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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)
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(Click here for meetings with SEC officials)
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| Oct. 15, 2018 | Jeffrey B. Korn, Wilkie Farr & Gallagher LLP, on behalf of the Options Clearing Corporation |
| Oct. 9, 2018 | David H. Thompson, Cooper & Kirk, PLLC |
| Sep. 27, 2018 | David H. Thompson, Cooper & Kirk, PLLC, on behalf of Susquehanna International Group, LLP |
| Sep. 21, 2018 | Jeffrey B. Korn, Wilkie Farr & Gallagher LLP, on behalf of the Options Clearing Corporation |
| Sep. 4, 2018 | Jeffrey B. Korn, Willkie Farr & Gallagher LLP, on behalf of the Options Clearing Corporation |
| Aug. 29, 2018 | Jeffrey B. Korn, Willkie Farr & Gallagher LLP, on behalf of the Options Clearing Corporation |
| Aug. 24, 2018 | David H. Thompson, Cooper & Kirk, PLLC, on behalf of Susquehanna International Group, LLP |
| Aug. 23, 2018 | Jeffrey B. Korn, Willkie Farr & Gallagher LLP |
| Apr. 27, 2018 | Joseph Kamnik, Senior Vice President & Chief Regulatory Counsel, Options Clearing Corporation |
| Apr. 13, 2018 | David H. Thompson, Cooper & Kirk, PLLC |
| Apr. 10, 2018 | Ellen Greene, Managing Director, Financial Services Operations, SIFMA |
| Mar. 9, 2018 | David H. Thompson, Cooper & Kirk, PLLC, Counsel for Petitioners Susquehanna International Group, LLP, Miami International Securities Exchange, LLC, and BOX Options Exchange, Inc. |
| Jan. 10, 2018 | Petitioners' Reply to the Options Clearing Corporation's Reply to Petitioners' Submission on Remand |
| Dec. 20, 2017 | The Options Clearing Corporation's Reply to Petitioners' Submission on Remand and in Further Support of the Re-Approval of the Capital Plan |
| Nov. 30, 2017 | Petitioner's Submission on Remand from the U.S. Court of Appeals for the District of Columbia Circuit in Opposition to 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 |
| 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. |
Meetings with SEC Officials
(Click here for submitted comments from the public)
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| Oct. 10, 2018 | Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 27, 2018, meeting with representatives of the Options Clearing Corporation |
| Oct. 1, 2018 | Memorandum from the Office of Commissioner Kara Stein regarding a September 27, 2018, meeting with representatives of the Options Clearing Corporation |
| Sep. 28, 2018 | Memorandum from the Office of Commissioner Elad Roisman regarding a September 27, 2018, meeting with representatives of the Options Clearing Corporation |
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)
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(Click here for meetings with SEC officials)
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| 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
(Click here for submitted comments from the public)
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| 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
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