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 descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-87475 | Nov 6, 2019 | SR-OCC-2019-806 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology |
| 34-87257 | Oct 8, 2019 | SR-OCC-2019-805 | 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, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility |
| 34-86888 | Sep 5, 2019 | SR-OCC-2019-805 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility |
| 34-86713 | Aug 20, 2019 | SR-OCC-2019-804 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm |
| 34-86488 | Jul 26, 2019 | SR-OCC-2019-804 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm |
| 34-86182 | Jun 24, 2019 | SR-OCC-2019-803 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement |
| 34-86103 | Jun 13, 2019 | SR-OCC-2019-802 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology |
| 34-85924 | May 23, 2019 | SR-OCC-2019-803 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Proposal to Enter Into a New Credit Facility Agreement |
| 34-85870 | May 15, 2019 | SR-OCC-2019-801 | The Options Clearing Corporation (OCC-AN) | Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures |
| 34-85863 | May 15, 2019 | SR-OCC-2019-802 | The Options Clearing Corporation (OCC-AN) | Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology |