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 2018

Additional Archives

Chronological List

Release No. Date Details
Third Quarter
SR-OCC-2018-804
34-84626 Nov. 19, 2018 Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: December 17, 2018
SR-OCC-2017-810
34-83928 Aug. 23, 2018 Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 3, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
SR-OCC-2017-809
34-83927 Aug. 23, 2018 Notice of No Objection to Advance Notice, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios
SR-OCC-2017-810
34-83762 Aug. 1, 2018 Notice of Filing of Partial Amendments No. 1, 2, and 3 to Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: August 22, 2018
SR-OCC-2017-809
34-83761 Aug. 1, 2018 Notice of Filing of Amendments No. 1 and 2 to Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: August 22, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
SR-OCC-2018-803
34-83714 Jul. 26, 2018 Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
Second Quarter
SR-OCC-2018-803
34-83561 Jun. 29, 2018 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
Comments due: July 23, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
SR-OCC-2018-802
34-83529 Jun. 27, 2018 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
Comments due: July 24, 2018
First Quarter
SR-OCC-2017-811
34-83305 May 23, 2018 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology
SR-OCC-2017-811
34-82935 Mar. 22, 2018 Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology
SR-OCC-2017-810
34-82514 Jan. 17, 2018 Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: February 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-OCC-2017-809
34-82513 Jan. 17, 2018 Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: February 13, 2018
Additional Materials: Exhibit 5a
Comments received are available for this proposal.
SR-OCC-2017-808
34-82501 Jan. 12, 2018 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
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c

OCC Advance Notice File Number List for 2017

Release No. Date Details
SR-OCC-2018-804
34-84626 Nov. 19, 2018 Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: December 17, 2018
SR-OCC-2018-803
34-83714 Jul. 26, 2018 Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
34-83561 Jun. 29, 2018 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
Comments due: July 23, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
SR-OCC-2018-802
34-83529 Jun. 27, 2018 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
Comments due: July 24, 2018