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
Rule Filings for Immediate Effectiveness
- SR-OCC-2023-006 - PDF
Advance Notice Filings
- SR-OCC-2023-801 - PDF
- SR-OCC-2023-801 Partial Amendment No. 1 - PDF
- SR-OCC-2022-802 - 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 Modifications to the Amended and Restated Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation - PDF (CFTC Self-Certification of Rules November 1, 2023.)
OCC Proposed Rule Change and Advance Notice Filing Report
Report
Policy Statements and Procedures Adopted Under By-Laws and Rules Policy Statements
Policy Statements
- Treatment of Confidential Information Disclosed by Participant Markets - PDF
- Back-Up Communication Channel to Internet Access - PDF
Procedures
Rule Filings Approved Not Yet Implemented
- SR-OCC-2010-09 - PDF
- SR-OCC-2010-05 - PDF
- SR-OCC-2010-03 - PDF
- SR-OCC-2007-04 - PDF