1997 Cboe Exchange Regulatory Circulars

File number: RG97-99
Date filed: July 31, 1997
Description:

RG97-099 DPM RAES Obligations

File number: RG97-92
Date filed: July 16, 1997
Description:

RG97-92 Telephone Order Entry in Equity Trading Crowds

File number: RG97-88
Date filed: July 9, 1997
Description:

RG97-88 Position Limit Violations

File number: RG97-79
Date filed: June 18, 1997
Description:

RG97-079 Memorandum of Understanding - Update

File number: RG97-55
Date filed: May 6, 1997
Description:

RG97-055 Trading Floor Dress Code on Casual Days

File number: RG97-54
Date filed: May 6, 1997
Description:

RG97-054 Summer Casual Days

File number: RG97-53
Date filed: May 6, 1997
Description:

RG97-053 Monthly Option Series Delisting Program

File number: RG97-52
Date filed: May 5, 1997
Description:

RG97-052 Next Nasdaq 50

File number: RG97-51
Date filed: May 1, 1997
Description:

RG97-051 Option Trading Permit Lease Pool Procedures

File number: RG97-50
Date filed: April 30, 1997
Description:

RG97-050 The Bear Stearns Companies Inc. S&P 500 Linked Notes due May * , 2003

File number: RG97-49
Date filed: April 28, 1997
Description:

RG97-049 Next Nasdaq 50

File number: RG97-48
Date filed: April 23, 1997
Description:

RG97-048 Discretionary Orders

File number: RG97-47
Date filed: April 21, 1997
Description:

RG97-047 SEC Order Handling Rules

File number: RG97-46
Date filed: April 18, 1997
Description:

RG97-046 Centennial Technology Inc. (CTN) Options

File number: RG97-45
Date filed: April 14, 1997
Description:

RG97-045 Record Member Matching

File number: RG97-44
Date filed: April 23, 1997
Description:

RG97-044 1997 Paperback Constitution and Rules

File number: RG97-43
Date filed: April 4, 1997
Description:

RG97-043 DPM Participation Rights

File number: RG97-42
Date filed: April 3, 1997
Description:

RG97-042 Capital and Margin Requirements for the Morgan Stanley Multinational Company Index

File number: RG97-41
Date filed: April 1, 1997
Description:

RG97-041 Exemption from the Tick Requirements of the Short Sale Rule for S&P 500 Index Bear Market Warrants

File number: RG97-40
Date filed: March 26, 1997
Description:

RG97-040 Capital Implications for Market-Makers Trading Structured Products

File number: RG97-39
Date filed: March 20, 1997
Description:

RG97-039 Centennial Technology Inc. (CTN) Options

File number: RG97-38
Date filed: March 20, 1997
Description:

RG97-038 Japan Export Index Call Warrants, Expiring March * , 1999

File number: RG97-37
Date filed: March 18, 1997
Description:

RG97-037 Trading Halt Policy

File number: RG97-36
Date filed: March 12, 1997
Description:

RG97-036 OEX-SPX Spreads

File number: RG97-35
Date filed: March 12, 1997
Description:

RG97-035 Exchange Phone Abuse

File number: RG97-34
Date filed: March 7, 1997
Description:

RG97-034 Record Member Matching

File number: RG97-33
Date filed: March 11, 1997
Description:

RG97-033 INTER-EXCHANGE PROCEDURES IN VOLATILE MARKETS

File number: RG97-32
Date filed: March 7, 1997
Description:

RG97-032 Expiring Unmatched Trade Resolution

File number: RG97-31
Date filed: March 12, 1997
Description:

RG97-031 Reporting Certain Orders and Positions

File number: RG97-30
Date filed: March 4, 1997
Description:

RG97-030 Restrictions on Transactions in Centennial Technology Inc. (CTN) Options

File number: RG97-29
Date filed: March 4, 1997
Description:

RG97-029 Options Series Delisting for March 4th

File number: RG97-28
Date filed: March 3, 1997
Description:

RG97-028 NYSE Option Program Relocation Project -Option Trading Permit Lease Pool Procedures

File number: RG97-27
Date filed: February 28, 1997
Description:

RG97-027 Restrictions on Transactions in Centennial Technology Inc. (CTN) Options

File number: RG97-26
Date filed: February 28, 1997
Description:

RG97-026 Approval of Certain International Registered Representative Examinations

File number: RG97-25
Date filed: February 27, 1997
Description:

RG97-025 Smith Barney Holdings, Inc. - S&P 500 Equity Linked Notes due *, 2002

File number: RG97-24
Date filed: February 26, 1997
Description:

RG97-024 Restrictions on Transactions in Centennial Technology Inc. (CTN) Options

File number: RG97-23
Date filed: February 25, 1997
Description:

RG97-023 Lessor Financial Exposure

File number: RG97-22
Date filed: February 21, 1997
Description:

RG97-022 SEC Order Execution Rules

File number: RG97-21
Date filed: February 14, 1997
Description:

RG97-021 Centennial Technology Inc. (CTN)/Exercise Advice Procedures

File number: RG97-20
Date filed: February 20, 1997
Description:

RG97-020 Extension of Index FLEX Trading Hours

File number: RG97-19
Date filed: February 7, 1997
Description:

RG97-019 New PAR Functionality - Contingency, Discretionary Orders

File number: RG97-18
Date filed: February 7, 1997
Description:

RG97-018 Order Routing of Contingency Orders

File number: RG97-171
Date filed: December 18, 1997
Description:

RG97-171 Options on the Standard and Poors 500 Index (SPX)

File number: RG97-170
Date filed: December 18, 1997
Description:

RG97-170 Options on Telecommunicacoes Brasileiras SA (TBR), (TYR) and TBR LEAPS

File number: RG97-17
Date filed: February 7, 1997
Description:

RG97-017 SEC Order Execution Rules

File number: RG97-169
Date filed: December 11, 1997
Description:

RG97-169 Elimination of the Prohibition Against Headsets and Other Technologies

File number: RG97-168
Date filed: December 12, 1997
Description:

RG97-168 Closing Rotation on December 31, 1997

File number: RG97-167
Date filed: December 10, 1997
Description:

RG97-167 Collusion, Harassment and Intimidation

File number: RG97-166
Date filed: December 11, 1997
Description:

RG97-166 Prearranged Trading

File number: RG97-165
Date filed: December 10, 1997
Description:

RG97-165 December 24 and December 26, 1997, Early Exercise Advice Cutoff Time

File number: RG97-164
Date filed: December 5, 1997
Description:

RG97-164 Lipper Analytical / Salomon Brothers Growth Funds Index Options (LGO) and Lipper Analytical / Salomon Brothers Growth and Income Funds Index Options (LIO)

File number: RG97-163
Date filed: December 5, 1997
Description:

RG97-163 Gratuities?Rule 4.4

File number: RG97-162
Date filed: December 3, 1997
Description:

RG97-162 Equity FLEX (E-FLEX) Request For Quote (RFQ) and Order Handling Procedures; Procedures for Adding a Class to E-FLEX Eligible Classes

File number: RG97-161
Date filed: December 1, 1997
Description:

RG97-161 Expansion of ILX?s Basic Package

File number: RG97-160
Date filed: November 20, 1997
Description:

RG97-160 Expanded Expiration Trade Checking for S & P 100 Index (OEX) Options

File number: RG97-16
Date filed: February 3, 1997
Description:

RG97-016 Market-Maker Position Limit Exemptions

File number: RG97-159
Date filed: November 18, 1997
Description:

RG97-159 November 28, 1997, Early Exercise Advice Cutoff Time

File number: RG97-158
Date filed: November 13, 1997
Description:

RG97-158 Options on the Russell 2000 Index (RUT & RUZ)

File number: RG97-157
Date filed: November 13, 1997
Description:

RG97-157 Submission of Price Reports

File number: RG97-156
Date filed: November 12, 1997
Description:

RG97-156 Option Trading Permit Lease Pool Procedures

File number: RG97-155
Date filed: November 24, 1997
Description:

RG97-155 S&P 100 ("OEX/OEW/OEZ/OEB") 2-for-1 Index Split

File number: RG97-154
Date filed: November 12, 1997
Description:

RG97-154 Trade Match Input Cutoff Changes

File number: RG97-153
Date filed: November 11, 1997
Description:

RG97-153 Option Series Delisting

File number: RG97-152
Date filed: November 10, 1997
Description:

RG97-152 SUSPENSION OF TRADING IN: INTERNATIONAL FINANCE CORPORATION S&P 500 Index Bear Market Warrants with 3-month Reset Expiring November 20, 1997

File number: RG97-151
Date filed: November 7, 1997
Description:

RG97-151 New Cellular Phone System

File number: RG97-150
Date filed: November 10, 1997
Description:

RG97-150 Nasdaq Expansion of Actual Size Pilot from 50 to 150 Stocks

File number: RG97-15
Date filed: January 31, 1997
Description:

RG97-015 Four digit strike prices

File number: RG97-149
Date filed: November 7, 1997
Description:

RG97-149 Options on the Standard and Poors 100 Index (OEX)

File number: RG97-148
Date filed: November 7, 1997
Description:

RG97-148 Options on Telecommunicacoes Brasileiras SA (TBR), (TYR) and TBR LEAPS

File number: RG97-147
Date filed: November 7, 1997
Description:

RG97-147 Options on the Standard and Poors 500 Index (SPX)

File number: RG97-146
Date filed: November 5, 1997
Description:

RG97-146 Salomon Inc Russell 2000 ?µ Stock Market Index Linked Exchangeable Securities Due November * , 2004

File number: RG97-145
Date filed: November 3, 1997
Description:

RG97-145 Index Classes Eligible for NASD Short Sale Rule Option Market-Maker Exemption

File number: RG97-144
Date filed: October 31, 1997
Description:

RG97-144 Inter-Exchange Procedures in Volatile Markets

File number: RG97-143
Date filed: October 24, 1997
Description:

RG97-143 S&P 100 (OEX) Bid/Ask Calculations

File number: RG97-142
Date filed: October 31, 1997
Description:

RG97-142 Trading and Order Procedures for Option Trading Permit Holders

File number: RG97-141
Date filed: October 20, 1997
Description:

RG97-141 Martin Luther King, Jr. Day as an Exchange Holiday

File number: RG97-140
Date filed: October 27, 1997
Description:

RG97-140 6.51 Reporting of Opposing Party Trade Information

File number: RG97-14
Date filed: January 31, 1997
Description:

RG97-014 Circuit Breaker Modifications

File number: RG97-139
Date filed: October 22, 1997
Description:

RG97-139 Schedule of Fines That May Be Imposed Pursuant to Rule 17.50 for Violations of DJX Crowd Standards of Trading Conduct

File number: RG97-138
Date filed: October 22, 1997
Description:

RG97-138 DJX Firm Quote Program

File number: RG97-137
Date filed: October 22, 1997
Description:

RG97-137 Joint Account Trading in OEX, SPX and DJX Indexes

File number: RG97-136
Date filed: October 10, 1997
Description:

RG97-136 Reporting Unusual Activity

File number: RG97-135
Date filed: October 6, 1997
Description:

RG97-135 Routing of Firm and Broker-Dealer Orders to PAR Stations DJX

File number: RG97-134
Date filed: October 9, 1997
Description:

RG97-134 RAES Participation Requirements Respecting Non-OEX/SPX Options Classes (RG95-86 Reissued)

File number: RG97-133
Date filed: October 6, 1997
Description:

RG97-133 DPM Participation Rights

File number: RG97-132
Date filed: January 2, 1997
Description:

RG97-132 CBOT/CME Trading Hours and Circuit Breaker Information

File number: RG97-131
Date filed: October 3, 1997
Description:

RG97-131 Capital and Margin Requirements for Dow Jones Transportation and Utility Indexes

File number: RG97-130
Date filed: October 2, 1997
Description:

RG97-130 Prearranged Trading

File number: RG97-129
Date filed: October 6, 1997
Description:

RG97-129 Next 850 Nasdaq Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-128
Date filed: October 1, 1997
Description:

RG97-128 Trading Issues Related to DJX Options

File number: RG97-127
Date filed: October 1, 1997
Description:

RG97-127 FLEX Trade Processing Procedures

File number: RG97-126
Date filed: September 29, 1997
Description:

RG97-126 Capital & Margin Requirements for the Dow Jones Industrial Index Options

File number: RG97-125
Date filed: September 29, 1997
Description:

RG97-125 Next 850 Nasdaq Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-124
Date filed: September 25, 1997
Description:

RG97-124 Marking Options

File number: RG97-123
Date filed: September 25, 1997
Description:

RG97-123 Equity FLEX Position Limits

File number: RG97-122
Date filed: September 22, 1997
Description:

RG97-122 Next 850 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-121
Date filed: September 19, 1997
Description:

RG97-121 Closing Rotation on September 30, 1997

File number: RG97-120
Date filed: September 16, 1997
Description:

RG97-120 Videotaped Submissions to the Business Conduct Committee

File number: RG97-119
Date filed: September 15, 1997
Description:

RG97-119 Next 850 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-118
Date filed: September 16, 1997
Description:

RG97-118 Smith Barney Holdings Inc. S&P 500 Equity Linked Notes due * , 2003

File number: RG97-117
Date filed: September 10, 1997
Description:

RG97-117 Amendments to Rules 24A.5(e) and 24A.9(d) concerning Index FLEX Submitting Member Participation Entitlements and Index FLEX Maximum Bid-Offer Differentials

File number: RG97-116
Date filed: September 9, 1997
Description:

RG97-116 Revisions to CBOE Rules 9.24 and 9.21

File number: RG97-115
Date filed: September 8, 1997
Description:

RG97-115 Next 850 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-114
Date filed: September 5, 1997
Description:

RG97-114 Responsibilities and Obligations of Designated Primary Market Makers

File number: RG97-113
Date filed: September 5, 1997
Description:

RG97-113 Responsibilities of Floor Brokers

File number: RG97-112
Date filed: September 4, 1997
Description:

RG97-112 Proprietary Autoquote Systems

File number: RG97-111
Date filed: September 8, 1997
Description:

RG97-111 New Pager System Fees

File number: RG97-110
Date filed: September 3, 1997
Description:

RG97-110 Trading Floor Dress Code on Casual Days

File number: RG97-109
Date filed: September 2, 1997
Description:

RG97-109 OCC/CME Cross Margin Firms

File number: RG97-108
Date filed: August 29, 1997
Description:

RG97-108 Stock Executions and Trading Halts in the OTC Market

File number: RG97-107
Date filed: August 29, 1997
Description:

RG97-107 Reverse Rotations

File number: RG97-106
Date filed: August 21, 1997
Description:

RG97-106 Option Trading Permit Lease Pool Procedures

File number: RG97-105
Date filed: August 15, 1997
Description:

RG97-105 Morning Resolution of Unmatched Trades

File number: RG97-104
Date filed: August 15, 1997
Description:

RG97-104 Membership Application Submission Deadlines

File number: RG97-103
Date filed: August 7, 1997
Description:

RG97-103 Minimum Contracts for Closing Out Positions in Equity Flex

File number: RG97-102
Date filed: August 11, 1997
Description:

RG97-102 Next 250 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-101
Date filed: August 6, 1997
Description:

RG97-101 Salomon Inc. Nikkei 225 Index Securities due August * , 2002

File number: RG97-100
Date filed: August 4, 1997
Description:

RG97-100 Next 250 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-098
Date filed: July 31, 1997
Description:

RG97-098 Rules Governing Entry of Orders via RAES and Electronic Book

File number: RG97-097
Date filed: July 29, 1997
Description:

RG97-097 Approval to Trade Index Linked Notes

File number: RG97-095
Date filed: July 21, 1997
Description:

RG97-095 Obligations of DPMs With Regard to Booking Orders

File number: RG97-094
Date filed: July 21, 1997
Description:

RG97-094 Prohibition on Clerk Trading

File number: RG97-093
Date filed: July 18, 1997
Description:

RG97-093 Buenos Aires Embotelladora S.A. (BAE) July, 1997 expiration

File number: RG97-091
Date filed: July 14, 1997
Description:

RG97-091 Transfer of Positions

File number: RG97-090
Date filed: July 21, 1997
Description:

RG97-090 Position and Exercise Limits

File number: RG97-089
Date filed: July 9, 1997
Description:

RG97-089 Changes to Option SRO Margin Rules

File number: RG97-087
Date filed: July 8, 1997
Description:

RG97-087 DPM Participation Rights

File number: RG97-086
Date filed: July 7, 1997
Description:

RG97-086 Expansion of RAES in OEX Options.

File number: RG97-085
Date filed: July 3, 1997
Description:

RG97-085 Risk-based Haircut Amendments to SEC Net Capital Rule 15c3-1 Effective September 1, 1997

File number: RG97-084
Date filed: July 7, 1997
Description:

RG97-084 Next 50 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-083
Date filed: July 2, 1997
Description:

RG97-083 OEX-SPX Spreads

File number: RG97-082
Date filed: June 27, 1997
Description:

RG97-082 Disclosure to Customers of Allocation of Exercise Notice Methodology

File number: RG97-081
Date filed: June 30, 1997
Description:

RG97-081 Next 50 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-080
Date filed: June 25, 1997
Description:

RG97-080 Obligations of Competing Market-Makers

File number: RG97-078
Date filed: June 20, 1997
Description:

RG97-078 Broker-Dealer Orders Prohibited on the NASDAQ Small Order Execution System (SOES)

File number: RG97-076
Date filed: June 23, 1997
Description:

RG97-076 Next 50 NASDAQ Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-075
Date filed: June 16, 1997
Description:

RG97-075 E-Mail

File number: RG97-074
Date filed: June 12, 1997
Description:

RG97-074 Changes to CBOE Margin Rules Market-Maker Permitted Offset Treatment

File number: RG97-073
Date filed: June 10, 1997
Description:

RG97-073 CBOE Structued Product Information

File number: RG97-072
Date filed: June 10, 1997
Description:

RG97-072 Equity Flex (E-FLEX) Trading Procedures

File number: RG97-071
Date filed: March 26, 1997
Description:

RG97-071 Capital Implication for Market-Makers Trading Structured Products (RG97-40 Reissued)

File number: RG97-070
Date filed: June 8, 1997
Description:

RG97-070 Stock Buy-Ins. (Supplements RG95-29)

File number: RG97-069
Date filed: June 2, 1997
Description:

RG97-069 Change in Closing Time Frame 3:10 p.m. to 3:02 p.m.

File number: RG97-068
Date filed: June 9, 1997
Description:

RG97-068 Next 50 Nasdaq Stocks Subject to New Order Handling Rules

File number: RG97-067
Date filed: June 4, 1997
Description:

RG97-067 Permanent Approval of Order Routing of Contingency Orders (RG97-18 Revised)

File number: RG97-065
Date filed: June 2, 1997
Description:

RG97-065 Next 50 NASDAQ Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-064
Date filed: May 30, 1997
Description:

RG97-064 Record Member Matching (RG97-45 Revised)

File number: RG97-063
Date filed: May 27, 1997
Description:

RG97-063 Next 50 NASDAQ Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-062
Date filed: May 19, 1997
Description:

RG97-062 Industry Index Option Position Limit Increase (RG95-95 Revised

File number: RG97-061
Date filed: May 16, 1997
Description:

RG97-061 The Bear Stearns Companies Inc. & S&P 500 Linked Notes Due May 20, 2003 (RG97-50 Revised)

File number: RG97-060
Date filed: May 15, 1997
Description:

RG97-060 Bre-X Minerals Ltd. (QBT)

File number: RG97-059
Date filed: May 19, 1997
Description:

RG97-059 Next 50 Nasdaq Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-058
Date filed: May 9, 1997
Description:

RG97-058 Trading Halt Policy (RG97-37 Revised)

File number: RG97-057
Date filed: May 12, 1997
Description:

RG97-057 Next 50 Nasdaq Stocks Subject to New Order Handling Rules (Supplements RG97-22)

File number: RG97-056
Date filed: May 6, 1997
Description:

RG97-056 CBOE Trading Floor Dress Code (RG95-107 Reissued)

File number: RG97-013
Date filed: January 30, 1997
Description:

RG97-013 Firm Facilitation Position Limit Exemption (RG96-101 Revised)

File number: RG97-012
Date filed: February 12, 1997
Description:

RG97-012 1996 Regulatory Circulars

File number: RG97-011
Date filed: January 27, 1997
Description:

RG97-011 New Vendor Services

File number: RG97-010
Date filed: January 17, 1997
Description:

RG97-010 Lease Agreement Requirements and Lessor Exposure (RG93-41 Reissued, Revised by RG97-23)

File number: RG97-009
Date filed: January 20, 1997
Description:

RG97-009 Interest Rate Options - Early Close

File number: RG97-008
Date filed: January 14, 1997
Description:

RG97-008 SEC Order Execution Rules (Supplemented by RG97-17)

File number: RG97-007
Date filed: January 13, 1997
Description:

RG97-007 Focus Report (Form X-17A-5)

File number: RG97-006
Date filed: January 13, 1997
Description:

RG97-006 Expiration Friday Trade Checking Pilot

File number: RG97-005
Date filed: January 14, 1997
Description:

RG97-005 Transfer of Positions

File number: RG97-004
Date filed: January 9, 1997
Description:

RG97-004 DPM Participation Rights (RG96-87 Revised)

File number: RG97-003
Date filed: January 8, 1997
Description:

RG97-003 Telephone Order Entry in Equity Trading Crowds (Supplements RG94-26, Revised in RG97-92)

File number: RG97-002
Date filed: January 20, 1997
Description:

RG97-002 Unhedged Position and Exercise Limits (RG95-60 Revised)

File number: RG97-001
Date filed: January 8, 1997
Description:

RG97-001 Exercise on the Day Prior to Expiration for Position Limit Purposes