|
|
 |
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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
OCC Advance Notice File Number List for 2016
Additional Archives
2022 |
2021 |
2020 |
2019 |
2018 |
2017 |
2016 |
2015 |
2014 |
2013 |
2012
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-OCC-2016-802 |
| 34-79096 |
Oct. 13, 2016 |
Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Escrow Deposit Program
See also: Notice: Rel. No. 34-78834
|
| 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 Corporation’s Proposal to Enter Into a New Credit Facility Agreement
Comments due: October 18, 2016
|
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: October 11, 2016
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 Corporation’s 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 Corporation’s Proposal to Enter Into a New Credit Facility Agreement
Comments due: October 18, 2016
|
SR-OCC-2016-802 |
| 34-79096 |
Oct. 13, 2016 |
Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Escrow Deposit Program |
| 34-78834 |
Sep. 14, 2016 |
Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Escrow Deposit Program
Comments due: October 11, 2016
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
|
