About occ

Our Background

Founded in 1973, OCC is the world's largest clearing organization 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. exchange-listed options and futures on a number of underlying financial assets including common stocks and stock indexes. OCC’s clearing membership consists of more than 100 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 index options.

  • Participant Exchanges

  • BOX Options Exchange LLC
  • Boston, MA
  • Cboe Exchange, Inc.
  • Chicago, IL
  • Cboe BZX Options Exchange
  • Lenexa, KS
  • Cboe C2 Exchange, Inc.
  • Chicago, IL
  • Cboe EDGX Options Exchange
  • Lenexa, KS
  • MIAX Options Exchange
  • Princeton, NJ
  • MIAX PEARL, LLC
  • Princeton, NJ
  • Nasdaq BX Options
  • New York, NY
  • Nasdaq GEMX
  • New York, NY
  • Nasdaq ISE
  • New York, NY
  • Nasdaq MRX
  • New York, NY
  • Nasdaq Options Market
  • New York, NY
  • Nasdaq PHLX
  • Philadelphia, PA
  • NYSE American Options
  • New York, NY
  • NYSE Arca Options
  • San Francisco, CA
  • Futures Markets

  • Cboe Futures Exchange, LLC
  • Chicago, IL
  • 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, 2017

  • A
  • ABN AMRO Clearing Chicago LLC
  • ABN AMRO Securities (USA) LLC
  • ADM Investor Services, Inc.
  • Advantage Futures LLC
  • American Enterprise Investment
      Services, Inc.
  • Amherst Pierpont Securities LLC
  • Apex Clearing Corporation
  • Archipelago Securities, L.L.C.
  • B
  • Barclays Capital Inc.
  • BB&T Securities, LLC
  • BBS Securities Inc.
  • 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
  • Citi Order Routing and
       Execution, LLC
  • Citigroup Global Markets Inc.
  • Compass Professional Services, LLC
  • COR Clearing LLC
  • Cowen Execution Services LLC
  • Credit Suisse Securities (USA) LLC
  • D
  • Daiwa Capital Markets America Inc.
  • Dash Financial Technologies LLC
  • Davenport & Company LLC
  • Deutsche Bank Securities Inc.
  • E
  • E D & F Man Capital Markets Inc.
  • E*TRADE Securities LLC
  • G
  • Goldman Sachs & Co. LLC
  • 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.P. Morgan Securities LLC
  • Janney Montgomery Scott LLC
  • Jefferies LLC
  • Jump Trading, LLC
  • L
  • Lakeshore Securities, L.P.
  • Lek Securities Corporation
  • LPL Financial LLC
  • M
  • Merrill Lynch Professional
      Clearing Corp.
  • Merrill Lynch, Pierce, Fenner &
      Smith Inc.
  • Mirae Asset Securities (USA), LLC
  • Mizuho Securities USA LLC
  • Morgan Stanley & Co. LLC
  • Morgan Stanley Smith Barney LLC
  • MUFG Securities Americas Inc.
  • N
  • Nasdaq Execution Services, LLC
  • National Bank Financial Inc.
  • National Bank of Canada
      Financial Inc.
  • National Financial Services LLC
  • Natixis Securities Americas LLC
  • Nomura Securities International, Inc.
  • O
  • Oppenheimer & Co. Inc.
  • P
  • Pershing LLC
  • Phillip Capital Inc.
  • 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
  • S
  • Safra Securities LLC
  • Sanford C. Bernstein & Co., LLC
  • Scotia Capital (USA) Inc.
  • Scotia Capital Inc.
  • Scottrade, Inc.
  • SG Americas Securities, LLC
  • Stephens Inc.
  • Stifel, Nicolaus & Company,
      Incorporated
  • StockCross Financial Services, Inc.
  • Straits Financial LLC
  • T
  • TD Ameritrade Clearing, Inc.
  • TD Prime Services LLC
  • TD Waterhouse Canada Inc.
  • Timber Hill LLC
  • TradeStation Securities, Inc.
  • Tradition Securities and
      Derivatives Inc.
  • U
  • UBS Financial Services Inc.
  • UBS Securities LLC
  • V
  • Vanguard Marketing Corporation
  • Virtu Americas LLC
  • Virtu Financial BD LLC
  • Vision Financial Markets LLC
  • W
  • Wedbush Securities Inc.
  • Wells Fargo Clearing Services, LLC
  • Wells Fargo Securities, LLC
  • Wolverine Execution Services, LLC
  • X
  • X-Change Financial Access, LLC
  • Z
  • Ziv Investment Company

Banks and Depository as of December 31, 2017

  • CLEARING BANKS
  • Bank of America
  • Bank of Montreal
  • Bank of New York Mellon
  • BMO Harris Bank, National
     Association
  • MUFG Union 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
  • MUFG Union 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
  • ESCROW DEPOSIT BANKS
  • Bank of America, National Association
  • Bank of New York Mellon
  • BMO Harris Bank, National
     Association
  • MUFG Union Bank, National
      Association
  • Citibank, N.A.
  • Fifth Third Bank
  • JPMorgan Chase Bank, National
      Association
  • MUFG Union Bank, National
     Association
  • Northern Trust Company
  • PNC Bank, National Association
  • State Street Bank and Trust Company
  • U.S. Bank National Association
  • UMB Bank, National Association
  • Wells Fargo Bank, National Association
  • GOVERNMENT SECURITY BANKS (U.S. Institutions)
  • Bank of New York Mellon
  • BMO Harris Bank, National
     Association
  • MUFG Union Bank, National
     Association
  • U.S. Bank National Association
  • (Non-U.S. Institutions)
  • Bank of Montreal
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