About OCC

Our Background

Founded in 1973, OCC is the largest clearing organization in the world for equity derivatives. Operating under the jurisdiction of the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC), OCC issues and clears U.S.-listed options and futures on a number of underlying financial assets including common stocks, currencies and stock indexes. OCC’s clearing membership consists of approximately 115 of the largest U.S. broker-dealers, U.S. futures commission merchants and non-U.S. securities firms representing both professional traders and public customers. The stockholder exchanges share equal ownership of OCC. This ownership, along with a significant clearing member and public director presence on the Board of Directors, ensures a continuing commitment to servicing the needs of OCC’s participant exchanges, clearing members and their customers. OCC provides clearing services for options, financial and commodity futures, security futures, securities lending transactions and over-the-counter equity options.

  • Participant Exchanges

  • BATS Exchange, Inc.
  • Lenexa, KS
  • BOX Options Exchange LLC
  • Boston, MA
  • C2 Options Exchange, Incorporated
  • Chicago, IL
  • Chicago Board Options Exchange, Incorporated
  • Chicago, IL
  • EDGX Exchange, Inc.
  • Lenexa, KS
  • International Securities Exchange, LLC
  • New York, NY
  • ISE Gemini, LLC
  • New York, NY
  • Miami International Securities Exchange, LLC
  • Princeton, NJ
  • NASDAQ OMX BX, Inc.
  • Boston, MA
  • NASDAQ OMX PHLX, LLC
  • Philadelphia, PA
  • The NASDAQ Stock Market LLC
  • New York, NY
  • NYSE Arca, Inc.
  • Chicago, IL
  • NYSE MKT LLC
  • New York, NY
  • Futures Markets

  • CBOE Futures Exchange, LLC
  • Chicago, IL
  • ELX Futures, LP
  • New York, NY
  • NASDAQ Futures, Inc.
  • Philadelphia, PA
  • OneChicago, LLC
  • Chicago, IL
  • Alternate Trading Systems
    (Securities Lending)

  • Automated Equity Finance Markets, Inc.
  • New York, NY

Clearing Members as of December 31, 2015

  • A
  • ABN AMRO Clearing Chicago LLC
  • ABN AMRO Securities (USA) LLC
  • ADM Investor Services, Inc.
  • Advantage Futures LLC
  • Albert Fried & Company, LLC
  • American Enterprise Investment
      Services, Inc.
  • Amherst Pierpont Securities LLC
  • Apex Clearing Corporation
  • Archipelago Securities, L.L.C.
  • Automated Trading Desk Financial
      Services, LLC
  • B
  • Banca IMI Securities Corp.
  • Barclays Capital Inc.
  • BB&T Securities, LLC
  • Bloomberg Tradebook LLC
  • BMO Capital Markets Corp.
  • BMO Nesbitt Burns, Inc.*
  • BNP Paribas Prime Brokerage, Inc.
  • BNP Paribas Securities Corp.
  • Broadridge Business Process
      Outsourcing, LLC
  • C
  • C.L. King & Associates, Inc.
  • Canaccord Genuity Corp.*
  • Cantor Fitzgerald & Co.
  • Charles Schwab & Co., Inc.
  • CIBC World Markets Corp.
  • CIBC World Markets Inc.*
  • Citadel Clearing LLC
  • Citadel Securities LLC
  • Citigroup Global Markets Inc.
  • Commerz Markets LLC
  • Compass Professional Services, LLC
  • ConvergEx Execution Solutions LLC
  • COR Clearing LLC
  • Credit Suisse Securities (USA) LLC
  • CSS, LLC
  • D
  • Daiwa Capital Markets America Inc.
  • Dash Financial LLC
  • Deutsche Bank Securities Inc.
  • DST Market Services, LLC
  • E
  • E D & F Man Capital Markets Inc.
  • E*TRADE Clearing LLC
  • F
  • First Clearing, LLC
  • First Southwest Company, LLC
  • G
  • Goldman, Sachs & Co.
  • Goldman Sachs Execution &
      Clearing, L.P.
  • H
  • Hilltop Securities Inc.
  • HSBC Securities (USA) Inc.
  • I
  • ICAP Corporates LLC
  • Industrial and Commercial Bank of
      China Financial Services LLC
  • ING Financial Markets LLC
  • Ingalls & Snyder LLC
    Instinet, LLC
  • Interactive Brokers LLC
  • INTL FCStone Financial Inc.
  • ITG Inc.
  • J
  • J.J.B. Hilliard, W.L. Lyons, LLC
  • J.P. Morgan Clearing Corp.
  • J.P. Morgan Securities LLC
  • Janney Montgomery Scott LLC
  • Jefferies LLC
  • Jump Trading, LLC
  • K
  • KCG Americas LLC
  • L
  • Lakeshore Securities, L.P.
  • Lek Securities Corporation
  • LPL Financial LLC
  • M
  • Maple Securities U.S.A. Inc.
  • Merrill Lynch, Pierce, Fenner &
      Smith Inc.
  • Merrill Lynch Professional
      Clearing Corp.
  • Mitsubishi UFJ Securities (USA), Inc.
  • Mizuho Securities USA Inc.
  • Morgan Stanley & Co. LLC
  • Morgan Stanley Smith Barney LLC
  • N
  • Nasdaq Execution Services, LLC
  • National Bank of Canada
      Financial Inc.
  • National Financial Services LLC
  • Natixis Securities Americas LLC
  • NBCN Inc.*
  • Nomura Securities International, Inc.
  • O
  • Oppenheimer & Co. Inc.
  • optionsXpress, Inc.
  • P
  • Pershing LLC
  • Phillip Capital Inc.
  • Piper Jaffray & Co.
  • Q
  • Questrade Inc.*
  • R
  • R.J. O’Brien & Associates, LLC
  • Raymond James & Associates, Inc.
  • RBC Capital Markets, LLC
  • RBC Dominion Securities Inc.*
  • RBS Securities Inc.
  • Robert W. Baird & Co. Incorporated
  • Rosenthal Collins Group, LLC
  • S
  • Safra Securities LLC
  • Sanford C. Bernstein & Co., LLC
  • Scotia Capital Inc.*
  • Scotia Capital (USA) Inc.
  • Scottrade, Inc.
  • SG Americas Securities, LLC
  • Stephens Inc.
  • Stifel Nicolaus & Company
      Incorporated
  • StockCross Financial Services, Inc.
  • T
  • TD Ameritrade Clearing, Inc.
  • TD Securities (USA) LLC
  • TD Waterhouse Canada Inc.*
  • Timber Hill LLC
  • TradeStation Securities, Inc.
  • U
  • UBS Financial Services Inc.
  • UBS Securities LLC
  • V
  • Vanguard Marketing Corporation
  • Virtu Financial BD LLC
  • Vision Financial Markets LLC
  • W
  • Wedbush Securities Inc.
  • Wells Fargo Advisors, LLC
  • Wells Fargo Securities, LLC
  • William Blair & Company, L.L.C.
  • Wolverine Execution Services, LLC
  • X
  • X-Change Financial Access, LLC
  • Z
  • Ziv Investment Company
  •  
  • *Non-U.S. Clearing Member

Banks and Depository as of December 31, 2015

  • CLEARING BANKS
  • Bank of America, National
      Association
  • Bank of Montreal
  • Bank of New York Mellon
  • BMO Harris Bank, National
      Association
  • Brown Brothers Harriman and Co.
  • Citibank, N.A.
  • JPMorgan Chase Bank, National
      Association
  • U.S. Bank National Association
  • APPROVED DEPOSITORY
  • The Depository Trust Company
  • LETTER OF CREDIT BANKS
    (U.S. Institutions)
  • Bank of America, National
      Association
  • Bank of New York Mellon
  • BMO Harris Bank, National
      Association
  • JPMorgan Chase Bank, National
      Association
  • PNC Bank, National Association
  • U.S. Bank National Association
  • Wells Fargo Bank, National
      Association
  • LETTER OF CREDIT BANKS
    (Non-U.S. Institutions)
  • Australia and New Zealand Banking
      Group Limited
  • National Australia Bank Limited
  • Royal Bank of Canada
  • ESCROW DEPOSIT BANKS
  • Bank of America, National
      Association
  • Bank of New York Mellon
  • BMO Harris Bank, National
      Association
  • Citibank, N.A.
  • Comerica Bank
  • Fifth Third Bank
  • JPMorgan Chase Bank, National
      Association
  • Northern Trust Company
  • PNC Bank, National Association
  • State Street Bank and Trust
      Company
  • SunTrust Bank
  • U.S. Bank National Association
  • Union Bank, National Association
  • Wells Fargo Bank, National
      Association
  • GOVERNMENT DELIVERY BANKS
  • Bank of New York Mellon
  • BMO Harris Bank, National
      Association
  • JPMorgan Chase Bank, National
      Association
  • U.S. Bank National Association
  • CANADIAN GOVERNMENT
  • DEPOSITORY BANK
  • Bank of Montreal