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Comments on OCC Rulemaking

Corrected Order Scheduling Filing of Statements on Review

(Release No. 34-81629; File No. SR-OCC-2015-02)


Nov. 8, 2017 SIG Motion for Extension of Time
Oct. 13, 2017 Joseph Kamnik, Senior Vice President and General Counsel, The Options Clearing Corporation
Note: The Commission has received this submission from the Options Clearing Corporation in connection with the Corrected Order Scheduling Filing of Statements on Review. The submission contains a reference to an Appendix, which is the subject of a Request for Confidential Treatment by OCC. That Request for Confidential Treatment is currently under consideration.

 

Notice of Filing of a Proposed Rule Change 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

(Release No. 34-74136; File No. SR-OCC-2015-02)


Submitted Comments

Mar. 4, 2015 Brian Sopinsky, General Counsel, Susquehanna International Group, LLP, Bala Cynwyd, Pennsylvania
Mar. 3, 2015 Eric Swanson, General Counsel and Secretary, BATS Global Markets, Inc., Lenexa, Kansas
Mar. 3, 2015 Tony McCormick, Chief Executive Officer, BOX Options Exchange
Mar. 2, 2015 James Brown, Executive Vice President and General Counsel, The Options Clearing Corporation
Mar. 1, 2015 Barbara J. Comly, Esq., Executive Vice President, General Counsel & Corporate Secretary, Miami International Securities Exchange, LLC
Feb. 27, 2015 Eric Swanson, BATS Global Markets, Inc., Lenexa, Kansas
Feb. 27, 2015 John McCarthy, General Counsel, KCG Holdings, Inc.
Feb. 27, 2015 Richard J. McDonald, Chief Regulatory Counsel, Susquehanna International Group, LLP
Feb. 26, 2015 John McCarthy, General Counsel, KCG Holdings, Inc.
Feb. 24, 2015 James Brown, Executive Vice President and General Counsel, The Options Clearing Corporation
Feb. 24, 2015 Barbara J. Comly, Esq., Executive Vice President, General Counsel & Corporate Secretary, Miami International Securities Exchange, LLC
Feb. 23, 2015 James Brown, Executive Vice President and General Counsel, The Options Clearing Corporation
Feb. 20, 2015 Ellen Greene, Managing Director, Financial Services Operations, SIFMA
Feb. 20, 2015 Howard L. Kramer, Willkie Farr & Gallagher LLP, on behalf of Belvedere Trading, et al.
Feb. 19, 2015 Tony McCormick, Chief Executive Officer, BOX Options Exchange
Feb. 19, 2015 Eric Swanson, General Counsel and Secretary, BATS Global Markets, Lenexa, Kansas

Meetings with SEC Officials

Mar. 2, 2015 Memorandum from the Office of the Chair regarding a February 25, 2015, meeting with representatives of Intercontinental Exchange (ICE)
Feb. 24, 2015 Memorandum from the Office of the Chair regarding a February 23, 2015, meeting with representatives of The Options Clearing Corporation

 

http://www.sec.gov/comments/sr-occ-2015-02/occ201502.shtml

Modified: 11/09/2017