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OCC Advance Notice Rulemaking: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-OCC-2013-807
34-71083 Dec. 16, 2013 Notice of Filing of Advance Notice Concerning the Governance Committee Charter
Comments due: January 10, 2014
See also: Notice: Rel. No. 34-71376

SR-OCC-2013-803
34-70709 Oct. 17, 2013 Notice of No Objection to Advance Notice Filing to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
See also:  Notice: Rel. No. 34-69925

SR-OCC-2013-806
34-70596 Oct. 2, 2013 Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement
Comments due: November 12, 2013
Third Quarter

SR-OCC-2013-805
34-70366 Sep. 10, 2013 Notice of Filing of an Advance Notice to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: October 7, 2013

SR-OCC-2013-804
34-69955 Jul. 10, 2013 Notice of Filing 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
Comments due: August 5, 2013
See also: Notice: Rel. No. 34-72125

SR-OCC-2013-803
34-69925 Jul. 3, 2013 Notice of Filing of Advance Notice to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 30, 2013
See also:  Notice: Rel. No. 34-70709
Second Quarter

SR-OCC-2013-802
34-69767 Jun. 14, 2013 Notice of No Objection to Advance Notice Filing to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: 21 days after publication in the Federal Register

SR-OCC-2013-802
34-69603 May 17, 2013 Notice of Filing of an Advance Notice to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: June 13, 2013
First Quarter

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
See also:  Notice: Rel. No. 34-68618

SR-OCC-2012-801
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
See also:  Notice: Rel. No. 34-68935

OCC Advance Notice File Number List for 2013
Release No. Date Details

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
34-71083 Dec. 16, 2013 Notice of Filing of Advance Notice Concerning the Governance Committee Charter
Comments due: January 10, 2014

SR-OCC-2013-806
34-70596 Oct. 2, 2013 Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement
Comments due: November 12, 2013

SR-OCC-2013-805
34-70366 Sep. 10, 2013 Notice of Filing of an Advance Notice to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: October 7, 2013

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
34-69955 Jul. 10, 2013 Notice of Filing 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
Comments due: August 5, 2013

SR-OCC-2013-803
34-70709 Oct. 17, 2013 Notice of No Objection to Advance Notice Filing to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
34-69925 Jul. 3, 2013 Notice of Filing of Advance Notice to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 30, 2013

SR-OCC-2013-802
34-69767 Jun. 14, 2013 Notice of No Objection to Advance Notice Filing to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: 21 days after publication in the Federal Register
34-69603 May 17, 2013 Notice of Filing of an Advance Notice to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: June 13, 2013

 

http://www.sec.gov/rules/sro/occ-an/occ-an-archive/occ-an-archive2013.shtml


Modified: 05/09/2014