Comments on OCC Advance Notice Rulemaking

Notice of Filing of an Advance Notice, as Modified by Amendment No. 1, Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility

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Date Received
Date Letter Type Commenter Name
Public Comment Ellen Greene, Managing Director, Financial Services Operations, SIFMA
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of Intercontinental Exchange (ICE)
Public Comment James Brown, Executive Vice President and General Counsel, The Options Clearing Corporation
Meeting with SEC Officials Memorandum from the Office of the Chair regarding a February 23, 2015, meeting with representatives of The Options Clearing Corporation
Public Comment Ellen Greene, Managing Director, Financial Services Operations, SIFMA
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 13, 2015, meeting with representatives of The Options Clearing Corporation (OCC)
Meeting with SEC Officials Memorandum from the Office of Commissioner Luis A. Aguilar regarding a January 6, 2015, meeting with representatives of The Options Clearing Corporation (OCC)

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-OCC-2014-813
Release Number
34-74202
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