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 |
|---|---|---|---|---|
| 34-78893 | Sep 21, 2016 | SR-OCC-2016-803 | 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 |
| 34-78834 | Sep 14, 2016 | SR-OCC-2016-802 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program See Also - Exhibit 5a, Exhibit 5b |
| 34-78718 | Aug 30, 2016 | SR-OCC-2016-801 | The Options Clearing Corporation (OCC-AN) | Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy View Received Comments See Also - Rel. No. 34-77628 |
| 34-77628 | Apr 15, 2016 | SR-OCC-2016-801 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy View Received Comments See Also - Exhibit 3A, Exhibit 5A, Exhibit 5B, Request for Additional Information, Rel. No. 34-78718 |
| 34-76821 | Jan 4, 2016 | SR-OCC-2015-805 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility See Also - Rel. No. 34-76641 |
| 34-76641 | Dec 14, 2015 | SR-OCC-2015-805 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility See Also - Rel. No. 34-76821 |
| 34-76548 | Dec 3, 2015 | SR-OCC-2015-804 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility See Also - Rel. No. 34-76421 |
| 34-76421 | Nov 10, 2015 | SR-OCC-2015-804 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility See Also - Rel. No. 34-76548 |
| 34-76062 | Oct 1, 2015 | SR-OCC-2015-803 | 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 a New Credit Facility Agreement |
| 34-75290 | Jun 24, 2015 | SR-OCC-2014-810 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to an Advance Notice Concerning Modifications to Backtesting Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure See Also - Rel. No. 34-73749 |