comments due:  October 10, 2012  Submit comments on SR-OCC-2012-15
SR-OCC-2012-14
34-67835	Sep. 12, 2012	Notice of Filing of Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options Comments due:  October 9, 2012 See also:  Notice: Rel. No. 34-67906  Submit comments on SR-OCC-2012-14
SR-OCC-2012-13
34-67826	Sep. 11, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10 Comments due:  October 9, 2012  Submit comments on SR-OCC-2012-13
SR-OCC-2012-12
34-67782	Sep. 5, 2012	Order Approving Proposed Rule Change to Amend OCC's By-Laws to Allow the Corporation to Approve OCC's Form of Clearing Member Application and Form of Clearing Agreement See also:  Notice: Rel. No. 34-67506
SR-OCC-2012-11
34-67733	Aug. 27, 2012	Order Approving Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104 See also:  Notice: Rel. No. 34-67443
SR-OCC-2012-10
34-67706	Aug. 22, 2012	Order Approving Proposed Rule Change to Amend OCC's By-Laws and Rules to Terminate OCC's Pledge Program See also:  Notice: Rel. No. 34-67392
SR-OCC-2012-12
34-67506	Jul. 26, 2012	Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws to Allow the Corporation to Approve OCC’s Form of Clearing Member Application and Form of Clearing Agreement Comments due:  August 22, 2012 See also:  Order: Rel. No. 34-67782
SR-OCC-2012-08
34-67459	Jul. 18, 2012	Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures See also:  Notice: Rel. No. 34-67095
SR-OCC-2012-11
34-67443	Jul. 16, 2012	Notice of Filing of Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104 Comments due:  August 10, 2012 See also:  Order: Rel. No. 34-67733
SR-OCC-2012-10
34-67392	Ju1. 10, 2012	Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws and Rules to Terminate OCC’s Pledge Program Comments due:  August 6, 2012 See also:  Order: Rel. No. 34-67706
SR-OCC-2012-09
34-67391	Ju1. 10, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC’s Schedule of Fees to Eliminate Fees for Certain Educational Brochures Comments due:  August 6, 2012
SR-OCC-2012-07
34-67333	Jul. 2, 2012	Order Approving Proposed Rule Change Relating to Adjustment Panel Voting See also:  Notice: Rel. No. 34-67021
Second Quarter
SR-OCC-2012-08
34-67095	Jun. 1, 2012	Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures Comments due:  June 28, 2012 See also:  Order: Rel. No. 34-67459
SR-OCC-2012-07
34-67021	May 18, 2012	Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting Comments due:  June 14, 2012 See also:  Order: Rel. No. 34-67333
SR-OCC-2012-03
34-67018	May 18, 2012	Order Approving Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications" See also:  Notice: Rel. No. 34-66676
SR-OCC-2012-04
34-67013	May 18, 2012	Order Approving Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules See also:  Notice: Rel. No. 34-66715
SR-OCC-2012-06
34-66841	Apr. 20, 2012	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules Comments due:  May 17, 2012
SR-OCC-2012-05
34-66742	Apr. 5, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments Comments due:  May 2, 2012
SR-OCC-2012-04
34-66715	Apr. 2, 2012	Notice of Filing of Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules Comments due:  April 27, 2012 See also:  Order: Rel. No. 34-67013
First Quarter
SR-OCC-2012-03
34-66676	Mar. 29, 2012	Notice of Filing of Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications" Comments due:  April 25, 2012 See also:  Order: Rel. No. 34-67018
SR-OCC-2012-01
34-66560	Mar. 9, 2012	Order Approving Proposed Rule Change Relating to Public Directors See also:  Notice: Release No. 34-66266
SR-OCC-2012-02
34-66340	Feb. 7, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit OCC to Clear and Settle Spot Gold Futures, Which Are Proposed to be Traded by NASDAQ OMX Futures Exchange, Inc. Comments due:  March 5, 2012
SR-OCC-2012-01
34-66266	Jan. 27, 2012	Notice of Filing of Proposed Rule Change Relating to Public Directors Comments due:  February 23, 2012 See also:  Order: Release No. 34-66560
SR-ODD-2012-01
34-66193	Jan. 19, 2012	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding Relative Performance Options
SR-OCC-2011-19
34-66090	Jan. 3, 2012	Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options Comments due:  January 30, 2012 Comments received are available for this proposal.  Submit comments on SR-OCC-2011-19
SR-OCC-2011-18
34-66081	Jan. 3, 2012	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to DCO 60 Day Regulations Comments due:  January 30, 2012

OCC File Number List for 2012

OCC

Release No.	Date	Details
SR-OCC-2012-18
34-68025	Oct. 10, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reduce the Per Contract Clearing Fee for Routing Trades Executed in Accordance with the Options Order Protection and Locked/Crossed Market Plan to $.01 Per Contract Comments due:  21 days after publication in the Federal Register  Submit comments on SR-OCC-2012-18
AN-OCC-2012-03
34-68002	Oct. 5, 2012	Notice of Filing of Advance Notice and Notice of No Objection to Replace The Options Clearing Corporation’s Credit Facility Comments due:  21 days after publication in the Federal Register  Submit comments on AN-OCC-2012-03
SR-OCC-2012-17
34-67921	Sep. 25, 2012	Advance Notice Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments due:  October 22, 2012  Submit comments on SR-OCC-2012-17
34-67896	Sep. 20, 2012	Notice of Filing of Proposed Rule Change Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis Comments due:  October 17, 2012  Submit comments on SR-OCC-2012-17
SR-OCC-2012-16
34-67917	Sep. 24, 2012	Notice of Filing of Proposed Rule Change to Accommodate Recently Proposed Equity Options That Have a Unit of Trading of 10 Shares Comments due:  October 19, 2012  Submit comments on SR-OCC-2012-16
SR-OCC-2012-15
34-67851	Sep. 13, 2012	Notice of Filing of Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members Comments due:  October 10, 2012  Submit comments on SR-OCC-2012-15
SR-OCC-2012-14
34-67906	Sep. 21, 2012	Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options Comments due:  October 18, 2012  Submit comments on SR-OCC-2012-14
34-67835	Sep. 12, 2012	Notice of Filing of Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options Comments due:  October 9, 2012  Submit comments on SR-OCC-2012-14
SR-OCC-2012-13
34-67826	Sep. 11, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Administrative Oversight in SR-OCC-2012-10 Comments due:  October 9, 2012  Submit comments on SR-OCC-2012-13
SR-OCC-2012-12
34-67782	Sep. 5, 2012	Order Approving Proposed Rule Change to Amend OCC's By-Laws to Allow the Corporation to Approve OCC's Form of Clearing Member Application and Form of Clearing Agreement
34-67506	Jul. 26, 2012	Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws to Allow the Corporation to Approve OCC’s Form of Clearing Member Application and Form of Clearing Agreement Comments due:  August 22, 2012
SR-OCC-2012-11
34-67733	Aug. 27, 2012	Order Approving Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104
34-67443	Jul. 16, 2012	Notice of Filing of Proposed Rule Change Relating to the Auction Process under Options Clearing Corporation Rule 1104 Comments due:  August 10, 2012
SR-OCC-2012-10
34-67706	Aug. 22, 2012	Order Approving Proposed Rule Change to Amend OCC's By-Laws and Rules to Terminate OCC's Pledge Program
34-67392	Ju1. 10, 2012	Notice of Filing of Proposed Rule Change to Amend OCC’s By-Laws and Rules to Terminate OCC’s Pledge Program Comments due:  August 6, 2012
SR-OCC-2012-09
34-67391	Ju1. 10, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend OCC’s Schedule of Fees to Eliminate Fees for Certain Educational Brochures Comments due:  August 6, 2012
SR-OCC-2012-08
34-67459	Jul. 18, 2012	Order Approving Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures
34-67095	Jun. 1, 2012	Notice of Filing of Proposed Rule Change Relating to Amendments to Certain Rules Applicable to Stock Futures Comments due:  June 28, 2012
SR-OCC-2012-07
34-67333	Jul. 2, 2012	Order Approving Proposed Rule Change Relating to Adjustment Panel Voting
34-67021	May 18, 2012	Notice of Filing and of Proposed Rule Change Relating to Adjustment Panel Voting Comments due:  June 14, 2012
SR-OCC-2012-06
34-66841	Apr. 20, 2012	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Revised DCO Rules Comments due:  May 17, 2012
SR-OCC-2012-05
34-66742	Apr. 5, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Relating to Rescinding a Policy Interpretation Affecting Certain Adjustments Comments due:  May 2, 2012
SR-OCC-2012-04
34-67013	May 18, 2012	Order Approving Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules
34-66715	Apr. 2, 2012	Notice of Filing of Proposed Rule Change Relating to Stock Loan Buy-In and Sell-Out Rules Comments due:  April 27, 2012
SR-OCC-2012-03
34-67018	May 18, 2012	Order Approving Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications"
34-66676	Mar. 29, 2012	Notice of Filing of Proposed Rule Change to More Closely Align OCC's By-Laws and Rules with Regulatory Requirements Related to "Statutory Disqualifications" Comments due:  April 25, 2012
SR-OCC-2012-02
34-66340	Feb. 7, 2012	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit OCC to Clear and Settle Spot Gold Futures, Which Are Proposed to be Traded by NASDAQ OMX Futures Exchange, Inc. Comments due:  March 5, 2012
SR-OCC-2012-01
34-66560	Mar. 9, 2012	Order Approving Proposed Rule Change Relating to Public Directors
34-66266	Jan. 27, 2012	Notice of Filing of Proposed Rule Change Relating to Public Directors Comments due:  February 23, 2012

ODD

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