The Options Clearing Corporation

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occ

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Registered Clearing Agencies

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...
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”)
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...
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...
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
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
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..
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...
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning The Adoption of a New Clearing Agreement That Would Permit OCC to Provide Clearing and Settlement Services to MIAX Subject to All...
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning The Adoption of a New Clearing Agreement That Would Permit OCC to Provide Clearing and Settlement Services to MIAX Subject to All...
Notice of Filing 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...
Notice of Filing 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 Clearing M
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation concerning the adoption of the Amended and Restated Participant Exchange Agreement (“New RPEA”) between OCC and each of the national securities exchanges that list equity options
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation concerning the adoption of the Amended and Restated Participant Exchange Agreement (“New RPEA”) between OCC and each of the national securities exchanges that list equity options
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...
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...
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
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
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
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...
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...
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update The Options Clearing Corporation’s Schedule of Fees
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update The Options Clearing Corporation’s Schedule of Fees
Notice of Withdrawal of a Proposed Rule Change to Update the Options Clearing Corporation’s Schedule of Fees
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
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Risk Policies
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Risk Policies
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
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
Order Granting Approval 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 Perio
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s By-Laws
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Options Clearing Corporation’s Schedule of Fees
Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to its Governance Documents to Align with Recently Adopted SEC Governance Rules
Notice of Filing 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 Capture t
Notice of Filing 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 Capture t
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Its Stock Loan Programs
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 Process for Adjusting Certain Parameters in Its Proprietary System for Calcula
Order Approving 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
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Partial Amendment No. 1, by The Options Clearing Corporation to Establish a Margin Add-On Charge That Would Be Applied to All Clearing Membe
Notice of Filing of Proposed Rule Change Concerning Modifications to its Governance Documents to Align with Recently Adopted SEC Governance Rules
Notice of Filing of Proposed Rule Change Concerning Modifications to its Governance Documents to Align with Recently Adopted SEC Governance Rules
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
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
SR-OCC-2024-014
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
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
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
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Updates to OCC’s Capital Management Policy
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning Updates to OCC’s Capital Management Policy
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
Order Granting Approval of Proposed Rule Change by The Options Clearing Corporation Concerning Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Its Stock Loan Programs
Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Its Stock Loan Programs
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
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
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
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Regarding Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge
Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Regarding Its Backtesting Framework and to Establish a Resource Backtesting Margin Charge
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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
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 Contr
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
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Schedule of Fees
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Schedule of Fees
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
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
Notice of Filing of 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
Notice of Filing of 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
Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change by The Options Clearing Corporation Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements Du
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Operational Loss Fee Pursuant to Its Capital Management Policy
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation’s Operational Loss Fee Pursuant to Its Capital Management Policy
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Amendment No. 2, Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and t
Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
Order Granting Proposed Rule Change Concerning Amendments to The Options Clearing Corporation's Rules, By-Laws, and Certain Clearing Member Documents
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Option Clearing Corporation’s Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Option Clearing Corporation’s Interpretative Guidance on Contract Adjustments for Cash Dividends and Distributions
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the M
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 Amendment No. 2, Concerning Modifications to the Amended and Resta
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 Amendment No. 2, Concerning Modifications to the Amended and Resta
Notice of Filing of Amendment No. 2 to Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National S
Notice of Filing of Amendment No. 2 to Proposed Rule Change by The Options Clearing Corporation Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National S
Notice of Filing of 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 Markets I
Notice of Filing of 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 Markets I
Notice of Filing of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Rules, By-Laws, and Certain Clearing Member Documents
Notice of Filing of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Rules, By-Laws, and Certain Clearing Member Documents
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Collateral Risk Management Policy and Margin Policy.
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Collateral Risk Management Policy and Margin Policy.
Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Clearing Member Cybersecurity Obligations
Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Modifications to the Amended and Restated Stock Options
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, Concerning Clearing Member Cybersecurity Obligations
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, Concerning Clearing Member Cybersecurity Obligations
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities C
Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities C
Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Notice of Filing of Proposed Rule Change Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan
Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Amendment of its Recovery and Orderly Wind-Down Plan
Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit
Order Approving Proposed Rule Change Concerning Collateral Haircuts and Standards for Clearing Banks and Letters of Credit
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Amendments to The Options Clearing Corporation’s Capital Management Policy and Cash and Investment Management Policy

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