OCC Advance Notice Rulemaking: Archive 2017

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.

Chronological List
Fourth Quarter |  Second Quarter |  First Quarter

OCC Advance Notice File Number List for 2017

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-OCC-2017-811
34-82371 Dec. 20, 2017 Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology
Comments due: January 17, 2018
Comments received are available for this proposal.
SR-OCC-2017-806
34-82296 Dec. 12, 2017 Notice of No Objection to Advance Notice Concerning Liquidity for Same-Day Settlement
See also: Notice: Rel. No. 34-82056
SR-OCC-2017-808
34-82247 Dec. 8, 2017 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund
Comments due:  December 29, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
SR-OCC-2017-805
34-82221 Dec. 5, 2017 Notice of No Objection to Advance Notice Filing Concerning The Use of the Society of Worldwide Interbank Financial Telecommunication ("SWIFT") Messaging Network in OCC's Cash Settlement Process
See also: Notice: Rel. No. 34-82055
SR-OCC-2017-806
34-82056 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement
Comments due: December 8, 2017
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-82296
SR-OCC-2017-805
34-82055 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process
Comments due: December 8, 2017
See also: Notice: Rel. No. 34-82221
Second Quarter
SR-OCC-2017-804
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
See also:  Notice: Rel. No. 34-81040
Additional File No.: SR-NSCC-2017-803
SR-OCC-2017-803
34-81058 Jun. 30, 2017 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: July 27, 2017
SR-OCC-2017-804
34-81040 Jun. 28, 2017 Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 20, 2017
See also: Notice: Rel. No. 34-81260-->
First Quarter
SR-OCC-2017-802
34-80537 Apr. 27, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs
SR-OCC-2017-802
34-80323 Mar. 28, 2017 Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 24, 2017
See also: Notice: Rel. No. 34-80537
SR-OCC-2017-801
34-80143 Mar. 2, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
See also: Notice: Rel. No. 34-79915
SR-OCC-2017-801
34-79915 Feb. 1, 2017 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 28, 2017

OCC Advance Notice File Number List for 2017

SR-OCC-2017-811 File Number Listing
Release No. Date Details
SR-OCC-2017-811
34-83305 May 23, 2018 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology
34-82935 Mar. 22, 2018 Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology
34-82371 Dec. 20, 2017 Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology
Comments due: January 17, 2018
Comments received are available for this proposal.
SR-OCC-2017-810
34-83928 Aug. 23, 2018 Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 3, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
34-83762 Aug. 1, 2018 Notice of Filing of Partial Amendments No. 1, 2, and 3 to Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: August 22, 2018
34-82514 Jan. 17, 2018 Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Comments due: February 13, 2018
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-OCC-2017-809
34-83927 Aug. 23, 2018 Notice of No Objection to Advance Notice, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios
34-83761 Aug. 1, 2018 Notice of Filing of Amendments No. 1 and 2 to Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: August 22, 2018
Additional Materials: Exhibit 5a, Exhibit 5b
34-82513 Jan. 17, 2018 Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios
Comments due: February 13, 2018
Additional Materials: Exhibit 5a
Comments received are available for this proposal.
SR-OCC-2017-808
34-82501 Jan. 12, 2018 Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
34-82247 Dec. 8, 2017 Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund
Comments due:  December 29, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c
SR-OCC-2017-806
34-82296 Dec. 12, 2017 Notice of No Objection to Advance Notice Concerning Liquidity for Same-Day Settlement
34-82056 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement
Comments due: December 8, 2017
Additional Materials: Exhibit 5
SR-OCC-2017-805
34-82221 Dec. 5, 2017 Notice of No Objection to Advance Notice Filing Concerning The Use of the Society of Worldwide Interbank Financial Telecommunication ("SWIFT") Messaging Network in OCC's Cash Settlement Process
34-82055 Nov. 13, 2017 Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process
Comments due: December 8, 2017
SR-OCC-2017-804
34-81260 Jul. 31, 2017 Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation
Additional File No.: SR-NSCC-2017-803
34-81040 Jun. 28, 2017 Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Comments due: July 20, 2017
SR-OCC-2017-803
34-81058 Jun. 30, 2017 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: July 27, 2017
SR-OCC-2017-802
34-80537 Apr. 27, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs
34-80323 Mar. 28, 2017 Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs
Comments due: April 24, 2017
SR-OCC-2017-801
34-80143 Mar. 2, 2017 Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
34-79915 Feb. 1, 2017 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility
Comments due: February 28, 2017