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 |
|---|---|---|---|---|
| 34-100664 | Aug 6, 2024 | SR-OCC-2024-010 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by the Options Clearing Corporation to Establish a Margin Add-On Charge That Would Be Applied to All Clearing Member Accounts to Help Mitigate the Risks Arising from Intraday and Overnight Trading Activity Comments Due: 21 days after publication in the Federal Register. See Also - Exhibit 3a - 3d, Exhibit 5a, Exhibit 5b Submit a Comment on SR-OCC-2024-010
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| 34-100584 | Jul 24, 2024 | SR-OCC-2024-009 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Regarding Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge Comments Due: August 20, 2024 See Also - Exhibit 3A-3D, Exhibit 5A, Exhibit 5B-5D |
| 34-100552 | Jul 18, 2024 | SR-OCC-2024-001 | The Options Clearing Corporation | 34-100552 Comments Due: May 17, 2024 View Received Comments |
| 34-100528 | Jul 15, 2024 | SR-OCC-2024-008 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Modification of its Margin Methodology, System for Theoretical Analysis and Numerical (STANS), to Conform its Margin Model to the Cont Comments Due: August 9, 2024 See Also - Exhibit 5 |
| 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 |
| 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 View Received Comments |
| 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 |