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 |
|---|---|---|---|---|
| 34-90941 | 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 Submit a Comment on SR-OCC-2021-001
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| 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 |
| 34-90464 | Nov 19, 2020 | SR-OCC-2020-011 | The Options Clearing Corporation | Order Approving Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange |
| 34-90406 | Nov 12, 2020 | SR-OCC-2020-014 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework See Also - Exhibit 5a, Exhibit 5a |
| 34-90315 | Nov 3, 2020 | SR-OCC-2020-013 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan |
| 34-90139 | Oct 8, 2020 | SR-OCC-2020-012 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model |