OCC Advance Notice Rulemaking Archive: 2021

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 2021

Additional Archives

Chronological List for 2021

(Search any column)
Release No. Date Details
Fourth Quarter
SR-OCC-2021-802
34-93433 Oct. 27, 2021 Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications
Comments due: November 23, 2021
Comments received are available for this proposal.
Second Quarter
SR-OCC-2021-801
34-91491 Apr. 7, 2021 Notice of No Objection to Advance Notice relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
First Quarter
SR-OCC-2021-801
34-91184 Feb. 23, 2021 Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
Comments due: March 16, 2021
Additional Materials: Exhibit 5a
Comments received are available for this proposal.

File Number List for 2021

Release No. Date Details
SR-OCC-2021-803
34-94270 Feb. 17, 2022 Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Cash and Investment Management
34-93915 Jan. 6, 2022 Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Cash and Investment Management
Comments due: February 2, 2022
Additional Materials: Exhibit 5b
Comments received are available for this proposal.
SR-OCC-2021-802
34-93433 Oct. 27, 2021 Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications
Comments due: November 23, 2021
Comments received are available for this proposal.
SR-OCC-2021-801
34-91491 Apr. 7, 2021 Notice of No Objection to Advance Notice relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
34-91184 Feb. 23, 2021 Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game
Comments due: March 16, 2021
Additional Materials: Exhibit 5a
Comments received are available for this proposal.