Division of Trading and Markets No-Action Letter Regarding OCC Request to Extend Relief for a Limited Waiver of Its By-Laws and Rules

The Staff of the Division of Trading and Markets has stated in the attached letter that, if the Options Clearing Corporation ("OCC") waives the applicability of certain of its By-Laws and Rules and permits Broadridge Securities Processing Solutions to act as a Managing Clearing Member of OCC for a limited period, it would not recommend enforcement against the OCC.

Click here to view letter in full (links externally to SEC website).