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 |
|---|---|---|---|---|
| 34-73482 | Oct 31, 2014 | SR-OCC-2014-803 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes See Also - Rel. No. 34-72803 |
| 34-73343 | Oct 14, 2014 | SR-OCC-2014-805 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice Concerning Enhancements to the Risk Management Framework Applied to the Clearance of Confirmed Trades Executed in Extended and Overnight Trading Sessions See Also - Rel. No. 34-73710 |
| 34-73257 | Sep 30, 2014 | SR-OCC-2014-806 | 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 a New Credit Facility Agreement |
| 34-72803 | Aug 11, 2014 | SR-OCC-2014-803 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice to Better Manage Risks Concentration and Other Risks Associated with Accepting Deposits of Common Stocks for Margin Purposes See Also - Request for Additional Information, Rel. No. 34-73482 |
| 34-72804 | Aug 11, 2014 | SR-OCC-2014-804 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of an Advance Notice to Permit OCC to Adjust the Size of its Clearing Fund Intra-Month and Clearing Member's Clearing Fund Contributions Intra-Month See Also - Request for Additional Information |
| 34-72550 | Jul 7, 2014 | SR-OCC-2014-802 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors |
| 34-72268 | May 28, 2014 | SR-OCC-2014-802 | The Options Clearing Corporation (OCC-AN) | Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing Corporation's Board of Directors |
| 34-72125 | May 8, 2014 | SR-OCC-2013-804 | The Options Clearing Corporation (OCC-AN) | Notice of Withdrawal of an Advance Notice in Connection With a Proposed Change to its Operations in the Form of a Private Offering by OCC of Senior Unsecured Debt Securities See Also - Rel. No. 34-69955 |
| 34-71549 | Feb 12, 2014 | SR-OCC-2014-801 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice of and No Objection to an Amendment to The Options Clearing Corporation's Unsecured, Committed Credit Agreement |
| 34-71376 | Jan 23, 2014 | SR-OCC-2013-807 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Filing Concerning the Governance Committee Charter See Also - Rel. No. 34-71083 |