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-2022-001 - PDF

Rule Filings Approved, But Not Yet Implemented

• SR-OCC-2022-004 - PDF
• SR-OCC-2022-004 Amendment No. 1 - PDF
• SR-OCC-2010-09 - PDF
• SR-OCC-2010-05 - PDF
• SR-OCC-2010-03 - PDF
• SR-OCC-2007-04 - PDF

Rule Filings for Immediate Effectiveness

• SR-OCC-2022-006 - PDF
• SR-OCC-2022-007 - PDF
• SR-OCC-2022-008 - PDF

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-2022-801 - PDF
• SR-OCC-2022-801 Amendment No. 1- PDF

Advance Notice - Notice of No Objection

• SR-OCC-2021-803 - PDF (Changes contained in this filing were made effective on February 24, 2022.)
• 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 Rule Certification to Establish A Persistent Minimum Level of Skin-In-The-Game -  PDF  (CFTC Self-Certification of Rules March 18, 2021.)
• OCC Rule Certification to Expand the Use of OCCs Synthetic Futures Model -  PDF (CFTC Self-Certification of Rules April 30, 2021.)
• OCC Rule Certification to Decrease OCCs Clearing Fees - PDF (CFTC Self-Certification of Rules May 10, 2021.)
• OCC Rule to Certification to Make Technical Changes to OCC's By-Laws and Rules - PDF (CFTC Self-Certification of Rules August 6, 2021.)
• OCC Rule to Certification Concerning Changes to the Governance Arrangements - PDF  (CFTC Self-Certification of Rules August 9, 2021.)
• OCC Rule to Implement a Fee Holiday - PDF (CFTC Self-Certification of Rules September  28, 2021.)
• OCC Rule to Certification Concerning the STANS Methodology Decsription - PDF (CFTC Self-Certification of Rules October 6, 2021.)
• OCC Rule to Certification Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel -  PDF (CFTC Self-Certification of Rules October 28, 2021.)
• OCC Rule Certification to Correct OCC’s Schedule of Fees - PDF (CFTC Self-Certification of Rules November 3, 2021.)
• OCC Rule Certification to Update the Service Level Agreement between OCC and CME - PDF (CFTC Self-Certification of Rules November 3, 2021.)
• OCC Rule Certification to Update the Operational Loss Fee for 2022 - PDF (CFTC Self-Certification of Rules December 15, 2021.)
• OCC Rule Certification Concerning OCC’s Cash and Investment Management Policy - PDF (CFTC Self-Certification of Rules February 1, 2022.)
• OCC Rule Certification Concerning OCC’s Implied Volatility Simulation Models - PDF (CFTC Self-Certification of Rules March 10, 2022.)
• OCC Rule Certification Concerning OCC’s Governance Arrangements - PDF (CFTC Self-Certification of Rules March 25, 2022.)
• OCC Rule Certification Concerning Weekly Options and Short Term Options - PDF (CFTC Self-Certification of Rules March 25, 2022.)
• OCC Rule Certification Conerning OCC Rule 1111 - PDF (CFTC Self-Certification of Rules April 19, 2022.)
• OCC Rule Certification Concerning Cash-Settled FLEX ETF Options - PDF (CFTC Self-Certification of Rules May 3 2022.)
• OCC Rule Certification Concerning OCC’s Settlement Times for Margin and Clearing Fund
  Deposits - PDF (CFTC Self-Certification of Rules May 6, 2022.)
• OCC Rule Certification Concerning Implementation of Settlement Timing Changes - PDF (CFTC Self-Certification of Rules May 24, 2022.)
• OCC Rule Certification Concerning Clearing Member Cybersecurity Attestation - PDF (CFTC Self-Certification of Rules May 25, 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