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 |
|---|---|---|---|---|
| 34-88654 | Apr 15, 2020 | SR-OCC-2020-004 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change To Modify the Sequence for Processing Options Transactions See Also - Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5, Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5 |
| 34-88511 | Mar 30, 2020 | SR-OCC-2020-002 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees See Also - Exhibit 5, Exhibit 5 |
| 34-88310 | Mar 2, 2020 | SR-OCC-2020-001 | The Options Clearing Corporation | Order Approving Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates |
| 34-88029 | Jan 24, 2020 | SR-OCC-2019-007 | The Options Clearing Corporation | Order Approving Proposed Rule Change, 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 View Received Comments |
| 34-88030 | Jan 24, 2020 | SR-OCC-2020-001 | The Options Clearing Corporation | Notice on Non-Expiration Dates |
| 34-87774 | Dec 17, 2019 | SR-OCC-2019-011 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc. See Also - Exhibit 5, Exhibit 5 |
| 34-87718 | Dec 11, 2019 | SR-OCC-2019-010 | The Options Clearing Corporation | Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk |
| 34-87717 | Dec 11, 2019 | SR-OCC-2019-009 | The Options Clearing Corporation | Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology |
| 34-87603 | Nov 22, 2019 | SR-OCC-2019-007 | The Options Clearing Corporation | Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility View Received Comments |
| 34-87577 | Nov 20, 2019 | SR-OCC-2019-008 | The Options Clearing Corporation | Order Approving Proposed Rule Change To Establish a Regulatory Committee of the Options Clearing Corporation's Board of Directors |