OCC Advance Notice Rulemaking Archive: 2020

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 2020

Additional Archives

Chronological List for 2020

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Release No. Date Details
Second Quarter
SR-OCC-2020-806
34-90701 Dec. 17, 2020 Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan
SR-OCC-2020-806
34-90416 Nov. 13, 2020 Notice of Filing of Advance Notice Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan
Comments due: December 3, 2020
SR-OCC-2020-805
34-89792 Sep. 9, 2020 Notice of No Objection to Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process
SR-OCC-2020-805
34-89515 Aug. 10, 2020 Notice of Filing of Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process
Comments due: August 31, 2020
SR-OCC-2020-803
34-89039 Jun. 10, 2020 Notice of No Objection to Advance Notice Related to Changes to The Options Clearing Corporation's Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan
SR-OCC-2020-802
34-89004 Jun. 4, 2020 Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
SR-OCC-2020-804
34-88971 May 28, 2020 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: June 18, 2020
SR-OCC-2020-803
34-88906 May 19, 2020 Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan
Comments due: June 8, 2020
SR-OCC-2020-802
34-88792 May 1, 2020 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
Comments due: May 26, 2020
First Quarter
SR-OCC-2020-801
34-88317 Mar. 4, 2020 Notice of No Objection to Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan
SR-OCC-2020-801
34-88120 Feb. 5, 2020 Notice of Filing of Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan
Comments due: February 26, 2020

File Number List for 2020

Release No. Date Details
SR-OCC-2020-806
34-90701 Dec. 17, 2020 Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan
34-90416 Nov. 13, 2020 Notice of Filing of Advance Notice Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan
Comments due: December 3, 2020
SR-OCC-2020-805
34-89792 Sep. 9, 2020 Notice of No Objection to Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process
34-89515 Aug. 10, 2020 Notice of Filing of Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process
Comments due: August 31, 2020
SR-OCC-2020-804
34-88971 May 28, 2020 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: June 18, 2020
SR-OCC-2020-803
34-89039 Jun. 10, 2020 Notice of No Objection to Advance Notice Related to Changes to The Options Clearing Corporation's Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan
34-88906 May 19, 2020 Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan
Comments due: June 8, 2020
SR-OCC-2020-802
34-89004 Jun. 4, 2020 Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
34-88792 May 1, 2020 Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
Comments due: May 26, 2020
SR-OCC-2020-801
34-88317 Mar. 4, 2020 Notice of No Objection to Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan
34-88120 Feb. 5, 2020 Notice of Filing of Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan
Comments due: February 26, 2020