Large Options Positions Reporting

The OCC has recently developed and is currently hosting a new Large Option Position Reporting (LOPR) system. This system allows firms to submit their LOPR files to OCC to maintain compliance with NASD Rule 2860(b)(5) and the exchanges' rules.

Inbound LOPR and In Concert group submissions are received and processed by OCC to maintain a LOPR database. The OCC sends outbound rejected In Concert data, rejected LOPR submissions and backdated LOPR submissions to submitting firms and regulators. Below you will find various reference materials regarding LOPR.

• Reference Guide for LOPR Firms (PDF) - Updated to Version 1.5 on 08/25/2010
• LOPR Acknowledgement Message - Memo #26848 (PDF)
• Frequently Asked Questions (PDF) - Updated 04/16/2010

Contacts

• OCC Member Services, at (800) 621-6072 or memberservices@theocc.com

This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as a recommendation to purchase or sell a security, or to provide investment advice. Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of Characteristics and Risks of Standardized Options. Copies of this document may be obtained from your broker, from any exchange on which options are traded or by contacting The Options Clearing Corporation, One North Wacker Dr., Suite 500, Chicago, IL 60606 (1-888-678-4667).

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