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OCC Rulemaking Archive: 2004
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.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
File Number Lists for 2004
OCC
ODD
Additional Archives
2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002
Release No. |
Date |
Details |
Fourth Quarter |
SR-OCC-2004-22 |
34-50951 |
Dec. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: January 28, 2005
|
SR-OCC-2004-11 |
34-50895 |
Dec. 20, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Yield-Based Treasury Options
See also: Notice: Rel. No. 34-50466
|
SR-OCC-2004-18 |
34-50585 |
Oct. 25, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Adjustment Policies for Options and Stock Futures on Fund Shares
Comments due: November 19, 2004
|
SR-OCC-2004-13 |
34-50526 |
Oct. 13, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
See also: Notice: Rel. No. 34-50280
|
SR-OCC-2004-16 |
34-50518 |
Oct. 12, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Approved Depositories
Comments due: November 8, 2004
|
SR-OCC-2004-10 |
34-50509 |
Oct. 8, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish an Internal Cross-Margin Program
Comments due: November 5, 2004
|
Third Quarter |
SR-OCC-2004-11 |
34-50466 |
Sep. 29, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Yield-Based Treasury Options
See also: Order: Rel. No. 34-50895
|
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
See also: Notice: Rel. No. 34-49478
|
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-2004-13 |
34-50280 |
Aug. 27, 2004 |
Notice of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
See also: Order: Rel. No. 34-50526
|
SR-OCC-2004-04 |
34-50178 |
Aug. 10, 2004 |
Order Granting Approval of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
See also: Notice: Rel. No. 34-49929
|
SR-OCC-2004-14 |
34-50141 |
Aug. 4, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC抯 Rule 611, Segregation of Long Positions.
Comments due: August 31, 2004
|
SR-OCC-2004-09 |
34-50120 |
Jul. 29, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligible Securities for OCC抯 Stock/Loan Hedge Program
Comments due: August 26, 2004
|
SR-OCC-2004-12 |
34-50080 |
Jul. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: August 20, 2004
|
SR-OCC-2004-15 |
34-50069 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Erroneous Cross-Reference Resulting from an Approved Rule Change
Comments due: August 20, 2004
|
SR-OCC-2004-07 |
34-49987 |
Jul. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Settlements of Exercises and Assignments of Foreign Currency Options
Comments due: August 5, 2004
|
Second Quarter |
SR-OCC-2004-04 |
34-49929 |
Jun. 28, 2004 |
Notice of Filing of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
Comments due: July 23, 2004
See also: Order: Rel. No. 34-50178
|
SR-OCC-2004-08 |
34-49925 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Variance Futures and Options of Variance Futures
Comments due: July 23, 2004
|
SR朞CC�03� |
34-49841 |
Jun. 9, 2004 |
Order Approving A Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
See also: Notice: Rel. No. 34-49378
|
SR-OCC-2004-06 |
34-49834 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Index Option Expiration Date Exercise Procedures
Comments due: July 6, 2004
|
SR-OCC-2004-02 |
34-49582 |
Apr. 19, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Member Accounts
Comments due: May 21, 2004
|
SR-OCC-2004-05 |
34-49554 |
Apr. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Definition of "Premium" with Respect to Foreign Currency and Cross-Rate Currency Options
Comments due: May 7, 2004
|
SR-ODD-2004-02 |
34-49533 |
Apr. 7, 2004 |
Order Granting Approval of Proposed Amendment to the Front Inside Cover Page of the Options Disclosure Document
|
First Quarter |
SR-OCC-2003-09 |
34-49478 |
Mar. 25, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Minimum Net Capital Requirements for Appointed Clearing Members
See also: Order : Rel. No. 34-50465
|
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-2004-03 |
34-49470 |
Mar. 25, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules to Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule
Comments due: April 21, 2004
|
SR-OCC-2004-01 |
34-49436 |
Mar. 17, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: April 14, 2004
|
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朞CC�03� |
34�378 |
Mar. 9, 2004 |
Notice of Filing of a Proposed Rule Change Relating To Clearing Member Trade Assignment Processing
See also: Order: Rel. No. 34-49841
Comments received are available for this notice.
|
File Number Lists for 2004 |
OCC
Release No. |
Date |
Details |
SR-OCC-2004-23 |
34-50992 |
Jan. 7, 2005 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Conforming Change in Rule 1106(a)(3)
Comments due: February 3, 2005
|
SR-OCC-2004-22 |
34-50951 |
Dec. 30, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: January 28, 2005
| SR-OCC-2004-20 |
34-53322 |
Feb. 15, 2006 |
Order Granting Approval of a Proposed Rule Change Relating to a New Risk Management Methodology
|
SR-OCC-2004-20 |
34-52975 |
Dec. 19, 2005 |
Notice of Filing of a Proposed Rule Change Relating to a New Risk Management Methodology
Comments due: January 17, 2006
|
SR-OCC-2004-19 |
34-51350 |
Mar. 9, 2005 |
Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
|
34-51120 |
Feb. 1, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing
|
SR-OCC-2004-18 |
34-50585 |
Oct. 25, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC's Adjustment Policies for Options and Stock Futures on Fund Shares
Comments due: November 19, 2004
|
SR-OCC-2004-17 |
34-51826 |
Jun. 13, 2005 |
Order Granting Approval of a Proposed Rule Change Relating to Calculating Net Capital under OCC Rule 307
|
34-51521 |
Apr. 11, 2005 |
Notice of Filing of a Proposed Rule Change Relating to Calculating Net Capital under OCC Rule 307
Comments due: May 9, 2005
|
SR-OCC-2004-16 |
34-50518 |
Oct. 12, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Approved Depositories
Comments due: November 8, 2004
|
SR-OCC-2004-15 |
34-50069 |
Jul. 23, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct an Erroneous Cross-Reference Resulting from an Approved Rule Change
Comments due: August 20, 2004
|
SR-OCC-2004-14 |
34-50141 |
Aug. 4, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC抯 Rule 611, Segregation of Long Positions.
Comments due: August 31, 2004
|
SR-OCC-2004-13 |
34-50526 |
Oct. 13, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
|
34-50280 |
Aug. 27, 2004 |
Notice of a Proposed Rule Change Relating to Borrowing Against the Clearing Fund
Comments due: September 28, 2004
|
SR-OCC-2004-12 |
34-50080 |
Jul. 26, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: August 20, 2004
|
SR-OCC-2004-11 |
34-50895 |
Dec. 20, 2004 |
Order Granting Approval of a Proposed Rule Change Relating to Yield-Based Treasury Options
|
34-50466 |
Sep. 29, 2004 |
Notice of Filing of a Proposed Rule Change Relating to Yield-Based Treasury Options
Comments due: October 26, 2004
|
SR-OCC-2004-10 |
34-50509 |
Oct. 8, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Establish an Internal Cross-Margin Program
Comments due: November 5, 2004
|
SR-OCC-2004-09 |
34-50120 |
Jul. 29, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Eligible Securities for OCC抯 Stock/Loan Hedge Program
Comments due: August 26, 2004
|
SR-OCC-2004-08 |
34-49925 |
Jun. 28, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Clearance and Settlement of Variance Futures and Options of Variance Futures
Comments due: July 23, 2004
|
SR-OCC-2004-07 |
34-49987 |
Jul. 8, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Settlements of Exercises and Assignments of Foreign Currency Options
Comments due: August 5, 2004
|
SR-OCC-2004-06 |
34-49834 |
Jun. 8, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Index Option Expiration Date Exercise Procedures
Comments due: July 6, 2004
|
SR-OCC-2004-05 |
34-49554 |
Apr. 12, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Definition of "Premium" with Respect to Foreign Currency and Cross-Rate Currency Options
Comments due: May 7, 2004
|
SR-OCC-2004-04 |
34-50178 |
Aug. 10, 2004 |
Order Granting Approval of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration |
34-49929 |
Jun. 28, 2004 |
Notice of Filing of a Proposed Rule Change to Reduce the Thresholds Applied to Equity Options for Purposes of Exercise by Exception Processing on Expiration
Comments due: July 23, 2004 |
SR-OCC-2004-03 |
34-49470 |
Mar. 25, 2004 |
Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Amending OCC's Rules to Provide for Use of a Give-Up Service Provider and Revising OCC's Fee Schedule
Comments due: April 21, 2004
|
SR-OCC-2004-02 |
34-49582 |
Apr. 19, 2004 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Member Accounts
Comments due: May 21, 2004
|
SR-OCC-2004-01 |
34-49436 |
Mar. 17, 2004 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Clearing Fees for Securities Option Contracts
Comments due: April 14, 2004
|
ODD
Release No. |
Date |
Details |
SR-ODD-2004-02 |
34-49533 |
Apr. 7, 2004 |
Order Granting Approval of Proposed Amendment to the Front Inside Cover Page of the Options Disclosure Document
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http://www.sec.gov/rules/sro/occ/occarchive/occarchive2004.shtml
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