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 |
|---|---|---|---|---|
| 34-101412 | Oct 23, 2024 | SR-OCC-2024-011 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, by the Options Clearing Corporation Concerning Its Stock Loan Programs |
| 34-101246 | Oct 3, 2024 | SR-OCC-2024-014 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment no. 1, by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When See Also - Exhibit 3A-3F, Exhibit 5 |
| 34-101189 | Sep 25, 2024 | SR-OCC-2024-013 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to its By-Laws and Rules Primarily to Discontinue Certain Outmoded or Unused Products and Services See Also - Exhibit 3, Exhibit 5a, Exhibit 5b |
| 34-101193 | Sep 25, 2024 | SR-OCC-2024-010 | The Options Clearing Corporation | Notice of Filing of Partial Amendment No. 1 and Designation of Longer Period for Commission Action on 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 Hel View Received Comments |
| 34-101151 | Sep 24, 2024 | SR OCC-2024-012 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Updates to OCC’s Capital Management Policy Comments Due: October 21, 2024 See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c Submit a Comment on SR OCC-2024-012
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| 34-101095 | Sep 18, 2024 | SR-OCC-2024-001 | The Options Clearing Corporation | Notice of Withdrawal of a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Mar View Received Comments |
| 34-100998 | Sep 11, 2024 | SR-OCC-2024-009 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge |
| 34-100930 | Sep 4, 2024 | SR-OCC-2024-011 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Its Stock Loan Programs See Also - Exhibit 3a, Exhibit 3b, Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d |
| 34-100664 | Aug 6, 2024 | SR-OCC-2024-010 | The Options Clearing Corporation | Notice of Filing of 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 Trading Activity View Received Comments See Also - Exhibit 3a - 3d, Exhibit 5a, Exhibit 5b |
| 34-100584 | Jul 24, 2024 | SR-OCC-2024-009 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Regarding Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge See Also - Exhibit 3A-3D, Exhibit 5A, Exhibit 5B-5D |