OCC Advance Notice Rulemaking

We encourage the public to submit comments on the following Options Clearing Corporation (OCC) 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.

Chronological List
Second Quarter |  First Quarter

OCC Advance Notice File Number List for 2021

Additional Archives

Chronological List for 2021

(Search any column)
Release No. Date Details
Second Quarter
SR-OCC-2021-801
34-91491 Apr. 7, 2021 Notice of No Objection to Advance Notice relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
First Quarter
SR-OCC-2021-801
34-91184 Feb. 23, 2021 Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
Comments due: March 16, 2021
Additional Materials: Exhibit 5a
Comments received are available for this proposal.

File Number List for 2021

Release No. Date Details
SR-OCC-2021-801
34-91491 Apr. 7, 2021 Notice of No Objection to Advance Notice relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
34-91184 Feb. 23, 2021 Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
Comments due: March 16, 2021
Additional Materials: Exhibit 5a
Comments received are available for this proposal.