Documents and Archives

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

Advance Notice Filings

Self-Certification of Rules

OCC Rule Certification 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 - PDF (CFTC Self-Certification of Rules December 15, 2025)
OCC Rule Certification Concerning Contract Adjustments - PDF (CFTC Self-Certification of Rules December 11, 2025)
OCC Rule Certification Concerning Certain Revisions in Connection with Proposed Modifications to the Manner in which OCC Accounts for the Guaranty Substitution Payment in OCC's Liqudity Risk Management Processes - PDF (CFTC Self-Certification of Rules December 2, 2025)
OCC Rule Certification Concerning the Implementation of a Fee Holiday for December 2025 - PDF (CFTC Self-Certification of Rules November 25, 2025)
OCC Rule Certification Concerning Amendments to OCC's By-Laws and Rules to Remove Numerical Designation of Paragraphs - PDF (CFTC Self-Certification of Rules September 23, 2025)
OCC Rule Certification Concerning Amendments to its Risk Management Framework, Third-Party Risk Management Framework, and Default Management Policy - PDF (CFTC Self-Certification of Rules September 22, 2025)
OCC Rule Certification Concerning Updates to its Portfolio Revaluation Process for Purposes of Determining Intraday Margin Calls in Order to Better Manage OCC's Intraday Risk Exposure to its Clearing Members - PDF (CFTC Self-Certification of Rules September 5, 2025)
OCC Rule Certification Concerning the Execution of the Clearing Member Agreement and the Non-U.S. Clearing Member Agreement - PDF (CFTC Self-Certification of Rules August 21, 2025.)
OCC Rule Certification Concerning the Execution of the Amended and Restated Participant Exchange Agreement Between OCC and each of the National Exchanges that List Equity Options - PDF (CFTC Self-Certification of Rules August 20, 2025.)
OCC Rule Certification Concerning the Adoption of the Amended and Restated Participant Exchange Agreement Between OCC and Each of the National Securities Exchanges That List Equity Options - PDF (CFTC Self-Certification of Rules June 20, 2025)
OCC Rule Certification Concerning Adoption of a New Clearing Agreement That Would Permit OCC to Provide Clearing and Settlement Services to MIAX Subject to All Requisite Regulatory Approvals Being Received - PDF (CFTC Self-Certification of Rules June 17, 2025)
OCC Rule Certification Concerning Its Stock Loan Programs PDF (CFTC Self-Certification of Rules March 4, 2025.)
OCC Rule Certification Concerning Modifications to its By-Laws and Rules Primarily to Discontinue Certain Outmoded or Unused Products and Services - PDF (CFTC Self-Certification of Rules February 28, 2025.)

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

Approved Rule Filings Not Yet Implemented

SR-OCC-2010-05 - PDF
SR-OCC-2007-04 - PDF

Board Charters

Key Information Documents