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OCC Recovery and Orderly Wind-Down Plan Participant Guide

September 22, 2020

Contents

  • OCC 
    • Designation as a Systemically Important Financial Market Utility
    • Regulatory Oversight
    • Who OCC Serves
  • Purpose of Recovery and Orderly Wind-Down Plan
  • Expected Content of Recovery and Orderly Wind-Down Plan
  • Governance of Recovery and Orderly Wind-Down Plan
  • OCC’s Critical Services
  • OCC’s Default Management Waterfall
  • OCC’s Enhanced Risk Management and Recovery Tools
  • OCC’s Recovery Tools and Illustrations

Download the Guide

This OCC Recovery and Orderly Wind-Down Plan Participant Guide is intended to provide market participants with a high-level overview of OCC’s Recovery and Orderly Wind-Down Plan. Nothing in this Guide supersedes the content of OCC’s Rules, By-Laws, or Recovery and Orderly Wind-Down Plan. This Guide is subject to change.

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).