By-Laws & Rules
Note: Rule filings are deleted from this list and integrated into the By-Laws and Rules in accordance with applicable regulatory requirements.
Download By-Laws & Rules Documents
- OCC By-Laws - PDF
- OCC Rules - PDF
Proposed Rule Filings
- SR-OCC-2024-006 - PDF
- SR-OCC-2024-002 - PDF
- SR-OCC-2024-001 - PDF
- SR-OCC-2023-007 - PDF
- SR-OCC-2023-007 Partial Amendment No. 1 - PDF
- SR-OCC-2023-007 Partial Amendment No. 2 - PDF
Rule Filings for Immediate Effectiveness
- SR-OCC-2024-003 - PDF
- SR-OCC-2024-004 - PDF
- SR-OCC-2024-005 - PDF
- SR-OCC-2024-007 - PDF
Advance Notice Filings
- SR-OCC-2023 - 801 - PDF
- SR-OCC-2023 - 801 Partial Amendment No. 1 - PDF
- SR-OCC-2023 - 801 Amendment No. 2 - PDF
- SR-OCC-2022 - 802 - PDF
- SR-OCC-2021 - 802 - PDF
- SR-OCC-2021 - 802 Amendment No. 1 - PDF
- SR-OCC-2021 - 802 Amendment No. 2 - PDF
- SR-OCC-2021 - 802 Amendment No. 3 - PDF
- SR-OCC-2021 - 802 Amendment No. 4 - PDF
- SR-OCC-2021 - 802 Amendment No. 5 - PDF
- SR-OCC-2021 - 802 Amendment No. 6 - PDF
Self-Certification of Rules
- OCC Rule Certification Concering the Modification of its Margin Methodology, System for Theoretical Analysis and Numerical (STANS), to Conform its Margin Model to the Contract Specifications for a New Exchange Product - PDF (CFTC Self-Certification of Rules July 1, 2024.)
- OCC Rule Certification Concerning Updates to OCC's Comprehensive Stress Testing and Clearing Fund Methodology, and Liquidity Risk Management Description and Rules - PDF (CFTC Self-Certification of Rules June 11, 2024.)
- OCC Rule Certification Concerning Updates to OCC's Schedule of Fees - PDF (CFTC Self-Certification of Rules May 24, 2024.)
- OCC Rule Certification Concerning Modifications to its Board Charter and Risk Committee Charter to Align with Recently Adopted CFTC Governance Requirements for Derivatives Clearing Organizations - PDF (CFTC Self-Certification of Rules May 8, 2024.)
- OCC Rule Certification Concerning Updates to OCC's Operational Loss Fee - PDF (CFTC Self-Certification of Rules April 1, 2024.)
- OCC Rule Certification Concerning Its Process for Adjusting Certain Parameters in Its Proprietary System for Calculating Margin Requirements During Periods When the Products It Clears and the Markets It Serves Experience High Volatility - PDF (CFTC Self-Certification of Rules February 15, 2024.)
- OCC Rule Certification Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation - PDF (CFTC Self-Certification of Rules February 13, 2024.)
- OCC Rule Certification Concerning Updates to OCC Rules, By-Laws, and Clearing Member Documents in Connection with a Shortened Settlement Cycle - PDF (CFTC Self-Certification of Rules January 18, 2024.)
- OCC Rule Certification Concerning Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation - PDF (CFTC Self-Certification of Rules November 1, 2023.)
OCC Proposed Rule Change and Advance Notice Filing Report
Report
Policy Statements and Procedures Adopted Under By-Laws and Rules
Policy Statements
- Treatment of Confidential Information Disclosed by Participant Markets - PDF
- Back-Up Communication Channel to Internet Access - PDF
- Interpretative Guidance on the Adjustment Policy for Cash Dividends and Distributions - PDF
Procedures
- SR-OCC-2010-09 - PDF
- SR-OCC-2010-05 - PDF
- SR-OCC-2010-03 - PDF
- SR-OCC-2007-04 - PDF
Approved Rule Filings Not Yet Implemented