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-2026-005 - PDF
- SR-OCC-2026-004 - PDF
- SR-OCC-2026-003 - PDF
- SR-OCC-2026-001 - PDF
- SR-OCC-2025-018 - PDF
- SR-OCC-2025-018 - Amendment No. 1 - PDF
- SR-OCC-2025-013 - PDF
- SR-OCC-2025-007 - PDF
- SR-OCC-2024-013 - PDF
- SR-OCC-2024-011 - PDF
- SR-OCC-2024-011 - Amendment No. 1 - PDF
Rule Filings for Immediate Effectiveness
- SR-OCC-2026-002 - PDF
- SR-OCC-2025-008 - PDF
Advance Notice Filings
- SR-OCC-2026 - 801 - 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 Changes to OCC's STANS Methodology Description to Enable OCC to Clear Binary Options - PDF (CFTC Self-Certification of Rules May 22, 2026)
- OCC Rule Certification Concerning the Discontinued Use of Two Underutilized Collateral Types and the Updating of OCC's Rules Designed to Mitigate Wrong-Way Risk - PDF (CFTC Self-Certification of Rules March 27, 2026)
- OCC Rule Certification Concerning Modifications to its Clearing Membership Forms - PDF (CFTC Self-Certification of Rules March 10, 2026)
- OCC Rule Certification Concerning its Methodology to Allocate Clearing Fund Deposit Requirements Among Its Clearing Members to Better Align the Allocation with the Sizing of the Clearing Fund - PDF (CFTC Self-Certification of Rules December 15, 2025)
- OCC Rule Certification Concerning Certain Revisions in Connection with Proposed Modifications to the Manner in which
- OCC Rule Certification Concerning Updates to its Portfolio Revaluation Process for Purposes of Determining Intraday Margin Calls in Order to Better Manage OCC's Intraday Risk Exposure to its Clearing Members - PDF (CFTC Self-Certification of Rules September 5, 2025)
- OCC Rule Certification Concerning Adoption of a New Clearing Agreement That Would Permit OCC to Provide Clearing and Settlement Services to MIAX Subject to All Requisite Regulatory Approvals Being Received - PDF (CFTC Self-Certification of Rules June 17, 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 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
Approved Rule Filings Not Yet Implemented
- SR-OCC-2010-05 - PDF
- SR-OCC-2007-04 - PDF