Epstein Files Search

EFTA01393121Set 10

1p402w

Exercises are settled through the facilities of OCC. For this purpose, OCC has established banking ar- rangements permitting it to receive and deliver each underlying foreign currency in the country ... signments of ECU options settle within a country or countries designated by OCC.) Clearing Members or- dinarily deliver or receive foreign currency on the fourth business day after exercise that ... also a bank- ing day for OCC's correspondent bank in the country of origin. In the case of dollar-denominated options. cash settlement between OCC and Clearing Members

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393121.pdf

EFTA01353435Set 10

1p402w

Exercises are settled through the facilities of OCC. For this purpose, OCC has established banking ar- rangements permitting it to receive and deliver each underlying foreign currency in the country ... signments of ECU options settle within a country or countries designated by OCC.) Clearing Members or- dinarily deliver or receive foreign currency on the fourth business day after exercise that ... also a bank- ing day for OCC's correspondent bank in the country of origin. In the case of dollar-denominated options. cash settlement between OCC and Clearing Members

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353435.pdf

EFTA01393099Set 10

1p414w

option holders or writers. An option holder looks to the system created by OCC's rules. rather than to any particular option writer. for perform- ance of the option ... owns. Similarly, option writers must perform their obligations under the OCC system and are not obligated to any particular option holder. Since every options transaction involves both a holder ... holders under the system are matched by the aggregate obligations of option writers. The OCC system is designed so that the perform- ance of all options is between OCC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393099.pdf

EFTA01393143Set 10

1p354w

offer to buy or sell any option or any other security. A prospectus of OCC relating to options is available with- out charge upon request addressed to OCC ... 24th Floor, Chicago, Illinois 60605. or any of the U.S. options mar- kets. The OCC registration statement relating to op- tions, which includes the OCC prospectus and the financial statements ... OCC, is available for inspection at the offices of OCC, and copies may be obtained from the SEC, Room 1024. 450 5th Street. N.W., Wash- ington. D.C. 20549. upon payment

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393143.pdf

EFTA01353406Set 10

1p414w

option holders or writers. An option holder looks to the system created by OCC's rules. rather than to any particular option writer. for perform- ance of the option ... owns. Similarly, option writers must perform their obligations under the OCC system and are not obligated to any particular option holder. Since every options transaction involves both a holder ... holders under the system are matched by the aggregate obligations of option writers. The OCC system is designed so that the perform- ance of all options is between OCC

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353406.pdf

EFTA01353471Set 10

1p354w

offer to buy or sell any option or any other security. A prospectus of OCC relating to options is available with- out charge upon request addressed to OCC ... 24th Floor, Chicago, Illinois 60605. or any of the U.S. options mar- kets. The OCC registration statement relating to op- tions, which includes the OCC prospectus and the financial statements ... OCC, is available for inspection at the offices of OCC, and copies may be obtained from the SEC, Room 1024. 450 5th Street. N.W., Wash- ington. D.C. 20549. upon payment

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353471.pdf

EFTA01353437Set 10

1p391w

event of exercise, the exercise price is paid in the trading currency. OCC has established banking arrangements permitting it to receive and pay foreign currencies in the country of origin ... purposes of both premium and exercise settlement of cross-rate options between OCC and its Clearing Members. Cus- tomers ordinarily settle with their brokerage firms, al- though OCC may establish ... whereby Clearing Members may permit customers to make ex- ercise settlement directly with an OCC correspondent bank. Each customer should consult his brokerage firm to determine the procedures and time

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353437.pdf

EFTA01393157Set 10

2003-01-021p443w

paragraph of the section headed "5." is amended to read: Exercise restrictions imposed by OCC and the options markets affecting cash-settled options generally cannot be continued in effect beyond ... that Act. Effec- tive January 10, 2003. the SEC approved an amendment to OCC's most recent registration statement under that Act terminating the registration of all unsold ... this Booklet are no longer required to be registered under that Act: an OCC registration state- ment will no longer be available for inspection at OCC's office; and copies

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393157.pdf

EFTA01353485Set 10

2003-01-021p443w

paragraph of the section headed "5." is amended to read: Exercise restrictions imposed by OCC and the options markets affecting cash-settled options generally cannot be continued in effect beyond ... that Act. Effec- tive January 10, 2003. the SEC approved an amendment to OCC's most recent registration statement under that Act terminating the registration of all unsold ... this Booklet are no longer required to be registered under that Act: an OCC registration state- ment will no longer be available for inspection at OCC's office; and copies

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353485.pdf

EFTA01353443Set 10

1p402w

money by a specified amount at expiration. These procedures often incorporate by ref- erence OCC's administrative procedures that provide for the exercise of every option that ... amount at expiration unless the Clearing Firm carrying the option in its accounts instructs OCC not to exercise the option. Investors should determine from their brokerage firm the applicable ... firm must in any event pass on its cus- tomer's exercise instructions to OCC before expiration. OCC may allow exercises for a limited time after expira- tion

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353443.pdf

EFTA01353444Set 10

1p391w

ASSIGNMENT OCC assigns exercises in standardized lots to Clear- ing Member accounts that reflect the writing of options identical to the exercised options. A description of OCC's assignment procedures ... available from OCC on request at the address set forth in paragraph 1 of Chapter XI of this booklet. Assignments are ordinarily made prior to the commencement of trading ... business day following receipt by OCC of the exercise instruction. In the case of options traded in evening sessions, exercise instructions received by OCC on a business day are ordinanly

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353444.pdf

EFTA01353483Set 10

1p482w

Booklet at the end of the section headed "8." The new paragraphs read: It OCC determines that the primary market(s) for one or more component securities of an underlying ... inaccurate, unreliable. unavailable or inappropriate for purposes of calculating the cash settlement amount, then OCC may suspend settlement obligations for exercised and assigned con- tracts of the affected series ... event of such a sus- pension, OCC will fix a new settlement date after OCC determines that the exercise settlement value is available or after OCC fixes the exercise settlement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353483.pdf

EFTA01393125Set 10

1p402w

money by a specified amount at expiration. These procedures often incorporate by ref- erence OCC's administrative procedures that provide for the exercise of every option that ... amount at expiration unless the Clearing Firm carrying the option in its accounts instructs OCC not to exercise the option. Investors should determine from their brokerage firm the applicable ... firm must in any event pass on its cus- tomer's exercise instructions to OCC before expiration. OCC may allow exercises for a limited time after expira- tion

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393125.pdf

EFTA01353484Set 10

1p463w

first paragraph on page 41 of the Booklet is amended to read: It OCC should determine that foreign governmental restrictions or taxes would prevent the orderly settlement of delivery foreign ... currency option exercises or would result in undue burdens on OCC or its Clearing Mem- bers, OCC has the authority to impose special exercise settlement procedures. These could range from ... security or if trading in an underlying security were enjoined or sus- pended. If OCC in its discretion determines that a situa- tion of that type exists, OCC may impose

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353484.pdf

EFTA01393156Set 10

1p463w

first paragraph on page 41 of the Booklet is amended to read: It OCC should determine that foreign governmental restrictions or taxes would prevent the orderly settlement of delivery foreign ... currency option exercises or would result in undue burdens on OCC or its Clearing Mem- bers, OCC has the authority to impose special exercise settlement procedures. These could range from ... security or if trading in an underlying security were enjoined or sus- pended. If OCC in its discretion determines that a situa- tion of that type exists, OCC may impose

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393156.pdf

EFTA01435460Set 10

15p3,228w

constitutions, rules, regulations, customs and by laws of The Options Clearing Corporation ('OCC'), the Financial Industry Regulatory Authority, exchange markets and their respective dearing houses and we have received, read ... accept a transaction executed by you and transmitted to the clearing broker (through the OCC or otherwise), then you shall, at your option, be entitled to: (a) ctose ... also hereby authorize and instruct you, on our behalf, to submit to the OCC, from time to time, as you deem appropriate or advisable. In your sole discretion. Instructions pursuant

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435460.pdf

EFTA00087578Set 9

2021-10-276p1,331w

Protection One World Trade Center, 50th Floor Suite 50.100 New York, NY 10007 EFTA00087578 OCC NY [including me] is teleworking during the Corona Crisis. You may always reach ... email or cell at Click here for the OCC Northeast website PRIVILEGED AND CONFIDENTIAL- CIRCULATION RESTRICTED This electronic communication, along with any attachment(s), contains confidential U.S. Government information intended ... Protection One World Trade Center, 50th Floor Suite 50.100 New York, NY 10007 (fax) OCC NY [including me] is teleworking during the Corona Crisis. You may always reach

https://www.justice.gov/epstein/files/DataSet%209/EFTA00087578.pdf

EFTA01393149Set 10

1p286w

following the cap- tion "Assignment" in Chapter VIII of the Booklet with the following: OCC follows established procedures for assigning exercises to Clearing Member accounts that contain short option positions ... options. These procedures may be different for different classes of options. A description of OCC's assignment procedures and the options classes to which they apply is available on request ... from OCC at One North Wacker Drive, Suite 500, Chicago. Illinois 60606. Assignments are ordinarily made prior to the com- mencement of trading on the business day following receipt

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01393149.pdf

EFTA01353477Set 10

1p447w

made applicable to options outstanding at the time of the change. If OCC determines that the exercise settlement value of the underlying foreign currency for any series of cash-settled ... unavailable, or inappropriate for purposes of calculating the cash settlement amount of such series. OCC has the authority to suspend the settle- ment obligations of the exercising and assigned Clearing ... such series or to do both. In the event of such a suspension, OCC will fix a new settlement date after OCC determines that the exercise settlement value is available

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01353477.pdf

EFTA01387529Set 10

1p1,359w

regtdations, cuteoms and bySims of 'cap Price' for the option The Oates Clearing Corporation ('OCC). the Financial Industry Regulatory Autaky, exchange markets and thee respective clearing houses and we have ... Autatetel Systems transaction executed by you and transmitted to the clearing broker (through the OCC (colledively, a 'System Failure ) Vial could cause srteantial damage, expense or or othenstse), then ... DISCLAIM ANY REPRESENTATION THAT ANY Instruct you. on our Whet to submit to the OCC. Iran tine to tine, as you deem AUTOMATED SYSTEM WILL OPERATE UNINTERRUPTED OR BE ERROR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387529.pdf