OCC Rulemaking Archive: 2005

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Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

File Number Lists for 2005
           OCC
           ODD

Additional Archives

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

Chronological List

Release No.	Date	Details
Fourth Quarter
SR-OCC-2005-20
34-52982	Dec. 19, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect the Renaming of the NASDAQ SmallCap Market to the NASDAQ Capital Market Comments due:  January 17, 2006
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  Click to submit comments on SR-OCC-2004-20
SR-OCC-2005-16
34-52869	Dec. 1, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gasoline Index Futures Comments due:  December 29, 2005
SR-OCC-2005-18
34-52868	Dec. 1, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Margin Deposits for a Customers’ Lien Account Comments due:  December 29, 2005
SR-OCC-2005-15
34-52830	Nov. 23, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rejection of Erroneous Post-Trade Instructions Comments due:  December 22, 2005
SR-OCC-2005-13
34-52790	Nov. 17, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Fees For Certain Transactions Executed on OneChicago, LLC Comments due:  December 20, 2005
SR-OCC-2005-14
34-52789	Nov. 17, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Position Sub-Accounts Comments due:  December 20, 2005
SR-OCC-2003-13
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 See also:  Order: Rel. No. 34-53053
Third Quarter
SR-OCC-2005-12
34-52473	Sep. 20, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for OCC’s Theoretical Profit/Loss File Comments due:  October 19, 2005
SR-OCC-2005-09
34-52125	Jul. 26, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to OCC’s Data Distribution Service Comments due:  August 23, 2005
SR-OCC-2005-10
34-52120	Jul. 25, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Certain Procedures with Respect to the OCCs Stock Loan/Borrow Program Comments due:  August 19, 2005
SR-OCC-2005-11
34-52110	Jul. 22, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Conform Year-End Financial Reporting Deadline Applicable to Clearing Members Primarily Regulated as Futures Commission Merchants with the Commodity Futures Trading Commission’s Regulations Comments due:  August 18, 2005
SR-OCC-2002-16
34-52035	Jul. 14, 2005	Order Granting Approval of a Proposed Rule Change Relating to Unsegregation of Long Option Positions See also:  Notice: Rel. No. 34-51331
SR-OCC-2005-08
34-52034	Jul. 14, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reducing Clearing Fees for Securities Option Contracts Comments due:  August 11, 2005
SR-OCC-2003-04
34-52030	Jul. 14, 2005	Order Granting Approval of a Proposed Rule Change Relating to a New Customers’ Lien Account See also:  Notice: Rel. No. 34-51330
SR-OCC-2005-06
34-52010	Jul. 12, 2005	Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend By-Laws and Rules to Accommodate Short-Term Options Proposed for Trading by the Chicago Board Options Exchange, Inc., the American Stock Exchange, LLC, the International Securities Exchange, Inc., and the Pacific Exchange, Inc. Comments due:  August 9, 2005
Second Quarter
SR-OCC-2005-07
34-51861	Jun. 16, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 to Update its By-Laws and Rules Pertaining to the Settlement of Exercised Cross-Rate Foreign Currency Options Comments due:  July 18, 2005
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 See also:  Notice: Rel. No. 34-51521
SR-OCC-2005-05
34-51586	Apr. 20, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Technical Changes that Add or Correct Cross-References in Article VIII, Section 5 of the By-Laws and in Rule 910 Comments due:  May 17, 2005
SR-OCC-2005-04
34-51584	Apr. 20, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Procedures with Respect to Deposits of Cash or Securities with an Escrow Bank for Short Positions in Stock Option or Index Option Contracts Comments due:  May 17, 2005
SR-OCC-2004-17
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 See also:  Order: Rel. No. 34-51826
First Quarter
SR-ODD-2005-01
34-51454	Mar. 30, 2005	Order Granting Approval of Proposed Supplement to the Options Disclosure Document Regarding Volatility Options
SR-OCC-2005-03
34-51445	Mar. 29, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish an Electronic Pledge System through Which Clearing Members May Deposit Securities with Banks Acting as Agents for OCC to Meet Margin and Clearing Fund Requirements Comments due:  April 26, 2005
SR-OCC-2005-02
34-51390	Mar. 17, 2005	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Establishment of a Money-Only Settlement Service Comments due:  April 18, 2005
SR-OCC-2004-19
34-51350	Mar. 9, 2005	Order Approving a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing See also:  Notice: Rel. No. 34-51120
SR-OCC-2002-16
34-51331	Mar. 8, 2005	Notice of Filing of a Proposed Rule Change Relating to Unsegregation of Long Option Positions See also:  Order: Rel. No. 34-52035
SR-OCC-2003-04
34-51330	Mar. 8, 2005	Notice of Filing of a Proposed Rule Change Relating to a New Customers’ Lien Account See also:  Order: Rel. No. 34-52030
SR-OCC-2005-01
34-51291	Mar. 2, 2005	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise its Cross-Margining Agreement with The Clearing Corporation Comments due:  March 29, 2005
SR-OCC-2004-19
34-51120	Feb. 1, 2005	Notice of Filing of a Proposed Rule Change Relating to Clearing Member Trade Assignment Processing See also:  Order: Rel. No. 34-51350
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

File Number Lists for 2005

OCC

ODD

http://www.sec.gov/rules/sro/occ/occarchive/occarchive2005.shtml