3rd Quarter - Report

THE OPTIONS CLEARING CORPORATION for OPTIONS CLEARING CORPORATION

Period 3rd Quarter 2021 Filed Oct 18, 2021 Signed by Julie Bauer

Official filing
Firm
THE OPTIONS CLEARING CORPORATION
Client
OPTIONS CLEARING CORPORATION
Income
—
Expenses
$210,000
Expense method
C: businesses, Internal Revenue Code section 162(e)

What was lobbied

2 issue areas, each in the filer's own words, with who lobbied on it and where.

Financial Institutions/Investments/Securities FIN

Health and function of the listed options industry; operational issues related to delisting of securities; 2021 Discussion draft to amend the Securities Exchange Act of 1934 to establish certain requirements with respect to retail investor options trading.

LobbyistCovered position, as disclosed
JULIE BAUER —
JAMES HALL —
DANIEL SCHRAMM —

Contacted: SENATE; Treasury, Dept of; Securities & Exchange Commission (SEC); Federal Reserve System; Commodity Futures Trading Commission (CFTC); HOUSE OF REPRESENTATIVES

Taxation/Internal Revenue Code TAX

S.1005 the Modernization of Derivatives Tax Act of 2017; S.2621, the Modernization of Derivatives Tax Act of 2021

LobbyistCovered position, as disclosed
JULIE BAUER —
JAMES HALL —
DANIEL SCHRAMM —

Contacted: Securities & Exchange Commission (SEC); SENATE; Treasury, Dept of; Federal Reserve System; Commodity Futures Trading Commission (CFTC); HOUSE OF REPRESENTATIVES

Bills named: S. 2621 (117th), S. 1005 (117th)

Shown as published by the Senate Office of Public Records and the House Clerk under the Lobbying Disclosure Act. The official filing is the record; open it for the full form.