2018 BZX Exchange Regulatory Circulars

File number: RC 18-008
Date filed: July 11, 2018
Description:

Prearranged Trades

File number: RC 18-007
Date filed: July 3, 2018
Description:

Mandatory Participation in Disaster Recovery Testing

File number: RC 18-006
Date filed: July 3, 2018
Description:

Position and Exercise Limit Increases for Options on Certain Exchange Traded Funds and Resumption of SPY Position and Exercise Limits

File number: RC 18-005
Date filed: July 2, 2018
Description:

Decrease in the Options Regulatory Fee and Update

File number: RC 18-003
Date filed: March 12, 2018
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RC 18-002
Date filed: February 14, 2018
Description:

Anti-Money Laundering Compliance Program and Customer Due Diligence Requirements

File number: RC 18-001
Date filed: February 14, 2018
Description:

Filing of Annual Audits