2020 Annual Report

OCC is the foundation for secure markets.

OCC is the world's largest equity derivatives clearing organization. Founded in 1973, OCC operates under the jurisdiction of both the U.S. Securities and Exchange Commission (SEC) as a registered clearing agency and the U.S. Commodity Futures Trading Commission (CFTC) as a Derivatives Clearing Organization. Named 2020 Best Clearing House – Equities by Markets Media for the third consecutive year, OCC now provides central counterparty (CCP) clearing and settlement services to 19 exchanges and trading platforms for options, financial futures, and securities lending transactions. More information about OCC is available at theocc.com.

 

 

 

This Annual Report is issued solely for the purpose of providing information to stockholders, clearing members and other interested persons. The information provided herein should not be construed as a representation, prospectus, or circular with respect to any option or other security. Further, this Annual Report is not transmitted in connection with a sale of or offer to sell, or purchase of or offer to purchase, any security or other interest issued or hereafter to be issued by The Options Clearing Corporation.
 
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 Emerald LLC
    Princeton, NJ
  • MIAX Options Exchange
    Princeton, NJ
  • MIAX PEARL, LLC
    Princeton, NJ
  • Nasdaq BX Options
    Philadelphia, PA
  • Nasdaq GEMX
    Philadelphia, PA
  • Nasdaq ISE
    Philadelphia, PA
  • Nasdaq MRX
    Philadelphia, PA
  • Nasdaq Options Market
    Philadelphia, PA
  • Nasdaq PHLX LLC
    Philadelphia, PA
  • NYSE American Options
    New York, NY
  • NYSE Arca Options
    San Franciso, CA

Futures Markets

  • Cboe Futures Exchange LLC
    Chicago, IL
  • Small Exchange, Inc.
    Chicago, IL

Alternate Trading Systems
(Securities Lending)

  • Equilend Clearing Services, LLC.
    New York, NY

Clearing Members
as of December 31, 2020

  • A
    • ABN AMRO Clearing Chicago 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.
    • Axos Clearing LLC
  • B
    • B. Riley Securities, Inc.
    • Barclays Capital Inc.
    • BB&T Securities, LLC
    • BMO Capital Markets Corp.
    • BMO Nesbitt Burns, Inc.
    • BNP Paribas Securities Corp.
    • BofA Securities, Inc.
    • Broadridge Business Process Outsourcing, LLC
  • C
    • Canaccord Genuity Corp.
    • Cantor Fitzgerald & Co.
    • CF Secured, LLC
    • Charles Schwab & Co., Inc.
    • CI Investment Services Inc.
    • CIBC World Markets Corp.
    • CIBC World Markets Inc.
    • Citadel Clearing LLC
    • Citadel Securities LLC
    • Citigroup Global Markets Inc.
    • Clear Street LLC
    • Cowen and Company, LLC
    • Credit Suisse Securities (USA) LLC
    • Curvature Securities 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
    • Electronic Transaction Clearing, Inc.
  • F
    • Futu Clearing Inc.
  • 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
  • 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
    • Marex North America LLC
    • Merrill Lynch Professional Clearing Corp.
    • Merrill Lynch, Pierce, Fenner & Smith Inc.
    • Mirae Asset Securities (USA), Inc.
    • Mizuho Securities USA LLC
    • Morgan Stanley & Co. LLC
    • Morgan Stanley Smith Barney LLC
    • MUFG Securities Americas Inc.
    • Muriel Siebert & Co., Inc.
  • N
    • Nasdaq Execution Services, LLC
    • National Bank Financial Inc.
    • National Bank of Canada Financial Inc.
    • National Financial Services LLC
    • Natixis Securities Americas LLC
    • NatWest Markets Securities Inc.
    • 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.
    • Robert W. Baird & Co. Incorporated
    • Robinhood Securities, LLC
  • S
    • Safra Securities LLC
    • Sanford C. Bernstein & Co., LLC
    • Scotia Capital (USA) Inc.
    • Scotia Capital Inc.
    • SG Americas Securities, LLC
    • Stifel, Nicolaus & Company, Incorporated
    • StoneX Financial 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
    • Velocity Capital LLC
    • Velox Clearing LLC
    • Virtu Americas LLC
    • Vision Financial Markets LLC
    • Volant Execution, 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, 2020

  • 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
    • HSBC Bank USA, National Association
    • PNC Bank, National Association
    • U.S. Bank National Association
    • Wells Fargo Bank, National Association
  • (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
    • Brown Brothers Harriman and Co.
    • Citibank, National Association
    • 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
    • Wells Fargo Bank, National Association
  • GOVERNMENT SECURITY BANKS
    (U.S. Institutions)
    • Bank of New York Mellon
    • BMO Harris Bank, National Association
    • U.S. Bank National Association
  • (Non-U.S. Institutions)
    • Bank of Montreal
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