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PFMI Disclosures

In accordance with best-practice guidance issued by the Committee on Payments and Market Infrastructures and the Board of the International Organization of Securities Commissions (CPMI-IOSCO), OCC publishes disclosures concerning CPMI-IOSCO's Principles for Financial Market Infrastructures (PFMI). These disclosures demonstrate OCC's commitment to transparency with regard to OCC's governance, risk management, and operations. They are intended to provide relevant information regarding the risks OCC faces as a central counterparty. Inquiries regarding either disclosure may be directed to PFMIdisclosures@theocc.com.

Disclosure Framework

The disclosure framework is a narrative discussion constituting OCC's response to the PFMI. The framework is updated on an as-needed basis, but not less than every two years.

Principles for Financial Market Infrastructures Disclosure (PDF) Updated 04/09/2020

Quantitative Disclosure

The quantitative disclosure is a complement to the narrative disclosure, and is also based on the PFMI. Data in the quantitative disclosure include the value of financial resources, transaction volumes, and operating metrics. The data is published on a quarterly basis with a quarter time lag.

2020

January - March (XLSX) 

2019

January - March (XLSX) 
April - June (XLSX)  
July - September (XLSX)
October - December (XLSX)

2018

January - March (XLSX) 
April - June (XLSX) 
July - September (XLSX) 
October - December (XLSX)  

2017

January - March (XLS) 
April - June (XLS) 
July - September (XLS) 
October - December (XLS)  

2016

January - March (PDF) 
April - June (PDF) 
July - September (XLS) 
October - December (XLS)  

2015

July - September (PDF)  
October - December (PDF) 

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).