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 |
|---|---|---|---|---|
| 34-91935 | May 19, 2021 | SR-OCC-2021-004 | The Options Clearing Corporation | Order Granting Approval 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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| 34-91920 | May 18, 2021 | SR-OCC-2021-006 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees Comments Due: June 14, 2021 See Also - Exhibit 5, Exhibit 5 |
| 34-91833 | May 10, 2021 | SR-OCC-2021-005 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model Comments Due: June 4, 2021 |
| 34-91483 | Apr 6, 2021 | SR-OCC-2021-003 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game Comments Due: March 23, 2021 View Received Comments |
| 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 |
| 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 |