The Options Clearing Corporation 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 |
|---|---|---|---|---|
| 34-100455 | Jul 2, 2024 | SR-OCC-2024-006 | The Options Clearing Corporation | Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description |
| 34-100261 | Jun 3, 2024 | SR-OCC-2024-007 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Schedule of Fees Comments Due: June 28, 2024 See Also - Exhibit 5 Submit a Comment on SR-OCC-2024-007
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| 34-100194 | May 21, 2024 | SR-OCC-2024-005 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align With Recently Adopted CFTC Governance Requirements for Derivatives C Comments Due: June 18, 2024 See Also - Exhibit 3, Exhibit 5A, Exhibit 5B |
| 34-100147 | May 15, 2024 | SR-OCC-2024-006 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description Comments Due: June 11, 2024 See Also - Exhibit 3a and Exhibit 3b, Exhibit 5a, Exhibit 5b |
| 34-100009 | Apr 22, 2024 | SR-OCC-2024-001 | The Options Clearing Corporation | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements Du Comments Due: May 17, 2024 |
| 34-99951 | Apr 12, 2024 | SR-OCC-2024-004 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Operational Loss Fee Pursuant to Its Capital Management Policy Comments Due: May 9, 2024 View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-99735 | Mar 14, 2024 | SR-OCC-2023-007 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and t |
| 34-99701 | Mar 8, 2024 | SR-OCC-2024-002 | The Options Clearing Corporation | Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents |
| 34-99641 | Feb 29, 2024 | SR-OCC-2024-003 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Option Clearing Corporation’s Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions Comments Due: March 27, 2024 View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-99594 | Feb 23, 2024 | SR-OCC-2024-001 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the M |