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Comments on OCC Rulemaking

Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options

(Release No. 34-66090; File No. SR-OCC-2011-19)


Submitted Comments

Mar. 2, 2012 James E. Brown, Executive Vice President and General Counsel, Options Clearing Corporation
Jan. 31, 2012 Gary L. Goldsholle, Vice President and Associate General Counsel, Regulatory Group, Financial Industry Regulatory Authority, Inc.
Jan. 30, 2012 Alessandro Cocco, Managing Director, J.P. Morgan
Jan. 30, 2012 Miller Blew, President, Safe Haven Advisors, LLC, Weston, Massachusetts

Meetings with SEC Officials

Feb. 22, 2012 Memorandum from the Division of Trading and Markets regarding a February 22, 2012, meeting with representatives of FINRA
Feb. 7, 2012 Memorandum from the Division of Trading and Markets regarding a February 7, 2012, meeting with representatives of FINRA
Feb. 1, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with representatives of FINRA
Feb. 1, 2012 Memorandum from the Division of Trading and Markets regarding a February 1, 2012, meeting with a representative of J.P. Morgan

 

http://www.sec.gov/comments/sr-occ-2011-19/occ201119.shtml

Modified: 10/16/2014