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

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Proposed Rule Filings

• SR-OCC-2022-010 - PDF

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Rule Filings for Immediate Effectiveness

• SR-OCC-2022-007 - PDF
• SR-OCC-2022-008 - PDF

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Advance Notice Filings

• 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
• SR-OCC-2022-802 - PDF

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Self-Certification of Rules

• OCC Rule Certification Concerning One Multiplier Options - PDF  (CFTC Self-Certification of Rules August 18, 2022.)

OCC Proposed Rule Change and Advance Notice Filing Report

Report

• OCC Proposed Rule Change and Advance Notice Filing Report - Q4 2016 to Present - PDF

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

Policy Statements

• Treatment of Confidential Information Disclosed by Participant Markets - PDF
• Back-Up Communication Channel to Internet Access - PDF

Procedures

• Standard Assignment Procedures - PDF
• Pro Rata Assignment Procedures - PDF

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Rule Filings Approved Not Yet Implemented

• SR-OCC-2010-09 - PDF
• SR-OCC-2010-05 - PDF
• SR-OCC-2010-03 - PDF
• SR-OCC-2007-04 - PDF