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 |
|---|---|---|---|---|
| 34-85670 | Apr 17, 2019 | SR-OCC-2019-801 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures |
| 34-84838 | Dec 19, 2018 | SR-OCC-2018-804 | The Options Clearing Corporation (OCC-AN) | 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 | SR-OCC-2018-804 | The Options Clearing Corporation (OCC-AN) | 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 |
| 34-83928 | Aug 23, 2018 | SR-OCC-2017-810 | The Options Clearing Corporation (OCC-AN) | 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 View Received Comments |
| 34-83927 | Aug 23, 2018 | SR-OCC-2017-809 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios View Received Comments |
| 34-83761 | Aug 1, 2018 | SR-OCC-2017-809 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Amendments No. 1 and 2 to Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios View Received Comments See Also - Exhibit 5a, Exhibit 5b |
| 34-83762 | Aug 1, 2018 | SR-OCC-2017-810 | The Options Clearing Corporation (OCC-AN) | 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 View Received Comments |
| 34-83714 | Jul 26, 2018 | SR-OCC-2018-803 | The Options Clearing Corporation (OCC-AN) | 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 | SR-OCC-2018-803 | The Options Clearing Corporation (OCC-AN) | 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 See Also - Exhibit 5a, Exhibit 5b |
| 34-83529 | Jun 27, 2018 | SR-OCC-2018-802 | The Options Clearing Corporation (OCC-AN) | 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 |