Related Links

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By-Laws and Rules

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

Rule Filings Approved, But Not Yet Implemented

Rule Filings for Immediate Effectiveness

SR-OCC-2019-001 (PDF)

Advance Notice Filings

Advance Notice – Notice of No Objection

SR-OCC-2018-804 (PDF) (Changes contained in this filing were made effective on January 14, 2019.)
SR-OCC-2018-803 (PDF) (Changes contained in this filing were made effective on September 1, 2018.)
SR-OCC-2018-802 (PDF) (Changes contained in this filing were made effective on June 28, 2018.)
SR-OCC-2017-811 (PDF) (Changes contained in this filing were made effective on October 1, 2018.)
SR-OCC-2017-810 (PDF) (Changes contained in this filing were made effective on August 23, 2018.)
SR-OCC-2017-809 (PDF) (Changes contained in this filing were made effective on August 23, 2018.)
SR-OCC-2017-808 (PDF) (Changes contained in this filing were made effective on March 1, 2018.)

OCC Proposed Rule Change and Advance Notice Filing Report

Report

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

Policy Statements and Procedures Adopted Under By-Laws and Rules

Policy Statements

Procedures

Standard Assignment Procedures (PDF)
Pro Rata Assignment Procedures (PDF)

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