Explore
Close
System Status
Your acceptance of all cookies will permit robust site functionality. If you don't allow cookies, some features and functionality of OCC's site may not operate as expected. If you do not choose either cookie setting for our site, or if you close this window, this message will continue to display on each page you visit. Cookie settings can be controlled in your Internet browser to automatically reject some forms of cookies. For more details on cookies this site uses, see our OCC Site Cookies page. In addition to using cookies, we retain other information, including your Internet Protocol (IP) address, for the purposes listed in the Privacy Policy.
Search

Menu

The Foundation for Secure Markets

Clearance & Settlement

Risk Management

Careers

Documents and Archives

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

Proposed Rule Filings

Rule Filings Approved, But Not Yet Implemented

Rule Filings for Immediate Effectiveness

Advance Notice Filings

Advance Notice - Notice of No Objection

  • SR-OCC-2021-801 - PDF (Changes contained in this filing were made effective on May 27, 2021.)
  • SR-OCC-2020-806 - PDF (Changes contained in this filing were made effective on December 17, 2020.)
  • SR-OCC-2020-805 - PDF (Changes contained in this filing were made effective on September 28, 2020.)
  • SR-OCC-2020-804 - PDF (Changes contained in this filing were made effective on June 23, 2020.)
  • SR-OCC-2020-803 - PDF (Changes contained in this filing were made effective on June 11, 2020.)
  • SR-OCC-2020-802 - PDF (Changes contained in this filing were made effective on June 29, 2020.)
  • SR-OCC-2020-801 - PDF (Changes contained in this filing were made effective on March 6, 2020.)
  • SR-OCC-2019-805 - PDF (Changes contained in this filing were made effective on January 24, 2020.)
  • SR-OCC-2019-807 - PDF (Changes contained in this filing were made effective on December 16, 2019.)
  • SR-OCC-2019-806 - PDF (Changes contained in this filing were made effective on December 16, 2019.)
  • SR-OCC-2019-804 - PDF (Changes contained in this filing were made effective on September 23, 2019.)
  • SR-OCC-2019-803 - PDF (Changes contained in this filing were made effective on June 26, 2019.)
  • SR-OCC-2019-802 - PDF (Changes contained in this filing were made effective on October 14, 2019.)
  • SR-OCC-2019-801 - PDF (Changes contained in this filing were made effective on May 20, 2019.)
  • SR-OCC-2018-804 - PDF (Changes contained in this filing were made effective on January 14, 2019.)

Self-Certification of Rules

OCC Proposed Rule Change and Advance Notice Filing Report

Report

Policy Statements and Procedures Adopted Under By-Laws and Rules Policy Statements

Policy Statements

Procedures
Board Charters
Key Information Documents

This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as an endorsement, recommendation or solicitation to purchase or sell a security, or to provide investment advice. Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of the disclosure document, Characteristics and Risks of Standardized Options. Individuals should not enter into option transactions until they have read and understood this document. To obtain copies, contact your broker, any exchange on which options are traded, or The Options Clearing Corporation, 125 S. Franklin Street, Suite 1200, Chicago, IL 60606 ([email protected]).

© 2014-2022 The Options Clearing Corporation. All rights reserved.