Explore System Status Your acceptance of all cookies will permit robust site functionality. If you don't allow cookies, some features and functionality of OCC's site may not operate as expected. If you do not choose either cookie setting for our site, or if you close this window, this message will continue to display on each page you visit. Cookie settings can be controlled in your Internet browser to automatically reject some forms of cookies. For more details on cookies this site uses, see our OCC Site Cookies page. In addition to using cookies, we retain other information, including your Internet Protocol (IP) address, for the purposes listed in the Privacy Policy. 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 NONE Rule Filings Approved, But Not Yet Implemented SR-OCC-2010-09 - PDF SR-OCC-2010-05 - PDF SR-OCC-2010-03 - PDF SR-OCC-2007-04 - PDF Rule Filings for Immediate Effectiveness SR-OCC-2021-008 - PDF SR-OCC-2021-009 - PDF SR-OCC-2021-010 - PDF SR-OCC-2021-011 - PDF SR-OCC-2021-012 - PDF Advance Notice Filings SR-OCC-2021-802 SR-OCC-2021- 802 Amendment No. 1 Advance Notice - Notice of No Objection SR-OCC-2021-801 - PDF (Changes contained in this filing were made effective on May 27, 2021.) SR-OCC-2020-806 - PDF (Changes contained in this filing were made effective on December 17, 2020.) SR-OCC-2020-805 - PDF (Changes contained in this filing were made effective on September 28, 2020.) SR-OCC-2020-804 - PDF (Changes contained in this filing were made effective on June 23, 2020.) SR-OCC-2020-803 - PDF (Changes contained in this filing were made effective on June 11, 2020.) SR-OCC-2020-802 - PDF (Changes contained in this filing were made effective on June 29, 2020.) SR-OCC-2020-801 - PDF (Changes contained in this filing were made effective on March 6, 2020.) SR-OCC-2019-805 - PDF (Changes contained in this filing were made effective on January 24, 2020.) SR-OCC-2019-807 - PDF (Changes contained in this filing were made effective on December 16, 2019.) SR-OCC-2019-806 - PDF (Changes contained in this filing were made effective on December 16, 2019.) SR-OCC-2019-804 - PDF (Changes contained in this filing were made effective on September 23, 2019.) SR-OCC-2019-803 - PDF (Changes contained in this filing were made effective on June 26, 2019.) SR-OCC-2019-802 - PDF (Changes contained in this filing were made effective on October 14, 2019.) SR-OCC-2019-801 - PDF (Changes contained in this filing were made effective on May 20, 2019.) SR-OCC-2018-804 - PDF (Changes contained in this filing were made effective on January 14, 2019.) Self-Certification of Rules OCC Rule Certification to Establish A Persistent Minimum Level of Skin-In-The-Game - PDF (CFTC Self-Certification of Rules March 18, 2021.) OCC Rule Certification to Expand the Use of OCCs Synthetic Futures Model - PDF (CFTC Self-Certification of Rules April 30, 2021.) OCC Rule Certification to Decrease OCCs Clearing Fees - PDF (CFTC Self-Certification of Rules May 10, 2021.) OCC Rule to Certification to Make Technical Changes to OCC's By-Laws and Rules - PDF (CFTC Self-Certification of Rules August 6, 2021.) OCC Rule to Certification Concerning Changes to the Governance Arrangements - PDF (CFTC Self-Certification of Rules August 9, 2021.) OCC Rule to Implement a Fee Holiday - PDF (CFTC Self-Certification of Rules September 28, 2021.) OCC Rule to Certification Concerning the STANS Methodology Decsription - PDF (CFTC Self-Certification of Rules October 6, 2021.) OCC Rule to Certification Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel - PDF (CFTC Self-Certification of Rules October 28, 2021.) OCC Rule Certification to Correct OCC’s Schedule of Fees - PDF (CFTC Self-Certification of Rules November 3, 2021.) OCC Rule Certification to Update the Service Level Agreement between OCC and CME - PDF (CFTC Self-Certification of Rules November 3, 2021.) 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 Policy Statements Treatment of Confidential Information Disclosed by Participant Markets - PDF Back-Up Communication Channel to Internet Access - PDF Procedures Standard Assignment Procedures - PDF Pro Rata Assignment Procedures - PDF Board Charters Key Information Documents This web site discusses exchange-traded options issued by The Options Clearing Corporation. No statement in this web site is to be construed as an endorsement, recommendation or solicitation to purchase or sell a security, or to provide investment advice. Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of the disclosure document, Characteristics and Risks of Standardized Options. Individuals should not enter into option transactions until they have read and understood this document. To obtain copies, contact your broker, any exchange on which options are traded, or The Options Clearing Corporation, 125 S. Franklin Street, Suite 1200, Chicago, IL 60606 (investorservices@theocc.com). © 2014-2021 The Options Clearing Corporation. All rights reserved. OCC RSS Feeds Privacy Policy Cookie Policy User Agreement