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OCC Comments Regarding the Adoption of an Options Exchange Risk Control Standards Policy

OCC submitted a letter to the SEC in response to comments made by market participants on OCC's recent proposal regarding the adoption on an Options Exchange "Risk Controls Standards Policy." OCC's Policy would address risks from transactions that are executed on an options exchange that does not adhere to certain risk controls that are consistent with a set of principles-based Risk Controls Standards which were developed by OCC, in cooperation with the options exchanges, and impose a fee for trades executed on an options exchange that is not compliant with the Risk Controls Standards. The Proposal is intended to control risk and protect OCC against potentially very large losses that, in extreme cases, could threaten the stability of the U.S. listed options market.

This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as an endorsement, recommendation or solicitation 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 the disclosure document, Characteristics and Risks of Standardized Options. Individuals should not enter into option transactions until they have read and understood this document. To obtain copies, contact your broker, any exchange on which options are traded, or The Options Clearing Corporation, 125 S. Franklin Street, Suite 1200, Chicago, IL 60606 (investorservices@theocc.com).