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OCC Advance Notice Rulemaking: 2013
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.
Note: Only selected SRO rule proposals were posted to the SEC website prior to 2004. To obtain releases not appearing on the website, contact the Public Reference Room at (202) 551-8090 or by e-mail: publicinfo@sec.gov.
Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
OCC Advance Notice File Number List for 2013
Additional Archives
2017 |
2016 |
2015 |
2014 |
2013 |
2012
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-OCC-2013-807 |
| 34-71083 |
Dec. 16, 2013 |
Notice of Filing of Advance Notice Concerning the Governance Committee Charter
Comments due: January 10, 2014
See also: Notice: Rel. No. 34-71376
|
SR-OCC-2013-803 |
| 34-70709 |
Oct. 17, 2013 |
Notice of No Objection to Advance Notice Filing to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
See also: Notice: Rel. No. 34-69925
|
SR-OCC-2013-806 |
| 34-70596 |
Oct. 2, 2013 |
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement
Comments due: November 12, 2013
|
| Third Quarter |
SR-OCC-2013-805 |
| 34-70366 |
Sep. 10, 2013 |
Notice of Filing of an Advance Notice to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: October 7, 2013
|
SR-OCC-2013-804 |
| 34-69955 |
Jul. 10, 2013 |
Notice of Filing of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities
Comments due: August 5, 2013
|
SR-OCC-2013-803 |
| 34-69925 |
Jul. 3, 2013 |
Notice of Filing of Advance Notice to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 30, 2013
See also: Notice: Rel. No. 34-70709
|
| Second Quarter |
SR-OCC-2013-802 |
| 34-69767 |
Jun. 14, 2013 |
Notice of No Objection to Advance Notice Filing to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
|
SR-OCC-2013-802 |
| 34-69603 |
May 17, 2013 |
Notice of Filing of an Advance Notice to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: June 13, 2013
|
| First Quarter |
SR-OCC-2012-801 |
| 34-68935 |
Feb. 14, 2013 |
Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1 thereto, to Enter into an Unsecured, Committed Credit Agreement
See also: Notice: Rel. No. 34-68618
|
SR-OCC-2012-801 |
| 34-68618 |
Jan. 10, 2013 |
Notice of Filing of Advance Notice, as Modified by Amendment No. 1 Thereto, in Connection with a Proposed Change to Enter into an Unsecured, Committed Credit Agreement
Comments due: February 6, 2013
See also: Notice: Rel. No. 34-68935
|
| OCC Advance Notice File Number List for 2013 |
| Release No. |
Date |
Details |
SR-OCC-2013-807 |
| 34-71376 |
Jan. 23, 2014 |
Notice of No Objection to Advance Notice Filing Concerning the Governance Committee Charter
|
| 34-71083 |
Dec. 16, 2013 |
Notice of Filing of Advance Notice Concerning the Governance Committee Charter
Comments due: January 10, 2014
|
SR-OCC-2013-806 |
| 34-70596 |
Oct. 2, 2013 |
Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal to Enter a New Credit Facility Agreement
Comments due: November 12, 2013
|
SR-OCC-2013-805 |
| 34-70366 |
Sep. 10, 2013 |
Notice of Filing of an Advance Notice to Amend an Existing Interpretation and Policy to Give OCC Discretion Not to Grant a Particular Clearing Member Margin Credit for an Otherwise Eligible Security
Comments due: October 7, 2013
|
SR-OCC-2013-804 |
| 34-69955 |
Jul. 10, 2013 |
Notice of Filing of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities
Comments due: August 5, 2013
|
SR-OCC-2013-803 |
| 34-70709 |
Oct. 17, 2013 |
Notice of No Objection to Advance Notice Filing to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
|
| 34-69925 |
Jul. 3, 2013 |
Notice of Filing of Advance Notice to Reflect Enhancements in OCC's System for Theoretical Analysis and Numerical Simulations as Applied to Longer-Tenor Options
Comments due: July 30, 2013
|
SR-OCC-2013-802 |
| 34-69767 |
Jun. 14, 2013 |
Notice of No Objection to Advance Notice Filing to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
|
| 34-69603 |
May 17, 2013 |
Notice of Filing of an Advance Notice to Change the Expiration Date For Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday
Comments due: June 13, 2013
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http://www.sec.gov/rules/sro/occ-an/occ-an-archive/occ-an-archive2013.shtml
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