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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

OCC Advance Notice File Number List for 2012

Additional Archives


Chronological List
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, 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:  Order: Rel. No. 34-68434, 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

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:  Order: Rel. No. 34-68434, 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


Modified: 08/19/2014