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OCC Rulemaking Archive: 2003
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 web site.
Note: Only selected Self-Regulatory Organization rule proposals were posted to the SEC web site prior to 2004. To obtain copies of releases not appearing on the web site, please refer to How to Request Public Documents.
OCC File Number List for 2003
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
| Release No. |
Date |
Details |
| No proposals were posted to website. |
| OCC File Number List for 2003 |
| Release No. |
Date |
Details |
SR-OCC-2003-14 |
| 34-50392 |
Sep. 16, 2004 |
Order Approving a Proposed Rule Change Relating to Amending Impractical or Inconsistent Rules and Adding Rules to Protect the Clearing Corporation and its Members |
SR-OCC-2003-12 |
| 34-49477 |
Mar. 25, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Clearing Agreement
Comments due: April 22, 2004
|
SR-OCC-2003-13 |
| 34-53053 |
Jan. 5, 2006 |
Order Approving Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
|
| 34-52783 |
Nov. 16, 2005 |
Notice of Filing of Proposed Rule Change to Establish a Comprehensive Standard of Care and Limitation of Liability with Respect to Clearing Members
Comments due: December 14, 2005
|
SR朞CC�03� |
| 34-49841 |
Jun. 9, 2004 |
Order Approving A Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
|
| 34�378 |
Mar. 9, 2004 |
Notice of Filing of a Proposed Rule Change Relating To Clearing Member Trade Assignment Processing
Comments received are available for this notice.
|
SR-OCC-2003-09 |
| 34-50465 |
Sep. 29, 2004 |
Order Granting Approval of a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Relating to Minimum Net Capital Requirements for Appointed Clearing Members
Comments due: 21 days after publication in the Federal Register
|
| 34-49478 |
Mar. 25, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members
|
SR-OCC-2003-08 |
| 34-49420 |
Mar. 16, 2004 |
Order Approving Proposed Rule Change Related to Delivery Settlement of Exercised Stock Options and Matured Stock Futures
|
SR-OCC-2003-04 |
| 34-52030 |
Jul. 14, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to a New Customers� Lien Account
|
| 34-51330 |
Mar. 8, 2005 |
Notice of Filing of a Proposed Rule Change Relating to a New Customers� Lien Account
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http://www.sec.gov/rules/sro/occ/occarchive/occarchive2003.shtml
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