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OCC Advance Notice Rulemaking: 2012
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.
Note: Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail:
publicinfo@sec.gov.
Chronological List
Fourth Quarter |
Third Quarter
OCC Advance Notice File Number List for 2012
Additional Archives
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012
| Release No. |
Date |
Details |
| Fourth Quarter |
AN-OCC-2012-04 |
|
34-68438 |
Dec. 14, 2012 |
Notice of No Objection to Advance Notice Filing to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
See also:
Order: Rel. No. 34-68445,
Notice: Rel. No. 34-68130,
Advance Notice: Rel. No. 34-68225
|
SR-OCC-2012-14 |
|
34-68434 |
Dec. 14, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: AN-OCC-2012-01
See also:
Notice: Rel. No. 34-68112,
Notice: Rel. No. 34-68111,
Notice: Rel. No. 34-67906,
Notice: Rel. No. 34-67835
|
AN-OCC-2012-01 |
|
34-68434 |
Dec. 14, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: SR-OCC-2012-14
See also:
Notice: Rel. No. 34-68112,
Notice: Rel. No. 34-68111,
Notice: Rel. No. 34-67906,
Notice: Rel. No. 34-67835
|
AN-OCC-2012-04 |
|
34-68225 |
Nov. 14, 2012 |
Notice of Filing of Advance Notice to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
Comments due: December 11, 2012
See also:
Order: Rel. No. 34-68445,
Notice: Rel. No. 34-68130,
Advance Notice: Rel. No. 34-68438
|
SR-OCC-2012-17 |
|
34-68147 |
Nov. 2, 2012 |
Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
See also:
Order: Rel. No. 34-68148,
Notice: Rel. No. 34-67921,
Notice: Rel. No. 34-67896
|
SR-OCC-2012-14 |
|
34-68111 |
Oct. 26, 2012 |
Notice of Extension of Review Period of Advance Notice to Establish the Legal and Operational Framework for Providing Central Clearing of OTC Index Options on the S&P 500 Index That are Negotiated Bilaterally in the Over-The-Counter Market and Submitted to OCC for Clearance
See also:
Order: Rel. No. 34-68434,
Notice: Rel. No. 34-68112,
Notice: Rel. No. 34-67906,
Notice: Rel. No. 34-67835
|
AN-OCC-2012-03 |
|
34-68002 |
Oct. 5, 2012 |
Notice of Filing of Advance Notice and Notice of No Objection to Replace The Options Clearing Corporation's Credit Facility
Comments due: November 2, 2012
|
SR-OCC-2012-17 |
|
34-67921 |
Sep. 25, 2012 |
Advance Notice Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
Comments due: October 22, 2012
See also:
Order: Rel. No. 34-68148,
Notice: Rel. No. 34-68147,
Notice: Rel. No. 34-67896
|
| Third Quarter |
SR-OCC-2012-14 |
|
34-67906 |
Sep. 21, 2012 |
Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options
Comments due: October 18, 2012
See also:
Order: Rel. No. 34-68434,
Notice: Rel. No. 34-68112,
Notice: Rel. No. 34-68111,
Notice: Rel. No. 34-67835
|
| OCC Advance Notice File Number List for 2012 |
| Release No. |
Date |
Details |
AN-OCC-2012-04 |
|
34-68438 |
Dec. 14, 2012 |
Notice of No Objection to Advance Notice Filing to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
See also:
Order: Rel. No. 34-68445,
Notice: Rel. No. 34-68130
|
|
34-68225 |
Nov. 14, 2012 |
Notice of Filing of Advance Notice to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities
Comments due: December 11, 2012
See also:
Order: Rel. No. 34-68445,
Notice: Rel. No. 34-68130
|
AN-OCC-2012-03 |
|
34-68002 |
Oct. 5, 2012 |
Notice of Filing of Advance Notice and Notice of No Objection to Replace The Options Clearing Corporation's Credit Facility
Comments due: November 2, 2012
|
AN-OCC-2012-01 |
|
34-68434 |
Dec. 14, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: SR-OCC-2012-14
See also:
Notice: Rel. No. 34-68112,
Notice: Rel. No. 34-68111,
Notice: Rel. No. 34-67906,
Notice: Rel. No. 34-67835
|
SR-OCC-2012-801 |
|
34-68935 |
Feb. 14, 2013 |
Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 thereto, to Enter into an Unsecured, Committed Credit Agreement |
|
34-68618 |
Jan. 10, 2013 |
Notice of Filing of Advance Notice, as Modified by Amendment No. 1 Thereto, in Connection with a Proposed Change to Enter into an Unsecured, Committed Credit Agreement
Comments due: February 6, 2013
|
SR-OCC-2012-17 |
|
34-68147 |
Nov. 2, 2012 |
Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 Thereto, Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis |
|
34-67921 |
Sep. 25, 2012 |
Advance Notice Relating to the Margining of Segregated Futures Customer Accounts on a Gross Basis
Comments due: October 22, 2012 |
SR-OCC-2012-14 |
|
34-68434 |
Dec. 14, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, and Notice of No Objection to Advance Notice, Modified by Amendment No. 1 Thereto, Relating to the Clearance and Settlement of Over-the-Counter Options
Additional File No.: AN-OCC-2012-01
|
|
34-68111 |
Oct. 26, 2012 |
Notice of Extension of Review Period of Advance Notice to Establish the Legal and Operational Framework for Providing Central Clearing of OTC Index Options on the S&P 500 Index That are Negotiated Bilaterally in the Over-The-Counter Market and Submitted to OCC for Clearance |
|
34-67906 |
Sep. 21, 2012 |
Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options
Comments due: October 18, 2012 |
http://www.sec.gov/rules/sro/occ-an/occ-an-archive/occ-an-archive2012.shtml
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