2020 Cboe Options Exchange Regulatory Circulars

File number: RC20-048
Date filed: September 11, 2020
Description:

Margin and Net Capital Requirements – S&P 500 ESG Index Options

File number: RC20-047
Date filed: August 6, 2020
Description:

Minor Rule Violation Plan Provisions for CAT Compliance Rules

File number: RC20-046
Date filed: July 16, 2020
Description:

Industry Presentation by CMRWG on CAT Compliance Rules

File number: RC20-045
Date filed: July 9, 2020
Description:

Regulatory Coordination Concerning CAT Reporting Compliance

File number: RC20-044
Date filed: July 7, 2020
Description:

Options Market Maker Quote SendTime Requirements for CAT Reporting

File number: RC20-043
Date filed: July 7, 2020
Description:

Extension of Time for Certain Filings to July 31, 2020

File number: RC20-042
Date filed: July 1, 2020
Description:

Options Regulatory Fee Decrease and Discontinuation of Regulatory Circular - Updated

File number: RC20-041
Date filed: June 23, 2020
Description:

Open Outcry Order Entry and Reporting Procedures During an Exchange System Outage

File number: RC20-040
Date filed: June 12, 2020
Description:

Rule 5.81, Equipment and Communications on the Trading Floor

File number: RC20-039
Date filed: June 11, 2020
Description:

Violations of Trading Conduct and Decorum Policies

File number: RC20-038
Date filed: June 1, 2020
Description:

Extension of Time for Certain Filings to June 30, 2020

File number: RC20-037
Date filed: May 29, 2020
Description:

Extension of Time for Certain Filings to June 30, 2020

File number: RC20-036
Date filed: May 27, 2020
Description:

Position and Exercise Limit Increases for Options on Certain Exchange Traded Funds and Indices

File number: RC20-035
Date filed: May 18, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested) – Comment Period Extended to June 30, 2020

File number: RC20-034
Date filed: April 29, 2020
Description:

Temporary Electronic Compression Forum Process for SPX Option Class

File number: RC20-033
Date filed: April 23, 2020
Description:

SEC Exemptive Order Related to CAT Implementation Deadlines

File number: RC20-032
Date filed: April 15, 2020
Description:

Cboe Options Rule 6.9 – In-Kind Exchange of Options Positons and ETF Shares

File number: RC20-031
Date filed: April 15, 2020
Description:

Cboe Options Rule 6.8 – Off-Floor RWA Transfers

File number: RC20-030
Date filed: May 26, 2020
Description:

Cboe Options Rule 6.7 – Off-Floor Transfers of Positions -UPDATED

File number: RC20-029
Date filed: April 8, 2020
Description:

Mandatory Participation in Disaster Recovery Testing

File number: RC20-028
Date filed: April 8, 2020
Description:

Establishment of the CMRWG

File number: RC20-027
Date filed: April 6, 2020
Description:

Billing of Q1 2020 Designated Examining Authority Fee

File number: RC20-026
Date filed: April 2, 2020
Description:

Use of Conferencing Software or Other Communication Arrangements During Current Pandemic

File number: RC20-025
Date filed: April 2, 2020
Description:

Reinstatement of Minimum Intraday Electronic Quote Size in SPX

File number: RC20-024
Date filed: April 1, 2020
Description:

Extension of Time for Certain Filings to June 1, 2020

File number: RC20-023
Date filed: March 27, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested) – Comment Period Extended to May 31, 2020

File number: RC20-022
Date filed: March 25, 2020
Description:

Extension of Time for Certain Filings Currently Due April 1, 2020 ***UPDATED***

File number: RC20-021
Date filed: March 25, 2020
Description:

Filing Extensions for Annual Reports and FOCUS Reports

File number: RC20-020
Date filed: March 18, 2020
Description:

SEC’s Pandemic No-Action Relief Related to CAT Implementation Deadlines

File number: RC20-019
Date filed: March 13, 2020
Description:

Minimum Quote Size in SPX until Further Notice

File number: RC20-018
Date filed: March 12, 2020
Description:

Minimum Quote Size in SPX on March 13, 2020

File number: RC20-017
Date filed: March 11, 2020
Description:

Minimum Quote Size in SPX on March 12, 2020

File number: RC20-016
Date filed: March 10, 2020
Description:

Minimum Quote Size in SPX on March 11, 2020

File number: RC20-015
Date filed: March 10, 2020
Description:

New Regulatory Complaints, Tips and Referrals Form

File number: RC20-014
Date filed: March 10, 2020
Description:

Minimum Quote Size in SPX on March 10, 2020

File number: RC20-013
Date filed: March 10, 2020
Description:

Minimum Quote Size in SPX on March 9, 202

File number: RC20-012
Date filed: March 6, 2020
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RC20-011
Date filed: February 28, 2020
Description:

SPXW Open Outcry Trading

File number: RC20-010
Date filed: February 28, 2020
Description:

Continuous Quoting Obligations in SPXW on February 28, 2020

File number: RC20-009
Date filed: February 21, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested)

File number: RC20-007
Date filed: February 14, 2020
Description:

Anti-Money Laundering Compliance Program and Filing Requirements for Certain Trading Permit Holders

File number: RC20-006
Date filed: February 13, 2020
Description:

Deletion of Annual Attestation Requirement in Cboe Options/C2 Options Rule 8.10 and Discontinuation of Form OE-418

File number: RC20-005
Date filed: February 13, 2020
Description:

Filing of Annual Audits

File number: RC20-004
Date filed: February 13, 2020
Description:

Prearranged Trades

File number: RC20-003
Date filed: February 13, 2020
Description:

Annual Supervision-Related Reporting Pursuant to Cboe Options/C2 Options Rules 8.16 and 9.2

File number: RC20-002
Date filed: January 16, 2020
Description:

Priority Review and Consolidated Options Audit Trail Report Card Option Hotline

File number: RC20-001
Date filed: January 8, 2020
Description:

Nomination of Representative Directors for Election at 2020 Annual Meetings