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OCC Advance Notice Rulemaking: 2015
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
First Quarter
OCC Advance Notice File Number List for 2015
Additional Archives
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-OCC-2015-805 |
| 34-76641 |
Dec. 14, 2015 |
Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation’s Non-Bank Liquidity Facility
Comments due: January 4, 2016
See also: Notice: Rel. No. 34-76821
|
SR-OCC-2015-804 |
| 34-76548 |
Dec. 3, 2015 |
Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation’s Margin Methodology by Incorporating Variations in Implied Volatility
See also: Notice: Rel. No. 34-76421
|
SR-OCC-2015-804 |
| 34-76421 |
Nov. 10, 2015 |
Notice of Filing of an Advance Notice to Modify The Options Clearing Corporation’s Margin Methodology by Incorporating Variations in Implied Volatility
Comments due: December 2, 2015
See also: Notice: Rel. No. 34-76548
|
SR-OCC-2015-803 |
| 34-76062 |
Oct. 1, 2015 |
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, 2015
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| Second Quarter |
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
See also: Notice: Rel. No. 34-73749
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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
See also: Notice: Rel. No. 34-74713, Notice: Rel. No. 34-74091
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SR-OCC-2014-811 |
| 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
See also: Notice: Rel. No. 34-74981; Notice: Rel. No. 34-74091; Request for Additional Information
Comments due: May 7, 2015
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| First Quarter |
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
See also: Notice: Rel. No. 34-74202
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SR-OCC-2014-812 |
| 34-74241 |
Feb. 10, 2015 |
Notice of No Objection to Advance Notice Concerning Extended and Overnight Trading Sessions
See also: Notice: Rel. No. 34-74073
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SR-OCC-2014-813 |
| 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
See also: Notice: Rel. No. 34-74387
Comments received are available for this proposal.
|
SR-OCC-2014-811 |
| 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: Notice: Rel. No. 34-74981; Request for Additional Information |
SR-OCC-2014-812 |
| 34-74073 |
Jan. 15, 2015 |
Notice of Filing of Advance Notice Concerning Extended and Overnight Trading Sessions
Comments due: February 6, 2015
See also: Notice: Rel. No. 34-74241
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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
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| OCC Advance Notice File Number List for 2015 |
| Release No. |
Date |
Details |
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 Corporation’s Non-Bank Liquidity Facility
|
| 34-76641 |
Dec. 14, 2015 |
Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation’s Non-Bank Liquidity Facility
Comments due: January 4, 2016
|
SR-OCC-2015-804 |
| 34-76548 |
Dec. 3, 2015 |
Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation’s Margin Methodology by Incorporating Variations in Implied Volatility
See also: Notice: Rel. No. 34-76421
|
| 34-76421 |
Nov. 10, 2015 |
Notice of Filing of an Advance Notice to Modify The Options Clearing Corporation’s Margin Methodology by Incorporating Variations in Implied Volatility
Comments due: December 2, 2015
|
SR-OCC-2015-803 |
| 34-76062 |
Oct. 1, 2015 |
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, 2015
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http://www.sec.gov/rules/sro/occ-an.shtml
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