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OCC Schedule of Fees - January 2008
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CLEARING
MEMBER
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Clearing
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Clearing
Fees*
| Trades with contracts of: |
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1 - 500
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$
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.03 |
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501 - 1,000
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$
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.024 |
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1,001 - 2,000
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$ 18.00 per trade
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Greater than 2,000
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$ 18.00 per trade |
* Discounted fees in effect until further action by the OCC Board of Directors.
New
Products
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From first day of listing through the end of the following calendar month:
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$ 0.00 |
| Thereafter reverts to clearing fees specified above. |
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Market
Maker / Specialist Scratch per side
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$
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.01
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Minimum
Monthly Clearing Fee
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$
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200.00
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Exercise
Fee - per line item on exercise notice
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$
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1.00
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Membership
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New
Clearing Member Qualification Fee
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$
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4,000.00
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Stamps
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Clearing Member Authorization Stamp
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$
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23.00
per stamp
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Ancillary
Services
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TIER
I
For First Clearing Number:
- ENCORE Access
- MyOCC Access
- Data Service - proprietary position and trade data (includes transmission to service bureau)
- Report Bundle
- Series File
- Open Interest File
- Prices File
- Stock Loan File
- Theoretical Profit and Loss Values
- Leased line charges are additional
$ 2,100.00 per month
For Each Additional Clearing Number
(Applies to TIERS I, II, and III)
- ENCORE Access
- MyOCC Access
- Data Service - proprietary position and trade data
- Report Bundle
$
850.00 per clearing number,
per month
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TIER II
- ENCORE Access
- MyOCC Access
- Data Service - proprietary position and trade data
- Report Bundle
- Leased line charges are additional
$ 1,650.00 per month
TIER
III
- ENCORE Access
- MyOCC Access
$ 950.00 per month
TIER
IV (Stock Loan
only)
- ENCORE Access
-
MyOCC Access
$ 400.00 per month
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Leased
Line Services
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- T1 line to a Midwest Destination
- T1 line to an East Coast Destination
- T1 line to a West Coast Destination
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$ 1,500.00 per month, per line
$ 2,500.00 per month, per line
$ 3,500.00 per month, per line
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CLEARING MEMBER / NON-CLEARING MEMBER
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Publications/Brochures
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| Disclosure Documents |
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"Understanding Stock
Options"
(quantities of 99 or less)
(quantities of 100 or more)
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"Taxes & Investing:
A Guide for the Individual Investor"
(quantities of 99 or less)
(quantities of 100 or more)
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"LEAPS® (Long-Term
Equity Anticipation Securities®)"
(quantities of 99 or less)
(quantities of 100 or more)
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OCC/ICC By-Laws and Rules
(Updates can be obtained on a subscription basis for $47.00 per year.)
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NON-CLEARING
MEMBER
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Series
Information
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Non-Clearing
Member
- Non-Distribution
- Distribution |
$ 1,750.00 per month
$ 3,000.00 per month
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Prices Information |
Non-Clearing Member
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$ 3,000.00 per month |
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Theoretical Profit and Loss Values*
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Non-Clearing
Member
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$
1,000.00 per month
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ESCROW BANKS |
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Escrow Program Fees |
Escrow Bank Monthly Program Fee
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$ 200.00 |
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ALL
FEES ARE SUBJECT TO CHANGE
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| For further information, contact Member Services at 1-800-621-6072 or refer to OCC's Member Services Brochure. |
* The fee referenced herein applies to non-clearing members who receive Theoretical Profit and Loss Values via mainframe transmission or FTP. Non-clearing members who receive Theoretical Profit and Loss Values via TIO after October 1, 2007, will continue to be charged current TIO fees for the Data.
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