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OCC Advance Notice Rulemaking

We encourage the public to submit comments on the following The Depository Trust Company (DTC) 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
Third Quarter |  Second Quarter |  First Quarter

OCC Advance Notice File Number List for 2014

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

SR-OCC-2014-802
34-72550 Jul. 7, 2014 Notice of No Objection to Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: 21 days after publication in the Federal Register
Second Quarter

SR-OCC-2014-802
34-72268 May 28, 2014 Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: June 24, 2014

SR-OCC-2013-804
34-72125 May 8, 2014 Notice of Withdrawal of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities
See also: Notice: Rel. No. 34-69955
First Quarter

SR-OCC-2014-801
34-71549 Feb. 12, 2014 Notice of Filing of Advance Notice of and No Objection to an Amendment to The Options Clearing Corporation's Unsecured, Committed Credit Agreement
Comments due: March 12, 2014

SR-OCC-2013-807
34-71376 Jan. 23, 2014 Notice of No Objection to Advance Notice Filing Concerning the Governance Committee Charter
Comments due: 21 days after publication in the Federal Register
See also:  Notice: Rel. No. 34-71083

OCC Advance Notice File Number List for 2014
Release No. Date Details

SR-OCC-2014-802
34-72550 Jul. 7, 2014 Notice of No Objection to Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: 21 days after publication in the Federal Register
34-72268 May 28, 2014 Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
Comments due: June 24, 2014

SR-OCC-2014-801
34-71549 Feb. 12, 2014 Notice of Filing of Advance Notice of and No Objection to an Amendment to The Options Clearing Corporation's Unsecured, Committed Credit Agreement
Comments due: March 12, 2014

 

http://www.sec.gov/rules/sro/occ-an.shtml


Modified: 07/10/2014