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 |
|---|---|---|---|---|
| 34-103779 | Aug 26, 2025 | SR-OCC-2025-012 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Execution of the Clearing Member Agreement and the Non-U.S. Clearing Member Agreement. Comments Due: September 19, 2025 See Also - Exhibit 3a, Exhibit 3b, Exhibit 5a, Exhibit 5b Submit a Comment on SR-OCC-2025-012
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| 34-103738 | Aug 18, 2025 | SR-OCC-2025-011 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Execution of the Amended and Restated Participant Exchange Agreement. Comments Due: September 11, 2025 See Also - Exhibit 3, Exhibit 5 |
| 34-103677 | Aug 11, 2025 | SR-OCC-2025-007 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Updates to its Portfolio Revaluation Process for Purposes of Determining Intraday Margin Calls in Order to Better Manage OCC’s Intraday Risk Exposure to its... View Received Comments |
| 34-103597 | Jul 30, 2025 | SR-OCC-2025-009 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to OCC’s Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description (“Methodology Description”) and... |
| 34-103587 | Jul 30, 2025 | SR-OCC-2025-005 | The Options Clearing Corporation | Order Approving 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 (“RWD Plan”) |
| 34-103521 | Jul 22, 2025 | SR-OCC-2025-010 | The Options Clearing Corporation | Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Changes to Codify in OCC’s By-Laws That a Clearing Member May Submit Adjustments to Its Positions with OCC for Any Purpose Permissable... Comments Due: August 15, 2025 See Also - Exhibit 5 |
| 34-103493 | Jul 17, 2025 | SR-OCC-2025-007 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, Concerning Updates to The Options Clearing Corporation’s Portfolio Revaluation Process for Purposes of Determining Intraday Margin Calls in Order to Better Manage... View Received Comments |
| 34-103436 | Jul 11, 2025 | SR-OCC-2025-006 | The Options Clearing Corporation | Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation concerning the adoption of the Amended and Restated Participant Exchange Agreement between OCC and each of the national securities exchanges that list equity options View Received Comments |
| 34-103308 | Jun 24, 2025 | SR-OCC-2025-009 | The Options Clearing Corporation | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to OCC’s Comprehensive Stress Testing & Clearing Fund Methodology, and Liquidity Risk Management Description (“Methodology Description”) and Clearing Fund M See Also - Exhibit 3a, Exhibit 3b, Exhibit 5a, Exhibit 5b |
| 34-103280 | Jun 17, 2025 | SR-OCC-2025-005 | The Options Clearing Corporation | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to OCC’s Recovery and Orderly Wind-Down Plan (“RWD Plan” or “Plan”) To Align With the Recently... |