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OCC Advance Notice Rulemaking

We encourage the public to submit comments on the following The 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 2016

Additional Archives

Chronological List
Release No. Date Details
Third Quarter

SR-OCC-2016-803
34-78893 Sep. 21, 2016 Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporationís Proposal to Enter Into a New Credit Facility Agreement
Comments due: 21 days after publication in the Federal Register

SR-OCC-2016-802
34-78834 Sep. 14, 2016 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b

SR-OCC-2016-801
34-78718 Aug. 30, 2016 Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy
See also: Notice: Rel. No. 34-77628
Second Quarter

SR-OCC-2016-801
34-77628 Apr. 15, 2016 Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due:  May 12, 2016
Additional Materials: Exhibit 3A, Exhibit 5A, Exhibit 5B
See also: Request for Additional Information
See also: Notice: Rel. No. 34-78718
Comments received are available for this proposal.
First Quarter

SR-OCC-2015-805
34-76821 Jan. 4, 2016 Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporationís Non-Bank Liquidity Facility
See also: Notice: Rel. No. 34-76641

OCC Advance Notice File Number List for 2016
Release No. Date Details

SR-OCC-2016-803
34-78893 Sep. 21, 2016 Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporationís Proposal to Enter Into a New Credit Facility Agreement
Comments due: 21 days after publication in the Federal Register

SR-OCC-2016-802
34-78834 Sep. 14, 2016 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b

SR-OCC-2016-801
34-78718 Aug. 30, 2016 Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy
34-77628 Apr. 15, 2016 Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy
Comments due:  May 12, 2016
Additional Materials: Exhibit 3A, Exhibit 5A, Exhibit 5B
See also: Request for Additional Information
Comments received are available for this proposal.

 

http://www.sec.gov/rules/sro/occ-an.shtml


Modified: 09/21/2016