OCC Advance Notice Rulemaking Archive: 2019
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 |
Third Quarter |
Second Quarter |
First Quarter
OCC Advance Notice File Number List for 2019
Additional Archives
2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-OCC-2019-807 | ||
| 34-87673 | Dec. 6, 2019 | Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk |
| SR-OCC-2019-806 | ||
| 34-87672 | Dec. 6, 2019 | Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology |
| SR-OCC-2019-807 | ||
| 34-87476 | Nov. 6, 2019 | Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk
Comments due: November 27, 2019 |
| SR-OCC-2019-806 | ||
| 34-87475 | Nov. 6, 2019 | Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology
Comments due: November 27, 2019 |
| SR-OCC-2019-805 | ||
| 34-87257 | Oct. 8, 2019 | Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019 |
| Third Quarter | ||
| SR-OCC-2019-805 | ||
| 34-86888 | Sep. 5, 2019 | Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 26, 2019 |
| SR-OCC-2019-804 | ||
| 34-86713 | Aug. 20, 2019 | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm |
| SR-OCC-2019-804 | ||
| 34-86488 | Jul. 26, 2019 | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: August 15, 2019 |
| Second Quarter | ||
| SR-OCC-2019-803 | ||
| 34-86182 | Jun. 24, 2019 | Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement |
| SR-OCC-2019-802 | ||
| 34-86103 | Jun. 13, 2019 | Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology |
| SR-OCC-2019-803 | ||
| 34-85924 | May 23, 2019 | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
Comments due: June 14, 2019 |
| SR-OCC-2019-801 | ||
| 34-85870 | May 15, 2019 | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures |
| SR-OCC-2019-802 | ||
| 34-85863 | May 15, 2019 | Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: June 5, 2019 |
| First Quarter | ||
| SR-OCC-2019-801 | ||
| 34-85670 | Apr. 17, 2019 | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: May 7, 2019 |
OCC Advance Notice File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-OCC-2019-807 | ||
| 34-87673 | Dec. 6, 2019 | Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk |
| 34-87476 | Nov. 6, 2019 | Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology to Address Specific Wrong-Way Risk
Comments due: November 27, 2019 |
| SR-OCC-2019-806 | ||
| 34-87672 | Dec. 6, 2019 | Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology |
| 34-87475 | Nov. 6, 2019 | Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology
Comments due: November 27, 2019 |
| SR-OCC-2019-805 | ||
| 34-87257 | Oct. 8, 2019 | Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: October 30, 2019 |
| 34-86888 | Sep. 5, 2019 | Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Comments due: September 26, 2019 |
| SR-OCC-2019-804 | ||
| 34-86713 | Aug. 20, 2019 | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm |
| 34-86488 | Jul. 26, 2019 | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm
Comments due: August 15, 2019 |
| SR-OCC-2019-803 | ||
| 34-86182 | Jun. 24, 2019 | Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement |
| 34-85924 | May 23, 2019 | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement
Comments due: June 14, 2019 |
| SR-OCC-2019-802 | ||
| 34-86103 | Jun. 13, 2019 | Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology |
| 34-85863 | May 15, 2019 | Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology
Comments due: June 5, 2019 |
| SR-OCC-2019-801 | ||
| 34-85870 | May 15, 2019 | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures |
| 34-85670 | Apr. 17, 2019 | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Comments due: May 7, 2019 |