2010 Exchange Regulatory Circulars

File number: RG10-136
Date filed: December 30, 2010
Description:

RG10-136 Short Sale Marking

File number: RG10-135
Date filed: December 31, 2010
Description:

RG10-135 VIX Floor Brokerage Fees

File number: RG10-134
Date filed: December 27, 2010
Description:

RG10-134 Update on Classes to be Added to the Penny Pilot Program on January 4, 2011

File number: RG10-133
Date filed: December 21, 2010
Description:

RG10-133 China Telecom Corp. Ltd. (CHA)

File number: RG10-132
Date filed: December 21, 2010
Description:

RG10-132 Prearranged Trades

File number: RG10-131
Date filed: December 17, 2010
Description:

RG10-131 2011 Fee Changes

File number: RG10-130
Date filed: December 13, 2010
Description:

RG10-130 Restrictions on Transactions in the Great Atlantic and Pacific Tea Company ("GAP/GAPTQ")

File number: RG10-129
Date filed: December 13, 2010
Description:

RG10-129 CBSX Trader News Update CBSX to Change Processing of Odd-Mixed lot Orders

File number: RG10-128
Date filed: December 8, 2010
Description:

RG10-128 Restrictions on Transactions in RINO International Corp. ("RINO")

File number: RG10-127
Date filed: December 7, 2010
Description:

RG10-127 Modification to Regulatory Fee

File number: RG10-126
Date filed: December 1, 2010
Description:

RG10-126 Professional Orders - Aggregation of Accounts

File number: RG10-125
Date filed: December 1, 2010
Description:

RG10-125 SPX PM-settled Weeklys (End-of-Week Options) System Settings

File number: RG10-124
Date filed: December 1, 2010
Description:

RG10-124 Suspension of Marketing Fee Collection for most Electronic Transactions in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG10-123
Date filed: November 30, 2010
Description:

RG10-123 Trading Permit Holder Application and Other Related Fees

File number: RG10-122
Date filed: November 30, 2010
Description:

RG10-122 Change to Rebate for Qualifying Market Maker Transactions in Hybrid Agency Liaison (HAL) Mechanism

File number: RG10-121
Date filed: November 30, 2010
Description:

RG10-121 Continuation of Qualified Waiver of $.18 Customer Transaction Fee in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG10-120
Date filed: November 24, 2010
Description:

RG10-120 Proposal Regarding Registration and Qualification Requirements for Trading Permit Holders and Associated Persons

File number: RG10-119
Date filed: November 19, 2010
Description:

RG10-119 Gratuities - Rule 4.4

File number: RG10-118
Date filed: November 16, 2010
Description:

RG10-118 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG10-117
Date filed: November 16, 2010
Description:

RG10-117 Amendments to CBSX RMM, LMM & DPM Obligations Effective December 6, 2010

File number: RG10-116
Date filed: November 9, 2010
Description:

RG10-116 Restrictions on Transactions in Ambac Financial Group, Inc. ("ABK/ABKFQ")

File number: RG10-115
Date filed: November 4, 2010
Description:

RG10-115 Restrictions on Transactions in Penwest Pharmaceuticals ("PPCO")

File number: RG10-114
Date filed: November 3, 2010
Description:

RG10-114 Restrictions on Transactions in Raser Tech, Inc. ("RZ/RZTI")

File number: RG10-113
Date filed: November 1, 2010
Description:

RG10-113 Complex Order Auction (COA) Responses in SPX, OEX and XEO

File number: RG10-112
Date filed: October 28, 2010
Description:

RG10-112 Launch of P.M.-Settled End of Week (i.e. "Week-End") SPX Options on Thursday, December 2, 2010

File number: RG10-111
Date filed: October 28, 2010
Description:

RG10-111 SPX "Weeklys" and End of Week (i.e. "Week-End") Options

File number: RG10-110
Date filed: October 27, 2010
Description:

RG10-110 Delta Position Limit Hedge Exemption

File number: RG10-109
Date filed: October 21, 2010
Description:

RG10-109 Expansion of $0.50 Strike Price Program in Equity Option Classes

File number: RG10-108
Date filed: October 21, 2010
Description:

RG10-108 Continuing Education Firm Element Advisory

File number: RG10-107
Date filed: October 15, 2010
Description:

RG10-107 Hybrid Allocation Algorithm for SPX

File number: RG10-106
Date filed: October 14, 2010
Description:

RG10-106 Restrictions on Transactions in Satyam Computer Services Ltd. ("SAY/SAYCY")

File number: RG10-105
Date filed: October 13, 2010
Description:

RG10-105 Statutory Disqualifications

File number: RG10-104
Date filed: October 13, 2010
Description:

RG10-104 Trading Permit Holder On-Line Appointment System

File number: RG10-103
Date filed: October 11, 2010
Description:

RG10-103 SEC Staff Issues Guidance on Rule 201 of Regulation SHO

File number: RG10-102
Date filed: October 4, 2010
Description:

RG10-102 FLEX Third Friday-of-the-Month Expiration Requirements

File number: RG10-101
Date filed: October 1, 2010
Description:

RG10-101 Master Accounts and Sub-Accounts

File number: RG10-100
Date filed: September 24, 2010
Description:

RG10-100 American Commercial Lines Inc. (ACLI)

File number: RG10-099
Date filed: September 22, 2010
Description:

RG10-099 Proposed Amendments to CBSX RMM, LMM, & DPM Obligations

File number: RG10-098
Date filed: September 22, 2010
Description:

RG10-098 Individual Stock Trading Pause & CBSX Clearly Erroneous Rules Amended

File number: RG10-097
Date filed: September 8, 2010
Description:

RG10-097 Restrictions on Transactions in Trico Marine Services, Inc. ("TRMA")

File number: RG10-096
Date filed: September 7, 2010
Description:

RG10-096 HAL Auction and CBOE Rule 8.7, Interpretation .03A

File number: RG10-095
Date filed: September 3, 2010
Description:

RG10-095 Qualified Waiver of $.18 Customer Transaction Fee in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG10-094
Date filed: September 7, 2010
Description:

RG10-094 Contrary Exercise Advice Revisions and Amendments to Expiring Exercise Declaration Procedures for Noncash-Settled Equity Options

File number: RG10-093
Date filed: August 24, 2010
Description:

RG10-093 Changes to Mnior Rule Violation Plan - Rule 17.50

File number: RG10-092
Date filed: August 17, 2010
Description:

RG10-092 Exchange Routing Fee for Customer Orders of 1,000 or More Contracts

File number: RG10-091
Date filed: August 17, 2010
Description:

RG10-091 HAL Auction

File number: RG10-090
Date filed: August 13, 2010
Description:

RG10-090 Qualified Contingent Trades - Rule 611(d) of REG NMS Exemptions

File number: RG10-089
Date filed: August 2, 2010
Description:

RG10-089 Trading Permit Holder Application and Other Related Fees

File number: RG10-088
Date filed: July 27, 2010
Description:

RG10-088 Changes to Marketing Fee Program for SPY and IWM Options

File number: RG10-087
Date filed: July 23, 2010
Description:

RG10-087 Updated List of 75 Classes to be Added to the Penny Pilot on August 2, 2010

File number: RG10-086
Date filed: July 19, 2010
Description:

RG10-086 Penny Pilot Expansion - List of 75 Classes to be Added August 2, 2010

File number: RG10-085
Date filed: July 12, 2010
Description:

RG10-085 Restrictions on Transactions in Deutsche Telekom AG ADS ("DT/DTEGY")

File number: RG10-084
Date filed: July 8, 2010
Description:

RG10-084 Restrictions on Transactions in Federal National Mortgage Association ("FNM/FNMA")

File number: RG10-083
Date filed: July 8, 2010
Description:

RG10-083 Restrictions on Transactions in Freddie Mac ("FRE/FMCC")

File number: RG10-082
Date filed: July 7, 2010
Description:

RG10-082 Expansion of $1 Strike Program

File number: RG10-081
Date filed: July 7, 2010
Description:

RG10-081 Committee Standards and Procedures

File number: RG10-080
Date filed: July 6, 2010
Description:

RG10-080 Multi-Class Broad-Based Index Spread Transactions Are Not Subject to SPX Tier Appointment Fee

File number: RG10-079
Date filed: July 7, 2010
Description:

RG10-079 Restrictions on Transactions in Blockbuster Inc. ("BBI/BLOKA")

File number: RG10-078
Date filed: July 2, 2010
Description:

RG10-078 Update on Classes to be Added to the Penny Pilot Program on July 6, 2010

File number: RG10-077
Date filed: June 30, 2010
Description:

RG10-077 Weekly Option Series

File number: RG10-076
Date filed: June 22, 2010
Description:

RG10-076 Restrictions on Transactions in Corriente Resources, Inc. ("ETQ/CRRRF")

File number: RG10-075
Date filed: June 22, 2010
Description:

RG10-075 Reserve Orders

File number: RG10-074
Date filed: June 23, 2010
Description:

RG10-074 Penny Pilot Program - Class to be Added July 6, 2010

File number: RG10-073
Date filed: June 21, 2010
Description:

RG10-073 Restrictions on Transactions in Deutsche Telekom AG ("DT/DTEGY")

File number: RG10-072
Date filed: June 21, 2010
Description:

RG10-072 Trading Permit Holder Application and Other Related Fees

File number: RG10-071
Date filed: June 18, 2010
Description:

RG10-071 Post-Demutualization Trading Permit Implementation

File number: RG10-070
Date filed: June 14, 2010
Description:

RG10-070 Termination of Seat Market and Post-Demutualization Trading Permit Implementation

File number: RG10-069
Date filed: June 14, 2010
Description:

RG10-069 Rule Change Regarding Correlated Instruments Delta Hedge Exemption

File number: RG10-068
Date filed: June 10, 2010
Description:

RG10-068 Single-Stock Circuit Breakers in S&P 500 Securities

File number: RG10-067
Date filed: June 8, 2010
Description:

RG10-067 Supplement to the Options Disclosure Document

File number: RG10-066
Date filed: June 7, 2010
Description:

RG10-066 Restrictions on Transactions in Daimler AG ("DAI")

File number: RG10-065
Date filed: June 1, 2010
Description:

RG10-065 Trades Below $1

File number: RG10-064
Date filed: May 28, 2010
Description:

RG10-064 Marking Options

File number: RG10-063
Date filed: May 27, 2010
Description:

RG10-063 Seat Transaction Moratorium

File number: RG10-062
Date filed: May 27, 2010
Description:

RG10-062 Multi-Class Broad-Based Index Spread Orders

File number: RG10-061
Date filed: May 26, 2010
Description:

RG10-061 Prearranged Trades

File number: RG10-060
Date filed: May 28, 2010
Description:

RG10-060 Temporary Membership Status and Interim Trading Permit Access Fees for June 2010

File number: RG10-059
Date filed: May 24, 2010
Description:

RG10-059 Product Description & Margin and Net Capital Requirements - S&P 500 Annual Dividend Index Options

File number: RG10-058
Date filed: May 21, 2010
Description:

RG10-058 Seat Transaction Moratorium

File number: RG10-057
Date filed: May 20, 2010
Description:

RG10-057 Deadline for Permit Applications for Post-Demutualization Access Program

File number: RG10-056
Date filed: May 19, 2010
Description:

RG10-056 Regulatory Circular RG09-71 Restrictions Lifted on Transactions in Blue Nile Inc. ("NILE")

File number: RG10-055
Date filed: May 12, 2010
Description:

RG10-055 Membership Application and Other Membership Fees

File number: RG10-054
Date filed: May 10, 2010
Description:

RG10-054 Market Order Price Protection Levels (updates RG09-107)

File number: RG10-053
Date filed: April 30, 2010
Description:

RG10-053 Temporary Membership Status and Interim Trading Permit Access Fees for May 2010 and Post-Demutualization Trading Permit Application Reminder

File number: RG10-052
Date filed: April 28, 2010
Description:

RG10-052 Continuing Education Firm Element Advisory

File number: RG10-051
Date filed: April 27, 2010
Description:

RG10-051 Penny Pilot Expansion - Updated List of 75 Classes to be Added May 3, 2010

File number: RG10-050
Date filed: April 26, 2010
Description:

RG10-050 Seat Transaction Moratorium

File number: RG10-049
Date filed: April 23, 2010
Description:

RG10-049 Registration Process for Post-Demutualization Trading Permits

File number: RG10-048
Date filed: April 23, 2010
Description:

RG10-048 Post-Demutualization Access Program

File number: RG10-047
Date filed: April 14, 2010
Description:

RG10-047 Penny Pilot Expansion - List of 75 Classes to be Added May 3, 2010

File number: RG10-046
Date filed: April 7, 2010
Description:

RG10-046 Market-Maker Joint Account Trading in Open Outcry

File number: RG10-045
Date filed: March 30, 2010
Description:

RG10-045 Temporary Membership Status and Interim Trading Permit Access Fees Effective April 1, 2010

File number: RG10-044
Date filed: March 26, 2010
Description:

RG10-044 Restrictions on Transactions in AXA SA ("AXA & adj. ULB")

File number: RG10-043
Date filed: March 26, 2010
Description:

RG10-043 Expanded Maximum Order Size Limit

File number: RG10-042
Date filed: March 19, 2010
Description:

RG10-042 AIM AON Solicitation Auction Mechanism Notification Reminder

File number: RG10-041
Date filed: March 18, 2010
Description:

RG10-041 Food and Drink on the Trading Floor

File number: RG10-040
Date filed: March 12, 2010
Description:

RG10-040 Elimination of DPM and eDPM Seat Ownership Requirement

File number: RG10-039
Date filed: March 11, 2010
Description:

RG10-039 Seat Transaction Moratorium

File number: RG10-038
Date filed: March 8, 2010
Description:

RG10-038 Restrictions on Transactions in Cadbury PLC ("CBY")

File number: RG10-037
Date filed: March 11, 2010
Description:

RG10-037 Preferred Allocation for Complex Orders

File number: RG10-036
Date filed: March 4, 2010
Description:

RG10-036 Non-Customer Linkage Orders Charge-Back Revision

File number: RG10-035
Date filed: March 4, 2010
Description:

RG10-035 COATS Compliance Contra-Reporting

File number: RG10-034
Date filed: March 1, 2010
Description:

RG10-034 Quote Obligations

File number: RG10-033
Date filed: March 1, 2010
Description:

RG10-033 Product Description & Margin and Net Capital Requirements - S&P 500 Dividend Index Options

File number: RG10-032
Date filed: March 1, 2010
Description:

RG10-032 S&P 500 Dividend Index Options

File number: RG10-031
Date filed: February 26, 2010
Description:

RG10-031 Temporary Membership Status and Interim Trading Permit Access Fees Effective March 1, 2010 and April 1, 2010

File number: RG10-030
Date filed: February 24, 2010
Description:

RG10-030 Bid-Ask Differentials

File number: RG10-029
Date filed: February 24, 2010
Description:

RG10-029 Complex Order Auction (COA) timer change

File number: RG10-028
Date filed: February 23, 2010
Description:

RG10-028 Modification to Options Regulatory Fee

File number: RG10-027
Date filed: February 19, 2010
Description:

RG10-027 Obligation to Ensure Customer Book Priority

File number: RG10-026
Date filed: February 17, 2010
Description:

RG10-026 Membership Application and Other Membership Fees

File number: RG10-025
Date filed: February 16, 2010
Description:

RG10-025 Allocation of Electronically-Executed 1-5 Lot Orders

File number: RG10-024
Date filed: February 10, 2010
Description:

RG10-024 Year-End Anti-Money Laundering Filing Year-End Focus Reports and Schedule l Both Due March 1, 2010

File number: RG10-023
Date filed: February 2, 2010
Description:

RG10-023 FLEX Expiration Blackout Period Requirements

File number: RG10-022
Date filed: February 17, 2010
Description:

RG10-022 CFLEX Settings and Trading Procedures (Revised)

File number: RG10-021
Date filed: February 2, 2010
Description:

RG10-021 Approval of FLEX Pilots

File number: RG10-020
Date filed: January 29, 2010
Description:

RG10-020 Instant Messaging and E-mail

File number: RG10-019
Date filed: January 29, 2010
Description:

RG10-019 Temporary Membership Status and Interim Trading Permit Access Fees Effective February 1, 2010

File number: RG10-018
Date filed: January 29, 2010
Description:

RG10-018 Information Barriers of DPMs and eDPMs

File number: RG10-017
Date filed: January 27, 2010
Description:

RG10-017 Market-Maker, DPM, e-DPM, and LMM Quoting Obligations in Hybrid Classes

File number: RG10-016
Date filed: January 21, 2010
Description:

RG10-016 Penny Pilot Expansion List of 75 Classes to be Added February 1, 2010 IWM and SPY - Minimum Increment Changing to $.01 on February 1, 2010

File number: RG10-015
Date filed: January 25, 2010
Description:

RG10-015 CBSX Extended Trading Hours

File number: RG10-014
Date filed: January 15, 2010
Description:

RG10-014 Distributive Linkage - PAR Sweep and Return Functionality

File number: RG10-013
Date filed: January 15, 2010
Description:

RG10-013 Qualified Contingent Trades - Rule 611(d) of REG NMS Exemptions

File number: RG10-012
Date filed: January 14, 2010
Description:

RG10-012 Order Origin Code Requirements

File number: RG10-011
Date filed: January 12, 2010
Description:

RG10-011 COATS Floor Broker (FB) Contra Trade Time Match Report

File number: RG10-010
Date filed: January 11, 2010
Description:

RG10-010 Changes in Regulatory Division policy regarding Reporting Requirements for Certain Broad-Based Index Option Positions

File number: RG10-009
Date filed: January 8, 2010
Description:

RG10-009 Transfer Incentive Program

File number: RG10-008
Date filed: January 8, 2010
Description:

RG10-008 Summary of 2009 Year-End Regulatory Reporting Requirements

File number: RG10-007
Date filed: January 6, 2010
Description:

RG10-007 Supplement to the Options Disclosure Document

File number: RG10-006
Date filed: January 5, 2010
Description:

RG10-006 Required Cutover to the OCC Large Options Positions Report ("LOPR")

File number: RG10-005
Date filed: January 4, 2010
Description:

RG10-005 Regulatory Circular RG09-126

File number: RG10-004
Date filed: January 4, 2010
Description:

RG10-004 Penny Pilot Program - Classes to be Added January 5, 2010

File number: RG10-003
Date filed: January 4, 2010
Description:

RG10-003 FOCUS REPORT (Form X-17A-5) 2009 Year-End Filing Due MARCH 1, 2010

File number: RG10-002
Date filed: January 4, 2010
Description:

RG10-002 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20) Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG10-001
Date filed: January 4, 2010
Description:

RG10-001 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20)