Comments and Complaints

Cboe Member Comment Form

The Registration and Regulatory Services Division of Cboe is committed to maintaining open communications with its Members and providing them with the highest level of support and quality services. The Department of Regulatory Planning is interested in being made aware of and working to address your concerns, suggestions and complaints regarding regulatory issues. You may register your comments anonymously or you may provide your identity and request a response to your concerns. As an alternative to using this on-line form, you may also submit your comments by mail or by calling our comment hotline. Information on how to submit comments via mail or the hotline can be found at the end of this form.
We appreciate your willingness to expend the time and effort to assist us in collecting this information. All comment information will be treated in confidence to the fullest extent possible.

Do you wish to remain anonymous?

Yes No

(If you choose to remain anonymous we will be unable to provide you with a response.)

So we can most appropriately follow up on your concerns, please indicate the area(s) to which you believe your comment(s) pertain:

Please describe your comment(s), suggestion(s) and/or complaint(s). Be as specific and provide as much detail as possible. Doing so will enable us to address your concerns to fullest possible extent.

If you wish to identify yourself, please complete the following:

If you prefer, you may submit your comments in writing to: Cboe Equities Exchange Attn: Office of the Chief Regulatory Officer 400 S. LaSalle St. Chicago, IL 60605 Or, as an alternative, you may submit your comments by calling our comment hotline - (312) 786-8600. You can choose to register your comments via the hotline anonymously or provide your identity.

Cboe Investor Complaint Form

Please complete the complaint form with as much information as possible. This will help lessen the need to contact you further and will allow for the most prompt and thorough investigation of your complaint. All information will be treated in confidence to the fullest extent possible and Cboe Rules enable Cboe to protect the identity of a complainant. However, Cboe cannot guarantee that during the course of completing its investigation or possible prosecution of the matter that the source of the complaint will not become known. Please do not send duplicate copies of your complaint by mail if you are submitting your complaint online.

Do you wish to remain anonymous?

Yes No

(If you choose to remain anonymous we will be unable to provide you with a response.)

Summarize your complaint

Please describe your complaint, including the type of problem being reported. Please be as specific and provide as much detail as possible; include name of brokerage firm, dates, times, security name, terms of order, execution prices, etc.

Support Documentation

Indicate the type of documentation you are willing to provide to Cboe regarding your complaint should Cboe determine the need to request such documentation from you. Choose all that apply.

Have you contacted the brokerage firm?

Yes No

If yes, please provide the date of contact, name of contact and status/resolution:

Have you contacted any other regulators?

Yes No

If yes, please indicate all relevant regulators:

Have you filed an arbitration claim?

Yes No

If yes, please identify the organization(s) with which you filed your claim:

Complainant Information

(If you have chosen to remain anonymous, please skip this section and proceed to "Submit Form" below. Fields denoted with "*" are required fields for investors who are providing their identity/contact information).