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 |
|---|---|---|---|---|
| 34-91445 | Mar 31, 2021 | SR-OCC-2021-004 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements Comments Due: April 27, 2021 Submit a Comment on SR-OCC-2021-004
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| 34-91199 | Feb 24, 2021 | SR-OCC-2021-003 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game Comments Due: March 23, 2021 View Received Comments See Also - Exhibit 5, Exhibit 5 |
| 34-91079 | Feb 8, 2021 | SR-OCC-2020-016 | The Options Clearing Corporation | Order Approving Proposed Rule Change to Concerning the Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation Comments Due: January 19, 2021 |
| 34-90960 | Jan 21, 2021 | SR-OCC-2021-002 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations Comments Due: February 17, 2021 See Also - Exhibit 5, Exhibit 5 |
| 34-90941 | Jan 19, 2021 | SR-OCC-2021-001 | 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: February 16, 2021 |
| 34-90827 | Dec 30, 2020 | SR-OCC-2020-015 | The Options Clearing Corporation | Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory |
| 34-90797 | Dec 23, 2020 | SR-OCC-2020-014 | The Options Clearing Corporation | Order Approving Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework |
| 34-90763 | Dec 21, 2020 | SR-OCC-2020-016 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation |
| 34-90712 | Dec 17, 2020 | SR-OCC-2020-013 | The Options Clearing Corporation | Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan |
| 34-90603 | Dec 8, 2020 | SR-OCC-2020-015 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in The Options Clearing Corporation's Stress Testing Inventory |