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 |
|---|---|---|---|---|
| 34-102962 | May 1, 2025 | SR-OCC-2025-005 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation concerning modifications to OCC’s Recovery and Orderly Wind-Down Plan (“RWD Plan” or “Plan”) to align with the recently adopted SEC... See Also - Exhibit 3, Exhibit 5 |
| 34-102768 | Apr 3, 2025 | SR-OCC-2024-010 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change, as modified by Partial Amendment No. 1 and Amendments Nos. 2 and 3, by The Options Clearing Corporation to Establish a Margin Add-On Charge That Would Be Applied to All Clearing Member Accounts to Help Miti View Received Comments |
| 34-102758 | Apr 2, 2025 | SR-OCC-2025-004 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning a change in the maximum contingent Operational Loss Fee listed in OCC’s schedule of fees in accordance with OCC’s Capital Management Policy Comments Due: April 29, 2025 See Also - Exhibit 3, Exhibit 5 Submit a Comment on SR-OCC-2025-004
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| 34-102522 | Mar 5, 2025 | SR-OCC-2025-003 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Updates to Various Contracts and Forms that, in Conjunction with OCC’s By-Laws and Rules, Establish and Govern the Relationship Between... Comments Due: April 1, 2025 See Also - Exhibit 5a - 5o, Rule 19b-4 Information |
| 34-102437 | Feb 18, 2025 | SR-OCC-2025-002 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update The Options Clearing Corporation’s Schedule of Fees Comments Due: March 17, 2025 View Received Comments See Also - Rule19b-4 Information, Exhibit 5 |
| 34-102436 | Feb 18, 2025 | SR-OCC-2024-017 | The Options Clearing Corporation | Notice of Withdrawal of a Proposed Rule Change to Update the Options Clearing Corporation’s Schedule of Fees View Received Comments |
| 34-102358 | Feb 5, 2025 | SR-OCC-2024-010 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1 and Amendments Nos. 2 and 3, by The Options Clearing Corporation to Es View Received Comments |
| 34-102284 | Jan 27, 2025 | SR-OCC-2025-001 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Risk Policies Comments Due: February 21, 2025 See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c |
| 34-102202 | Jan 15, 2025 | SR-OCC-2024-010 | The Options Clearing Corporation | Notice of Filing of Amendment No. 3 to 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 Tradi View Received Comments See Also - Exhibit 3a, Exhibit 4b, Exhibit 5a, Exhibit 5b, Exhibit 4a |
| 34-102203 | Jan 15, 2025 | SR-OCC-2024-016 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Enhancements to the System for Theoretical Analysis and Numerical Simulations (“STANS”) and OCC’s Comprehensive Stress Testing (“CST”) Methodology, to Better Ca |