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
Fourth Quarter |  Second Quarter |  First Quarter

OCC Advance Notice File Number List for 2017

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-OCC-2017-806
34-82056 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-OCC-2017-805
34-82055 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process
Comments due: 21 days after publication in the Federal Register
Second Quarter
SR-OCC-2017-804
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
See also:  Notice: Rel. No. 34-81040
Additional File No.: SR-NSCC-2017-803
SR-OCC-2017-803
34-81058 Jun. 30, 2017 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 27, 2017
SR-OCC-2017-804
34-81040 Jun. 28, 2017 Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 20, 2017
See also: Notice: Rel. No. 34-81260-->
First Quarter
SR-OCC-2017-802
34-80537 Apr. 27, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs
SR-OCC-2017-802
34-80323 Mar. 28, 2017 Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 24, 2017
See also: Notice: Rel. No. 34-80537
SR-OCC-2017-801
34-80143 Mar. 2, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
See also: Notice: Rel. No. 34-79915
SR-OCC-2017-801
34-79915 Feb. 1, 2017 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 28, 2017

OCC Advance Notice File Number List for 2017

Release No. Date Details
SR-OCC-2017-806
34-82056 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-OCC-2017-805
34-82055 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process
Comments due: 21 days after publication in the Federal Register
SR-OCC-2017-804
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-803
34-81040 Jun. 28, 2017 Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 20, 2017
SR-OCC-2017-803
34-81058 Jun. 30, 2017 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 27, 2017
SR-OCC-2017-802
34-80537 Apr. 27, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs
34-80323 Mar. 28, 2017 Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 24, 2017
SR-OCC-2017-801
34-80143 Mar. 2, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
34-79915 Feb. 1, 2017 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 28, 2017