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 ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 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 Submit a Comment on SR-OCC-2024-009
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| 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 Comments Due: October 1, 2024 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 Comments Due: September 3, 2024 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 |
| 34-100552 | Jul 18, 2024 | SR-OCC-2024-001 | The Options Clearing Corporation | 34-100552 View Received Comments |
| 34-100528 | Jul 15, 2024 | SR-OCC-2024-008 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Modification of its Margin Methodology, System for Theoretical Analysis and Numerical (STANS), to Conform its Margin Model to the Cont Comments Due: August 9, 2024 See Also - Exhibit 5 |
| 34-100455 | Jul 2, 2024 | SR-OCC-2024-006 | The Options Clearing Corporation | Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules and Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description |
| 34-100261 | Jun 3, 2024 | SR-OCC-2024-007 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Schedule of Fees Comments Due: June 28, 2024 See Also - Exhibit 5 |
| 34-100194 | May 21, 2024 | SR-OCC-2024-005 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to its Board Charter and Risk Committee Charter to Align With Recently Adopted CFTC Governance Requirements for Derivatives C Comments Due: June 18, 2024 See Also - Exhibit 3, Exhibit 5A, Exhibit 5B |