SEC
Whistleblower
Attorneys

September 04, 2019

The Options Clearing Corporation

Trading and Pricing

SANCTION AMOUNT: $15000000

Defendants: The Options Clearing Corporation

Respondent, the U.S.’s sole registered clearing agency for exchange-listed option contracts on equities, agreed to settle charges that it failed to establish and enforce policies and procedures involving financial risk management, operational requirements and information-systems security, and changed policies on core risk management issues without obtaining required SEC approval.

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