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-2024-016 - PDF
- SR-OCC-2024-013 - PDF
- SR-OCC-2024-011 - PDF
- SR-OCC-2024-011 - Amendment No. 1 - PDF
- SR-OCC-2024-010 - PDF
- SR-OCC-2024-010 - Amendment No. 1 - PDF
- SR-OCC-2024-010 - Amendment No. 2 - PDF
- SR-OCC-2024-010 - Amendment No. 3 - PDF
Rule Filings for Immediate Effectiveness
- SR-OCC-2025-004 - PDF
- SR-OCC-2025-003 - PDF
- SR-OCC-2025-002 - PDF
- SR-OCC-2025-001 - PDF
Advance Notice Filings
- SR-OCC-2025 - 801 - 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 Concerning a Change in the Maximum Contingent Operational Loss Fee Listed in OCC's Schedule of Fees in Accordance with OCC's Capital Management Policy - PDF (CFTC Self-Certification of Rules March 27, 2025)
- OCC Rule Certification Concerning Updates to Various Contracts and Forms that, in Conjunction With OCC's By-Laws and Rules, Establish and Govern the Relationship Between OCC and Each Clearing Member - PDF (CFTC Self-Certification of Rules March 11, 2025.)
- OCC Rule Certification Concerning Its Stock Loan Programs PDF (CFTC Self-Certification of Rules March 4, 2025.)
- OCC Rule Certification Concerning Modifications to its By-Laws and Rules Primarily to Discontinue Certain Outmoded or Unused Products and Services - PDF (CFTC Self-Certification of Rules February 28, 2025.)
- OCC Rule Certification Concerning Enhancements to Its Margin and Stress Testing Methodologies to Better Capture The Risks Associated With Short-dated Options - PDF (CFTC Self-Certification of Rules January 21, 2025.)
- OCC Rule Certification Concerning Updates to OCC's Risk Management Framework, Corporate Risk Management Policy, and Default Management Policy - PDF (CFTC Self-Certification of Rules January 17, 2025.)
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