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

SR-OCC-2018-008 (PDF)
- SR-OCC-2018-008 (Amendment 2) (PDF)
- SR-OCC-2018-008 (Amendment 1) (PDF)
SR-OCC-2017-021 (PDF)
- SR-OCC-2017-021 (Amendment 2) (PDF)
- SR-OCC-2017-021 (Amendment 1) (PDF)
SR-OCC-2017-020 (PDF)
- SR-OCC-2017-020 (Amendment 2) (PDF)
- SR-OCC-2017-020 (Amendment 1) (PDF)
SR-OCC-2011-14 (PDF)

Rule Filings Approved, But Not Yet Implemented

Rule Filings for Immediate Effectiveness

Advance Notice Filings

SR-OCC-2017-810 (PDF)
- SR-OCC-2017-810 (Amendment 3) (PDF)
- SR-OCC-2017-810 (Amendment 2) (PDF)
- SR-OCC-2017-810 (Amendment 1) (PDF)
SR-OCC-2017-809 (PDF)
- SR-OCC-2017-809 (Amendment 2) (PDF)
- SR-OCC-2017-809 (Amendment 1) (PDF)

Advance Notice – Notice of No Objection

SR-OCC-2018-803 (PDF)
SR-OCC-2018-802 (PDF) (Changes contained in this filing were made effective on June 28, 2018.)
SR-OCC-2017-811 (PDF)
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

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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