The Options Clearing Corporation (OCC-AN) Rulemaking
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-94270 | Feb 17, 2022 | SR-OCC-2021-803 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Cash and Investment Management Comments Due: February 2, 2022 View Received Comments Submit a Comment on SR-OCC-2021-803
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| 34-94166 | Feb 7, 2022 | SR-OCC-2022-801 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility Comments Due: March 4, 2022 |
| 34-93915 | Jan 6, 2022 | SR-OCC-2021-803 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation’s Cash and Investment Management Comments Due: February 2, 2022 View Received Comments See Also - Exhibit 5b |
| 34-93433 | Oct 27, 2021 | SR-OCC-2021-802 | The Options Clearing Corporation (OCC-AN) | Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications Comments Due: November 23, 2021 View Received Comments |
| 34-91491 | Apr 7, 2021 | SR-OCC-2021-801 | The Options Clearing Corporation (OCC-AN) | Notice Relating to OCC's Establishment of Persistent Minimum Skin-in-the-Game Comments Due: March 16, 2021 View Received Comments |
| 34-91184 | Feb 23, 2021 | SR-OCC-2021-801 | The Options Clearing Corporation (OCC-AN) | Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game Comments Due: March 16, 2021 View Received Comments See Also - Exhibit 5a |
| 34-90701 | Dec 17, 2020 | SR-OCC-2020-806 | The Options Clearing Corporation (OCC-AN) | 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 | SR-OCC-2020-806 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan |
| 34-89792 | Sep 9, 2020 | SR-OCC-2020-805 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process |
| 34-89515 | Aug 10, 2020 | SR-OCC-2020-805 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process |