Cboe Options Exchanges Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

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SR-C2-2024-002: January 2, 2024; The Exchange proposes to adopt a CAT Fee Schedule.

Approved and Immediately Effective Rule Changes

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SR-CBOE-2019-116: December 5, 2019; The Exchange proposes to amend Rule 8.12 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
SR-CBOE-2019-092: October 4, 2019; The Exchange proposes to make minor amendments to and relocate certain rules related to the listing of index options (including binary and range options) from the currently effective Rulebook to proposed Chapter 4, Section B of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-090: October 3, 2019; The Exchange proposes to move the Rules in Chapter V of the currently effective Rulebook, which governs securities dealt in on the Exchange, to proposed Section A of Chapter 4 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-088: October 3, 2019; The Exchange proposes to move current Chapter 9 (governing doing business with the public and TPH registration) from its current Rulebook to proposed Chapter 9 and, in part, proposed Chapter 3 of its shell Rulebook for the October 7, 2019 migration.
SR-CBOE-2019-081: October 1, 2019; The Exchange proposes minor updates and to consolidate various Rules in connection generally with options trading, including trading halts and the Plan, and move such Rules from the current Rulebook to the shell Rulebook for the October 7, 2019 migration.
SR-CBOE-2019-073: September 27, 2019; The Exchange proposes a change in connection with rules covering regulatory reports, records, and audits, and to move those Rules from the current Rulebook to Chapter 7 of the shell Rulebook that will become effective upon the October 7, 2019 migration.
SR-CBOE-2019-072: September 27, 2019; The Exchange proposes to make minor updates to and relocate Chapter XIX, which governs the hearings and review process for persons aggrieved by Exchange action, of the currently effective Rulebook to proposed Chapter 15 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-069: September 30, 2019; The Exchange proposes to move the Rules in Chapter XII, which governs margin requirements, of the currently effective Rulebook to proposed Chapter 10 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-068: September 26, 2019; The Exchange proposes to move the Rules in Chapter XVII, which governs Exchange disciplinary procedures, of the currently effective Rulebook to proposed Chapter 13 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-067: September 25, 2019; The Exchange proposes to move Rule 10.2 and the Rules in Chapter XVI of the currently effective Rulebook, which governs the summary suspension of Trading Permit Holders (“TPHs”), to proposed Chapter 12 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-066: September 25, 2019; The Exchange proposes to move the Rules in Chapter XIII of the currently effective Rulebook, which governs net capital requirements, to proposed Chapter 11 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-065: September 25, 2019; The Exchange proposes to move the Rules in Chapter XVIII, which governs Exchange arbitrations, of the currently effective Rulebook (“current Rulebook”) to proposed Chapter 14 of the shell structure for the Exchange’s Rulebook that will become effective upon migration.
SR-CBOE-2019-037: July 16, 2019; The Exchange proposes to amend Rule 12.3 by extending the Credit Option Margin Pilot Program through July 20, 2020.
SR-CBOE-2019-025: April 17, 2019; The Exchange proposes to amend Chapter 17 of the Cboe Options Rules.
SR-CBOE-2019-023: April 10, 2019; The Exchange proposes to extend the operation of its SPXPM pilot program.
SR-CBOE-2019-022: April 10, 2019; The Exchange proposes to renew The Nonstandard Expirations Pilot Program.
SR-CBOE-2019-014: March 4, 2019; The Exchange proposes to delete rules that are no longer necessary in the review of large positions in broad-based index options.
SR-C2-2019-028: December 23, 2019; The Exchange proposes a rule change to modify the opening rotation triggers.
SR-C2-2019-027: December 10, 2019; The Exchange proposes to amend Rule 6.4 by extending the Penny Pilot Program through June 30, 2020.
SR-C2-2019-026: December 4, 2019; The Exchange proposes to amend the Maximum Composite Width Check of the opening rotation as provided in subparagraph (e)(1) of Exchange Rule 6.11.
SR-C2-2019-025: November 20, 2019; The Exchange proposes to update various C2 Rules and Chapters to reflect changes to the Cboe Options rulebook that became effective upon the October 7, 2019 migration across the Cboe Affiliated Exchanges.
SR-C2-2019-024: November 12, 2019; The Exchange proposes to amend the fat finger check in Rule 6.14 as it applies to Stop-Limit orders.
SR-C2-2019-023: October 29, 2019; The Exchange proposes to introduce a new data product to be known as Open-Close Data and to adopt fees for such product.
SR-C2-2019-022: October 16, 2019; The Exchange proposes to extend the pilot period related to the market-wide circuit breaker in Rule 6.32.01.
SR-C2-2019-021: October 16, 2019; The Exchange proposes to make permanent certain options market rules that are linked to the equity market Plan to Address Extraordinary Market Volatility.
SR-C2-2019-017: June 24, 2019; The Exchange proposes to amend the trigger for its opening rotation process for equity options.
SR-C2-2019-016: June 17, 2019; The Exchange proposes to update its rules related to complex orders and trading halts.
SR-C2-2019-015: June 6, 2019; The Exchange proposes to amend the fat finger check for with respect to simple orders in Rule 6.14.
SR-C2-2019-014: May 31, 2019; The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-C2-2019-013: May 29, 2019; The Exchange proposes to adopt limit-on-close and market-on-close orders.
SR-C2-2019-012: May 23, 2019; The Exchange proposes to update its Price Adjust process to allow for the process to apply to bulk messages.
SR-C2-2019-011: May 16, 2019; The Exchange proposes a rule change to make certain enhancements to the opening auction process in connection with the implementation of Feature Pack 7.
SR-C2-2019-010: May 7, 2019; The Exchange proposes to add certain fees related to the listing and trading of options contracts on the Dow Jones Industrial Average Index.
SR-C2-2019-009: April 24, 2019; The Exchange proposes a rule change to amend the Exchange’s opening process and add a global trading hours session for DJX options.
SR-C2-2019-008: April 9, 2019; The Exchange proposes to extend the pilot for certain options market rules that are linked to the LULD Plan.
SR-C2-2019-007: April 8, 2019; The Exchange proposes to amend its continuous quoting obligations for Market-Makers.
SR-C2-2019-006: March 22, 2019; The Exchange proposes to amend Rule 6.4, Interpretation and Policy .02 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.
SR-C2-2019-005: February 25, 2019; The Exchange proposes a rule change to modify its provision related to its Risk Monitor Mechanism.
SR-C2-2019-002: January 29, 2019; The Exchange proposes to amend its Fees Schedule relating to the Options Regulatory Fee.
SR-C2-2019-001: January 7, 2019; The Exchange proposes to amend the Exchange’s Tenth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.