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 |
|---|---|---|---|---|
| 34-88974 | May 29, 2020 | SR-OCC-2020-005 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Clearing Members To Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades See Also - Exhibit 5, Exhibit 5 |
| 34-88690 | Apr 20, 2020 | SR-OCC-2020-003 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management See Also - Exhibit 5a, Exhibit 5a |
| 34-88654 | Apr 15, 2020 | SR-OCC-2020-004 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change To Modify the Sequence for Processing Options Transactions See Also - Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5, Exhibit 3a, Exhibit 3b, Exhibit 3c, Exhibit 5 |
| 34-88511 | Mar 30, 2020 | SR-OCC-2020-002 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees See Also - Exhibit 5, Exhibit 5 |
| 34-88310 | Mar 2, 2020 | SR-OCC-2020-001 | The Options Clearing Corporation | Order Approving Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates |
| 34-88029 | Jan 24, 2020 | SR-OCC-2019-007 | The Options Clearing Corporation | Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility View Received Comments |
| 34-88030 | Jan 24, 2020 | SR-OCC-2020-001 | The Options Clearing Corporation | Notice on Non-Expiration Dates |
| 34-87774 | Dec 17, 2019 | SR-OCC-2019-011 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc. See Also - Exhibit 5, Exhibit 5 |
| 34-87718 | Dec 11, 2019 | SR-OCC-2019-010 | The Options Clearing Corporation | Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk |
| 34-87717 | Dec 11, 2019 | SR-OCC-2019-009 | The Options Clearing Corporation | Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology |