The Options Clearing Corporation (OCC-AN) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-83561 | Jun 29, 2018 | SR-OCC-2018-803 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology See Also - Exhibit 5a, Exhibit 5b |
| 34-83529 | Jun 27, 2018 | SR-OCC-2018-802 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement |
| 34-83305 | May 23, 2018 | SR-OCC-2017-811 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology View Received Comments |
| 34-82935 | Mar 22, 2018 | SR-OCC-2017-811 | The Options Clearing Corporation (OCC-AN) | Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology View Received Comments |
| 34-82514 | Jan 17, 2018 | SR-OCC-2017-810 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan View Received Comments See Also - Exhibit 5 |
| 34-82513 | Jan 17, 2018 | SR-OCC-2017-809 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios View Received Comments See Also - Exhibit 5a |
| 34-82501 | Jan 12, 2018 | SR-OCC-2017-808 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c |
| 34-82371 | Dec 20, 2017 | SR-OCC-2017-811 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology View Received Comments |
| 34-82296 | Dec 12, 2017 | SR-OCC-2017-806 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning Liquidity for Same-Day Settlement See Also - Rel. No. 34-82056 |
| 34-82247 | Dec 8, 2017 | SR-OCC-2017-808 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c |