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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

Proposed Rule Filings

Rule Filings Approved, But Not Yet Implemented

Rule Filings for Immediate Effectiveness

None at this time.

Advance Notice Filings

Advance Notice – Notice of No Objection

  • 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.)
  • SR-OCC-2017-806 (PDF) (Changes contained in this filing were made effective on December 14, 2017.)
  • SR-OCC-2017-805 (PDF) (Changes contained in this filing were made effective on December 18, 2017.)
  • SR-OCC-2015-805
    (Amendment 3)     (PDF)

OCC Proposed Rule Change and Advance Notice Filing Report

Report

Policy Statements and Procedures Adopted Under By-Laws and Rules

Policy Statements

Procedures