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 |
|---|---|---|---|---|
| 34-74981 | May 15, 2015 | SR-OCC-2014-811 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1 and Amendment No. 2, to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources See Also - Rel. No. 34-74713, Rel. No. 34-74091 |
| 34-74713 | Apr 10, 2015 | SR-OCC-2014-811 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Amendment No. 2 to an Advance Notice Concerning the Monthly Resizing of the Clearing Fund and the Addition of Financial Resources See Also - Rel. No. 34-74981, Rel. No. 34-74091, Request for Additional Information |
| 34-74387 | Feb 26, 2015 | SR-OCC-2014-813 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing, 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 View Received Comments See Also - Rel. No. 34-74202 |
| 34-74241 | Feb 10, 2015 | SR-OCC-2014-812 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning Extended and Overnight Trading Sessions See Also - Rel. No. 34-74073 |
| 34-74202 | Feb 4, 2015 | SR-OCC-2014-813 | The Options Clearing Corporation (OCC-AN) | 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 View Received Comments See Also - Rel. No. 34-74387 |
| 34-74091 | Jan 20, 2015 | SR-OCC-2014-811 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice, and Amendment No. 1 Thereto, to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources See Also - Rel. No. 34-74981, Request for Additional Information |
| 34-74073 | Jan 15, 2015 | SR-OCC-2014-812 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Extended and Overnight Trading Sessions See Also - Rel. No. 34-74241 |
| 34-73979 | Jan 2, 2015 | SR-OCC-2014-809 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program as Part of OCC's Overall Liquidity Plan See Also - Rel. No. 34-73726 |
| 34-73749 | Dec 5, 2014 | SR-OCC-2014-810 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Modifications to Back Testing Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure See Also - Request for Additional Information, Rel. No. 34-75290 |
| 34-73726 | Dec 3, 2014 | SR-OCC-2014-809 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program As Part of OCC's Overall Liquidity Plan See Also - Rel. No. 34-73979 |