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 descending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-97525 | May 18, 2023 | SR-OCC-2023-003 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change by The Options Clearing Corporation Concerning Clearing Member Cybersecurity Obligations |
| 34-97484 | May 11, 2023 | SR-OCC-2023-004 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation to Amend and Enhance the Options Clearing Corporation's Model Risk Management Policy Comments Due: June 7, 2023 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-OCC-2023-004
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| 34-97439 | May 5, 2023 | SR-OCC-2023-002 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards |
| 34-97225 | Mar 30, 2023 | SR-OCC-2023-003 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change to Amend the Stress Testing Framework and Liquidity Risk Management Framework Comments Due: April 26, 2023 View Received Comments |
| 34-97178 | Mar 21, 2023 | SR-OCC-2022-012 | The Options Clearing Corporation | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit Comments Due: 15 days after publication in the Federal Register Rebuttal comments due: 29 days after publication in the Federal Register View Received Comments |
| 34-97150 | Mar 15, 2023 | SR-OCC-2023-002 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Amendment of its Clearing Membership Standards. Comments Due: 21 days after publication in the Federal Register See Also - Exhibit 2, Exhibit 5a, Exhibit 5b |
| 34-96948 | Feb 17, 2023 | SR-OCC-2023-001 | 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: March 16, 2023 View Received Comments See Also - Exhibit 3, Exhibit 5 |
| 34-96797 | Feb 3, 2023 | SR-OCC-2022-012 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the Options Clearing Corporation's Collateral Haircuts and Standards for Clearing Banks and Letters of Credit Comments Due: January 13, 2023 View Received Comments |
| 34-96566 | Dec 22, 2022 | SR-OCC-2022-010 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning a Risk Management Framework and Corporate Risk Management Policy |
| 34-96533 | Dec 19, 2022 | SR-OCC-2022-012 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit Comments Due: January 13, 2023 View Received Comments See Also - Exhibit 3a-3c, Exhibit 5a, Exhibit 5b-d |