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
Third Quarter |  Second Quarter |  First Quarter

OCC Advance Notice File Number List for 2019

Additional Archives

Chronological List

Release No. Date Details
Third Quarter
SR-OCC-2019-807
34-87476 Nov. 6, 2019 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk
Comments due: 15 days after publication in the Federal Register
SR-OCC-2019-806
34-87475 Nov. 6, 2019 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology
Comments due: 15 days after publication in the Federal Register
SR-OCC-2019-805
34-87257 Oct. 8, 2019 Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019
SR-OCC-2019-805
34-86888 Sep. 5, 2019 Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 26, 2019
SR-OCC-2019-804
34-86713 Aug. 20, 2019 Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
SR-OCC-2019-804
34-86488 Jul. 26, 2019 Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: August 15, 2019
Second Quarter
SR-OCC-2019-803
34-86182 Jun. 24, 2019 Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
SR-OCC-2019-802
34-86103 Jun. 13, 2019 Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
SR-OCC-2019-803
34-85924 May 23, 2019 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
Comments due: June 14, 2019
SR-OCC-2019-801
34-85870 May 15, 2019 Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
SR-OCC-2019-802
34-85863 May 15, 2019 Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: June 5, 2019
First Quarter
SR-OCC-2019-801
34-85670 Apr. 17, 2019 Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: May 7, 2019

OCC Advance Notice File Number List for 2019

Release No. Date Details
SR-OCC-2019-807
34-87476 Nov. 6, 2019 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk
Comments due: 15 days after publication in the Federal Register
SR-OCC-2019-806
34-87475 Nov. 6, 2019 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology
Comments due: 15 days after publication in the Federal Register
SR-OCC-2019-805
34-87257 Oct. 8, 2019 Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019
34-86888 Sep. 5, 2019 Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 26, 2019
SR-OCC-2019-804
34-86713 Aug. 20, 2019 Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
34-86488 Jul. 26, 2019 Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: August 15, 2019
SR-OCC-2019-803
34-86182 Jun. 24, 2019 Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
34-85924 May 23, 2019 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
Comments due: June 14, 2019
SR-OCC-2019-802
34-86103 Jun. 13, 2019 Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
34-85863 May 15, 2019 Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: June 5, 2019
SR-OCC-2019-801
34-85870 May 15, 2019 Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
34-85670 Apr. 17, 2019 Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: May 7, 2019