The Options Clearing Corporation Rulemaking
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Self-Regulatory Organization Rulemaking Table
File Number
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SRO Organization
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Details
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Release Number:34-91483 | SEC Issue Date:Apr 6, 2021 | File Number:SR-OCC-2021-003 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game Comments Due: March 23, 2021 View Received Comments Submit a Comment on SR-OCC-2021-003
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Release Number:34-91445 | SEC Issue Date:Mar 31, 2021 | File Number:SR-OCC-2021-004 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements Comments Due: April 27, 2021 |
Release Number:34-91199 | SEC Issue Date:Feb 24, 2021 | File Number:SR-OCC-2021-003 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game Comments Due: March 23, 2021 View Received Comments See Also - Exhibit 5, Exhibit 5 |
Release Number:34-91079 | SEC Issue Date:Feb 8, 2021 | File Number:SR-OCC-2020-016 | SRO Organization:The Options Clearing Corporation |
Details: Order Approving Proposed Rule Change to Concerning the Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation Comments Due: January 19, 2021 |
Release Number:34-90960 | SEC Issue Date:Jan 21, 2021 | File Number:SR-OCC-2021-002 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations Comments Due: February 17, 2021 See Also - Exhibit 5, Exhibit 5 |
Release Number:34-90941 | SEC Issue Date:Jan 19, 2021 | File Number:SR-OCC-2021-001 | SRO Organization:The Options Clearing Corporation |
Details: 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 Comments Due: February 16, 2021 |
Release Number:34-90827 | SEC Issue Date:Dec 30, 2020 | File Number:SR-OCC-2020-015 | SRO Organization:The Options Clearing Corporation |
Details: Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory |
Release Number:34-90797 | SEC Issue Date:Dec 23, 2020 | File Number:SR-OCC-2020-014 | SRO Organization:The Options Clearing Corporation |
Details: Order Approving Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework |
Release Number:34-90763 | SEC Issue Date:Dec 21, 2020 | File Number:SR-OCC-2020-016 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation ("STANS") Methodology Documentation |
Release Number:34-90712 | SEC Issue Date:Dec 17, 2020 | File Number:SR-OCC-2020-013 | SRO Organization:The Options Clearing Corporation |
Details: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan |