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SECURITIES AND EXCHANGE COMMISSION (Release No. 3478151; File No. SROCC2016003) June 24, 2016, SelfRegulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness

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To fill out the notice of filing, follow these steps:

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Begin by entering the name or title of the document you are filing at the top of the notice.

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Next, include the case number and the name of the court in the designated spaces.

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Provide the names of the parties involved in the case, including both the plaintiff and the defendant.

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Specify the date of the notice by writing the month, day, and year it was filed.

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Make a copy of the notice for your records and submit the original to the appropriate court or party.

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Please note that these instructions may vary depending on the specific requirements of your jurisdiction or the type of case you are filing. It is important to consult the relevant rules and guidelines to ensure compliance.

Who needs notice of filing and?

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Notice of filing is typically required in legal proceedings and may be needed by various parties such as:

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- Attorneys representing either the plaintiff or the defendant

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- Individuals involved in a civil lawsuit

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- Courts and administrative bodies

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- Regulatory agencies

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- Arbitrators or mediators overseeing a dispute resolution process

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- Any party who wishes to officially notify others about the filing of a specific document or pleading in a case.

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The specific need for a notice of filing may vary depending on the jurisdiction and the specific rules and procedures governing the case.

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What is notice of filing?

A notice of filing is a formal notification that a specific document has been submitted to a government authority or relevant body, which may include details about the document's content and purpose.

Who is required to file a notice of filing?

Individuals or entities that are involved in legal proceedings or regulatory requirements related to the document being submitted are typically required to file a notice of filing.

How to fill out a notice of filing?

To fill out a notice of filing, you typically need to provide the title of the document, the date of filing, your contact information, and any relevant case or reference numbers as required by the jurisdiction.

What is the purpose of a notice of filing?

The purpose of a notice of filing is to formally inform interested parties that a document has been submitted, ensuring transparency and compliance with legal or regulatory processes.

What information must be reported on notice of filing?

The notice of filing must report information such as the title of the document, the filing date, the parties involved, relevant case numbers, and the name of the filing individual or entity.

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