OCC Advance Notice Rulemaking
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
Second Quarter |
First Quarter
OCC Advance Notice File Number List for 2018
Additional Archives
2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-OCC-2018-804 | ||
| 34-84838 | Dec. 19, 2018 | Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility |
| SR-OCC-2018-804 | ||
| 34-84626 | Nov. 19, 2018 | Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: December 17, 2018 |
| 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 |
| 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 |
| SR-OCC-2017-810 | ||
| 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 |
| SR-OCC-2017-809 | ||
| 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 |
| SR-OCC-2018-803 | ||
| 34-83714 | Jul. 26, 2018 | Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology |
| Second Quarter | ||
| SR-OCC-2018-803 | ||
| 34-83561 | Jun. 29, 2018 | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
Comments due: July 23, 2018 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-OCC-2018-802 | ||
| 34-83529 | Jun. 27, 2018 | 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 24, 2018 |
| First Quarter | ||
| 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 |
| SR-OCC-2017-811 | ||
| 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 |
| SR-OCC-2017-810 | ||
| 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 | ||
| 34-82513 | 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 |
OCC Advance Notice File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-OCC-2018-804 | ||
| 34-84838 | Dec. 19, 2018 | Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility |
| 34-84626 | Nov. 19, 2018 | Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility
Comments due: December 17, 2018 |
| SR-OCC-2018-803 | ||
| 34-83714 | Jul. 26, 2018 | Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology |
| 34-83561 | Jun. 29, 2018 | Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology
Comments due: July 23, 2018 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-OCC-2018-802 | ||
| 34-83529 | Jun. 27, 2018 | 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 24, 2018 |