OCC Advance Notice Rulemaking: 2014

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OCC Advance Notice File Number List for 2014

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OCC Advance Notice File Number List for 2014

Release No.	Date	Details
SR-OCC-2014-813
34-74387	Feb. 26, 2015	Notice of No Objection to Advance Notice Filing, as Modified by Amendment No. 1, Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
34-74202	Feb. 4, 2015	Notice of Filing of an Advance Notice, as Modified by Amendment No. 1, Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility Comments due: February 24, 2015 Comments received are available for this proposal.
SR-OCC-2014-812
34-74241	Feb. 10, 2015	Notice of No Objection to Advance Notice Concerning Extended and Overnight Trading Sessions
34-74073	Jan. 15, 2015	Notice of Filing of Advance Notice Concerning Extended and Overnight Trading Sessions Comments due: February 6, 2015
SR-OCC-2014-811
34-74981	May 15, 2015	Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1 and Amendment No. 2, to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources
34-74713	Apr. 10, 2015	Notice of Filing of Amendment No. 2 to an Advance Notice Concerning the Monthly Resizing of the Clearing Fund and the Addition of Financial Resources Comments due:  May 7, 2015
34-74091	Jan. 20, 2015	Notice of Filing of an Advance Notice, and Amendment No. 1 Thereto, to Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources See also: Request for Additional Information
SR-OCC-2014-810
34-75290	Jun. 24, 2015	Notice of No Objection to an Advance Notice Concerning Modifications to Backtesting Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure
34-73749	Dec. 5, 2014	Notice of Filing of Advance Notice Concerning Modifications to Back Testing Procedures in Order to Enhance Monitoring of Margin Coverage and Model Risk Exposure Comments due: January 2, 2015 See also:  Request for Additional Information Submit Comments on SR-OCC-2014-810
SR-OCC-2014-809
34-73979	Jan. 2, 2015	Notice of No Objection to Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program as Part of OCC's Overall Liquidity Plan See also: Notice: Rel. No. 34-73726
34-73726	Dec. 3, 2014	Notice of Filing of an Advance Notice Concerning the Implementation of a Committed Master Repurchase Agreement Program As Part of OCC's Overall Liquidity Plan Comments due: December 30, 2014
SR-OCC-2014-807
34-73579	Nov. 12, 2014	Notice of an Emergency Change to OCC's Procedures to Resize the Clearing Fund in Response to Market Conditions Comments due: December 9, 2014
SR-OCC-2014-806
34-73257	Sep. 30, 2014	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: October 27, 2014
SR-OCC-2014-805
34-73710	Dec. 1, 2014	Notice of Withdrawal of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions
34-73343	Oct. 14, 2014	Notice of Filing of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions Comments due: November 10, 2014
SR-OCC-2014-804
34-72804	Aug. 11, 2014	Notice of Filing of an Advance Notice to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month See also:  Request for Additional Information Comments due: September 5, 2014
SR-OCC-2014-803
34-73482	Oct. 31, 2014	Notice of No Objection to Advance Notice Filing to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes
34-72803	Aug. 11, 2014	Notice of Filing of an Advance Notice to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes See also:  Request for Additional Information Comments due: September 5, 2014
SR-OCC-2014-802
34-72550	Jul. 7, 2014	Notice of No Objection to Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors
34-72268	May 28, 2014	Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors Comments due: June 24, 2014
SR-OCC-2014-801
34-71549	Feb. 12, 2014	Notice of Filing of Advance Notice of and No Objection to an Amendment to The Options Clearing Corporation's Unsecured, Committed Credit Agreement Comments due: March 12, 2014

http://www.sec.gov/rules/sro/occ-an/occ-an-archive/occ-an-archive2014.shtml