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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-98559 | Sep 27, 2023 | SR-OCC-2023-003 | The Options Clearing Corporation | 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 |
| 34-98505 | Sep 25, 2023 | SR-OCC-2023-007 | The Options Clearing Corporation | 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 |
| 34-98215 | Aug 24, 2023 | SR-OCC-2023-007 | The Options Clearing Corporation | 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 |
| 34-98107 | Aug 10, 2023 | SR-OCC-2023-005 | The Options Clearing Corporation | 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 Submit a Comment on SR-OCC-2023-005
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| 34-98101 | Aug 10, 2023 | SR-OCC-2022-012 | The Options Clearing Corporation | 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. |
| 34-98093 | Aug 9, 2023 | SR-OCC-2023-006 | The Options Clearing Corporation | 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 |
| 34-97832 | Jul 3, 2023 | SR-OCC-2023-003 | The Options Clearing Corporation | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations Comments Due: July 25, 2023 |
| 34-97785 | Jun 21, 2023 | SR-OCC-2023-005 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan Comments Due: July 18, 2023 View Received Comments |
| 34-97763 | Jun 20, 2023 | SR-OCC-2023-004 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation to amend and enhance the Options Clearing Corporation's Model Risk Management Policy |
| 34-97765 | Jun 20, 2023 | SR-OCC-2022-012 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Concerning The Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters |