OCC Rulemaking Archive: 2006

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Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

File Number Lists for 2006
           OCC
           ODD

Additional Archives

2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002

Chronological List

Release No.	Date	Details
Fourth Quarter
SR-ODD-2006-01
34-55035	Dec. 29, 2006	Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting Certain Changes to Disclosure Regarding U.S. Dollar-Denominated Foreign Currency Options
SR-OCC-2006-10
34-54935	Dec. 13, 2006	Order Granting Accelerated Approval of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options See also:  Notice: Rel. No. 34-54721
SR-OCC-2006-08
34-54898	Dec. 8, 2006	Notice of Filing of Proposed Rule Change to Revise Stock Futures Adjustment Methodology Comments due:  December 29, 2006 See also:  Order: Rel. No. 34-55349
SR-OCC-2006-12
34-54880	Dec. 6, 2006	Order Approving a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks See also:  Notice: Rel. No. 34-54572
SR-OCC-2006-20
34-54793	Nov. 20, 2006	Notice of Filing of Proposed Rule Change to Accelerate the Expiration Date of American-Style Equity Options That Have Been Adjusted to Call for Cash-Only Delivery Comments due:  December 20, 2006 See also:  Order: Rel. No. 34-55124
SR-OCC-2006-16
34-54786	Nov. 20, 2006	Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share Comments due:  December 19, 2006 See also:  Order: Rel. No. 34-55151
SR-OCC-2006-18
34-54785	Nov. 20, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Cash-Settled Interest Rate Futures Comments due:  December 19, 2006
SR-OCC-2006-17
34-54784	Nov. 20, 2006	Notice of Filing of a Proposed Rule Change Relating to the Definition of Fund Share and Options on Commodity Pool ETFs Comments due:  December 19, 2006 See also:  Order: Rel. No. 34-55152
SR-OCC-2006-01
34-54748	Nov. 14, 2006	Notice of Amended Filing of Proposed Rule Change to Revise Option Adjustment Methodology Comments due:  December 12, 2006 See also:  Order: Rel. No. 34-55258 and Notice: Rel. No. 34-53400 Comments received are available for this notice.
SR-OCC-2006-10
34-54721	Nov. 8, 2006	Notice of Filing of a Proposed Rule Change Relating to Cash-Settled Foreign Currency Options Comments due:  December 8, 2006 See also:  Order: Rel. No. 34-54935
SR-OCC-2006-12
34-54572	Oct. 4, 2006	Notice of Filing of a Proposed Rule Change Relating to an Escrow Program Fee to Be Charged to Escrow Banks Comments due:  November 3, 2006 See also:  Order: Rel. No. 34-54880
Third Quarter
SR-OCC-2006-05
34-54514	Sep. 26, 2006	Order Granting Approval of a Proposed Rule Change Relating to Expiration Date Exercise Procedures See also:  Notice: Rel. No. 34-54306
SR-OCC-2006-14
34-54464	Sep. 18, 2006	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reduced Discounted Clearing Fees Comments due:  October 17, 2006
SR-OCC-2006-07
34-54448	Sep. 14, 2006	Order Approving Proposed Rule Change Relating to a Surcharge for Non-Clearing Member Subscribers That Have Not Met a Mandated Conversion Date for Its Data Distribution Service See also:  Notice: Rel. No. 34-54060
SR-OCC-2006-13
34-54409	Sep. 6, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Name Change of a Board Committee and of a Securities Market Comments due:  October 4, 2006
SR-OCC-2005-23
34-54382	Aug. 29, 2006	Order Granting Approval of a Proposed Rule Change Relating to the Use of Margin Deposit in the Event of a Clearing Member Liquidation See also:  Notice: Rel. No. 34-53794
SR-OCC-2006-05
34-54306	Aug. 11, 2006	Notice of Filing of a Proposed Rule Change Relating to Expiration Date Exercise Procedures Comments due:  September 8, 2006 See also:  Order: Rel. No. 34-54514
SR-OCC-2006-11
34-54305	Aug. 11, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quarterly Options Comments due:  September 8, 2006
Second Quarter
SR-OCC-2006-07
34-54060	Jun. 28, 2006	Notice of Filing of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service Comments due:  July 31, 2006 See also:  Order: Rel. No. 34-54448
SR-OCC-2006-06
34-54059	Jun. 28, 2006	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service Comments due:  July 31, 2006
SR-OCC-2006-04
34-53980	Jun. 14, 2006	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Back-up Communication Channel to Internet Access For Clearing Members Comments due:  July 14, 2006
SR-OCC-2006-03
34-53812	May 16, 2006	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Effect Certain Fee Changes to Ancillary Services Program Comments due:  June 13, 2006
SR-OCC-2005-23
34-53794	May 11, 2006	Notice of Filing of a Proposed Rule Change Relating to the Use of Margin Deposit in the Event of a Clearing Member Liquidation Comments due:  June 9, 2006 See also:  Order: Rel. No. 34-54382
First Quarter
SR-OCC-2006-02
34-53530	Mar. 21, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of Non-Customer Comments due:  April 24, 2006
SR-OCC-2005-22
34-53455	Mar. 8, 2006	Order Granting Approval of a Proposed Rule Change Relating to Allocations Processing See also:  Notice: Rel. No. 34-53150
SR-OCC-2005-19
34-53425	Mar. 6, 2006	Order Approving Proposed Rule Change Relating to Submission of Exercise Notices for American Option Contracts other Than at Expiration See also:  Notice: Rel. No. 34-53090
SR-OCC-2006-01
34-53400	Mar. 2, 2006	Notice of Filing of Proposed Rule Change to Revise Option Adjustment Methodology Comments due:  March 24, 2006 See also:  Order: Rel. No. 34-55258 and Notice: Rel. No. 34-54748 Comments received electronically are available for this notice.
SR-OCC-2004-20
34-53322	Feb. 15, 2006	Order Granting Approval of a Proposed Rule Change Relating to a New Risk Management Methodology See also:  Notice: Rel. No. 34-52975
SR-OCC-2005-25
34-53267	Feb. 9, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adjustment Panels Comments due:  March 10, 2006
SR-OCC-2005-21
34-53151	Jan. 19, 2006	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocations Processing Comments due:  February 21, 2006
SR-OCC-2005-22
34-53150	Jan. 19, 2006	Notice of Filing of a Proposed Rule Change Relating to Allocations Processing Comments due:  February 21, 2006 See also:  Order: Rel. No. 34-53455
SR-OCC-2005-19
34-53090	Jan. 10, 2006	Notice of Filing of Proposed Rule Change Relating to Submission of Exercise Notices for American Option Contracts other Than at Expiration Comments due:  February 8, 2006 See also:  Order: Rel. No. 34-53425
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 See also:  Notice: Rel. No. 34-52783

File Number Lists for 2006

OCC

ODD

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2006.shtml