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
| File Number | Description/Amendment(s) | Filing Date | SEC Filing Status | CFTC Filing Status | CFTC Filing | Date Implemented |
|---|---|---|---|---|---|---|
| SR-OCC-2026-008 | Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules to Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework. | 07/24/2026 | Pending | |||
| SR-OCC-2026-007 | Proposed Rule Change Related to Interest on Margin Cash | 07/24/2026 | Pending | |||
| SR-OCC-2026-006 | Proposed Rule Change Concerning the Synthetic Futures Model | 07/08/2026 | Immediately Effective | Certified | Download Filing | 07/22/2026 |
| SR-OCC-2025-005 | Proposed Rule Change by The Options Clearing Corporation to Amend its System for Theoretical Analysis and Numerical Simulation Methodology Description to Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing. | 06/05/2026 | Pending | |||
| SR-OCC-2026-004 | Proposed Rule Change to Establish a Commercial Paper Program | 05/19/2026 | Approved | |||
| SR-OCC-2026-801 | Advance Notice to Establish a Commercial Paper Program | 05/19/2026 | No Objection | |||
| SR-OCC-2026-003 | Proposed Rule Change to Enable OCC to Accept Binary Options for Clearing. | 04/08/2026 | Pending | Certified | cft-self-certification | |
| SR-OCC-2026-002 | Proposed Rule Change Concerning Modifications to its Clearing Membership Forms. | 02/23/2026 | Immediately Effective | Certified | Download Filing | 03/24/2026 |
| SR-OCC-2026-001 | Proposed Rule Change Concerning a Change in Types of Acceptable Collateral and an Update to Mitigate Wrong-Way Risk. | 02/12/2026 | Approved | Certified | Download Filing | 04/10/2026 |
| SR-OCC-2025-018-Amendment No 1 | Proposed Rule Change 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. | 10/07/2025 | Pending | |||
| SR-OCC-2025-018 | Proposed Rule Change 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. | 09/26/2025 | Pending | Certified | Download Filing | |
| SR-OCC-2025-007 | Proposed Rule Change Concerning Updates to Its Portfolio Revaluation Process for Purposes of Determining Intraday Margin Calls. | 05/15/2025 | Approved | Certified | Download Filing | |
| SR-OCC-2024-011 - Amendment No 1 | Proposed Rule Change Concerning its Stock Loan Program. | 09/23/2024 | Approved | |||
| SR-OCC-2024-013 | Proposed Rule Change Concerning OCC's By-Laws and Rules Primarily to Discontinue Certain Outdated or Unused Products and Services. | 09/13/2024 | Approved | Certified | Download Filing | |
| SR-OCC-2024-011 | Proposed Rule Change Concerning its Stock Loan Programs. | 08/22/2024 | Approved | Certified | Download Filing | |
| SR-OCC-2021-802 Amendment No. 6 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 09/12/2022 | No Objection | |||
| SR-OCC-2021-802 Amendment No. 4 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 08/22/2022 | No Objection | |||
| SR-OCC-2021-802 Amendment No. 5 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 07/01/2022 | No Objection | |||
| SR-OCC-2021-802 Amendment No. 3 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 03/03/2022 | No Objection | |||
| SR-OCC-2021-802 Amendment No. 2 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 12/13/2021 | No Objection | |||
| SR-OCC-2021-802 Amendment No. 1 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 11/16/2021 | No Objection | |||
| SR-OCC-2021-802 | Advance Notice relating to OCC's adoption of Cloud Infrastructure for new clearing, risk management, and data management applications. | 10/08/2021 | No Objection |
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