The Options Clearing Corporation (OCC)

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

Official designation
U.S. Commodity Futures Trading CommissionUS CFTC Enforcement ActionsUnited StatesFiled
Reference 8661-23cftc.gov

Supporting documents1

CFTC Orders The Options Clearing Corporation to Pay a $5 Million Penalty for Violations of Core Principles and Regulations Related to Operational Risk Management
2023-02-16
https://www.cftc.gov/PressRoom/PressReleases/8661-23

Addresses1

Chicago

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.