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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

Chronological List
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 Corporationís 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 Corporationís 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 Corporationís 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
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

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

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
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

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

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

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

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 Corporationís 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 Corporationís 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 Corporationís 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 Corporationís 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

 

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


Modified: 02/24/2017