2011 Cboe Exchange Regulatory Circulars

File number: RG11-172
Date filed: December 30, 2011
Description:

RG11-172 Trading Permit Holder Application and Other Related Fees

File number: RG11-171
Date filed: December 29, 2011
Description:

RG11-171 Restrictions on Transactions in Reddy Ice Holdings Inc. ("FRZ")

File number: RG11-170
Date filed: December 28, 2011
Description:

RG11-170 Revised Circular on 2012 Marketing Fees on Index and ETF Options

File number: RG11-169
Date filed: December 29, 2011
Description:

RG11-169 Restrictions on Transactions in China Education Alliance, Inc. ("CEU")

File number: RG11-168
Date filed: December 28, 2011
Description:

RG11-168 Restrictions on Transactions in Delta Petroleum Corporation ("DPTR")

File number: RG11-167
Date filed: December 27, 2011
Description:

RG11-167 Penny Pilot Program - Classes to be Added January 4, 2012

File number: RG11-166
Date filed: December 23, 2011
Description:

RG11-166 Relocation of ETF Option Classes from Post 6, Station 4 to Post 6, Station 6

File number: RG11-165
Date filed: December 21, 2011
Description:

RG11-165 CBOE, CBSX and ISG Enhance Electronic Blue Sheet Submissions

File number: RG11-164
Date filed: December 20, 2011
Description:

RG11-164 Prearranged Trades

File number: RG11-163
Date filed: December 19, 2011
Description:

RG11-163 Adjusted Options Series

File number: RG11-162
Date filed: December 19, 2011
Description:

RG11-162 Marketing Fees on Index Options

File number: RG11-161
Date filed: December 15, 2011
Description:

RG11-161 2012 Floor Broker Trading Permits and Floor Broker Trading Permit Sliding Scale 2012 SPX Floor Broker Surcharge

File number: RG11-160
Date filed: December 14, 2011
Description:

RG11-160 Activation of HAL-O in NDX, QQQ, RUT, SPY, and GLD

File number: RG11-159
Date filed: December 14, 2011
Description:

RG11-159 Requirements of Continuing Education Firm Element

File number: RG11-158
Date filed: December 8, 2011
Description:

RG11-158 Trading Permit Sliding Scale Programs

File number: RG11-157
Date filed: December 6, 2011
Description:

RG11-157 Restrictions on Transactions in Telecom Corporation of New Zealand Adjusted Symbol (NZT1)

File number: RG11-156
Date filed: December 5, 2011
Description:

RG11-156 2012 Fee Changes

File number: RG11-155
Date filed: December 2, 2011
Description:

RG11-155 Restrictions on Transactions in Evergreen Energy, Inc. ("EEE")

File number: RG11-154
Date filed: December 2, 2011
Description:

RG11-154 CBOE Complex Order Processing - Deactivation of Percentage Distance Price Check and Re-COA

File number: RG11-153
Date filed: December 1, 2011
Description:

RG11-153 2012 Fee Changes

File number: RG11-152
Date filed: November 30, 2011
Description:

RG11-152 Volume Incentive Program (VIP)

File number: RG11-151
Date filed: November 30, 2011
Description:

RG11-151 Accessing CBSX Via Service Bureau or Connectivity Provider Logons

File number: RG11-150
Date filed: November 29, 2011
Description:

RG11-150 Gratuities - Rule 4.4

File number: RG11-149
Date filed: November 29, 2011
Description:

RG11-149 Operational Systems Settings

File number: RG11-148
Date filed: November 29, 2011
Description:

RG11-148 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG11-147
Date filed: November 28, 2011
Description:

RG11-147 Change to Closing Time on Last Trading Day for Expiring End of Week Options

File number: RG11-146
Date filed: November 25, 2011
Description:

RG11-146 Restrictions on Transactions in PMI Group ("PMI")

File number: RG11-145
Date filed: November 23, 2011
Description:

RG11-145 FLEX Options-Customer Transaction Fees to Apply to Non-Trading Permit Holder Broker-Dealer Orders

File number: RG11-144
Date filed: November 23, 2011
Description:

RG11-144 Floor Broker Workstation (FBW) Market Access Controls Window

File number: RG11-143
Date filed: November 23, 2011
Description:

RG11-143 Establishing New Series in FLEX Options

File number: RG11-142
Date filed: November 21, 2011
Description:

RG11-142 Communication with Solicited Parties

File number: RG11-141
Date filed: November 18, 2011
Description:

RG11-141 Operational Systems Settings

File number: RG11-140
Date filed: November 17, 2011
Description:

RG11-140 Restrictions on Transactions in General Maritime Corporation ("GMR")

File number: RG11-139
Date filed: November 18, 2011
Description:

RG11-139 Prefix Usage for SPX Combination ("Combo") Orders

File number: RG11-138
Date filed: November 17, 2011
Description:

RG11-138 Relocation of the Industrial Select SPDR Fund (XLI) and the Consumer Discretionary Select SPDR Fund (XLY) Option Classes

File number: RG11-137
Date filed: November 17, 2011
Description:

RG11-137 Clarification Regarding Limited Extension to Deadline to Comply with Registration and Qualification Requirements

File number: RG11-136
Date filed: November 16, 2011
Description:

RG11-136 Change to Closing Time on Last Trading Day for Expiring End of Week Options

File number: RG11-135
Date filed: November 15, 2011
Description:

RG11-135 CBSX to Restrict Order Acceptance in HOLDRS to Round-Lot Quantities

File number: RG11-134
Date filed: November 15, 2011
Description:

RG11-134 SEC NEP Risk Alert on Master/Sub-Account Trading Arrangements

File number: RG11-133
Date filed: November 10, 2011
Description:

RG11-133 Regulatory Independence Policy Q & A

File number: RG11-132
Date filed: November 7, 2011
Description:

RG11-132 Relocation of the Industrial Select SPDR Fund (XLI) and the Consumer Discretionary Select SPDR Fund (XLY) Option Classes

File number: RG11-131
Date filed: November 4, 2011
Description:

RG11-131 Deadline to Comply with Registration and Qualification Requirements & Limited Extension for Exam Failure

File number: RG11-130
Date filed: November 3, 2011
Description:

RG11-130 Continuing Education Firm Element Advisory

File number: RG11-129
Date filed: November 2, 2011
Description:

RG11-129 Restrictions on Transactions in MF Global Holdings Ltd. ("MF")

File number: RG11-128
Date filed: November 2, 2011
Description:

RG11-128 SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access COMPLIANCE DATE REMINDER

File number: RG11-127
Date filed: November 1, 2011
Description:

RG11-127 Summary Suspension of MF Global, Inc.

File number: RG11-126
Date filed: October 31, 2011
Description:

RG11-126 Orders Clearing MF Global Restricted to "Closing Only" Transactions

File number: RG11-125
Date filed: October 28, 2011
Description:

RG11-125 One Week Extension of Deadline to Comply with Registration and Qualification Requirements

File number: RG11-124
Date filed: October 28, 2011
Description:

RG11-124 Deadline to Comply with Registration and Qualification Requirements

File number: RG11-123
Date filed: October 27, 2011
Description:

RG11-123 Restrictions on Transactions in CDC Corporation Class A ("CHINA")

File number: RG11-122
Date filed: October 27, 2011
Description:

RG11-122 Restrictions on Transactions in Ener1, Inc. ("HEV")

File number: RG11-121
Date filed: October 24, 2011
Description:

RG11-121 Q&As for P.M.-Settled Options on the S&P 500 Index (SPXpm)

File number: RG11-120
Date filed: October 19, 2011
Description:

RG11-120 Restrictions on Transactions in Horizon Lines, Inc. ("HRZ")

File number: RG11-119
Date filed: October 20, 2011
Description:

RG11-119 Market-Maker Wash Trade Prevention (WTP) Orders

File number: RG11-118
Date filed: October 19, 2011
Description:

RG11-118 Restrictions on Transactions in SinoTech Energy Limited ("CTE")

File number: RG11-117
Date filed: October 6, 2011
Description:

RG11-117 Launch of New Regulatory Informational Tools

File number: RG11-116
Date filed: October 4, 2011
Description:

RG11-116 Treatment of Non-Market Maker Transactions

File number: RG11-115
Date filed: October 3, 2011
Description:

RG11-115 PULSe Routing Fee for Execution of Orders on CBOE and CBSX That Originate from non-TPH PULSe Workstations

File number: RG11-114
Date filed: September 30, 2011
Description:

RG11-114 SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access

File number: RG11-113
Date filed: September 30, 2011
Description:

RG11-113 Changes to Marketing Fee Program for EEM Options

File number: RG11-112
Date filed: September 30, 2011
Description:

RG11-112 Customer Large Trade Discount

File number: RG11-111
Date filed: September 30, 2011
Description:

RG11-111 Qualified Waiver of $0.18 Customer Transaction Fee in SPY and XLF Options

File number: RG11-110
Date filed: September 30, 2011
Description:

RG11-110 Continuation of the Suspension of Marketing Fee Collection for Most Electronic Transactions in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG11-109
Date filed: September 23, 2011
Description:

RG11-109 Restrictions on Transactions in A-Power Energy Generation Systems, Ltd ("APWR")

File number: RG11-108
Date filed: September 19, 2011
Description:

RG11-108 FLEX SPX Options with Third-Friday-of-the-Month Expirations

File number: RG11-107
Date filed: September 16, 2011
Description:

RG11-107 Market-Maker Wash Trade Prevention (WTP) Orders

File number: RG11-106
Date filed: September 9, 2011
Description:

RG11-106 Restrictions on Transactions in Wonder Auto Technology, Inc. ("WATG")

File number: RG11-105
Date filed: September 6, 2011
Description:

RG11-105 SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access Limited Extension of Compliance Date for Floor Brokers

File number: RG11-104
Date filed: September 1, 2011
Description:

RG11-104 PULSe Workstation Fee Changes

File number: RG11-103
Date filed: September 8, 2011
Description:

RG11-103 New Origin Code for Orders of Non-Trading Permit Holder Affiliates of Clearing Trading Permit Holders

File number: RG11-102
Date filed: August 26, 2011
Description:

RG11-102 Price Protection Enhancements

File number: RG11-101
Date filed: August 25, 2011
Description:

RG11-101 Restrictions on Transactions in Allied Irish Banks, p.l.c. ("AIB")

File number: RG11-100
Date filed: August 23, 2011
Description:

RG11-100 Extension of Registration and Qualification Examination Deadline

File number: RG11-099
Date filed: August 24, 2011
Description:

RG11-099 Restrictions on Transactions in Evergreen Solar Inc. ("ESLR")

File number: RG11-098
Date filed: August 18, 2011
Description:

RG11-098 Restrictions on Transactions in Puda Coal, Inc. ("PUDA")

File number: RG11-097
Date filed: August 17, 2011
Description:

RG11-097 Restrictions on Transactions in Longtop Financial Technologies Limited ("LGFTY")

File number: RG11-096
Date filed: August 11, 2011
Description:

RG11-096 Update Regarding Rule Change Relating to Position and Exercise Limits for SPY Options

File number: RG11-095
Date filed: August 5, 2011
Description:

RG11-095 Registration and Qualification Requirements Qualification Examination Waivers and Exemption for Restricted Access

File number: RG11-094
Date filed: August 4, 2011
Description:

RG11-094 Regulatory Independence and Communications Regarding Regulatory Matters

File number: RG11-093
Date filed: August 3, 2011
Description:

RG11-093 Individual Stock Trading Pause Pilot Expansion & Related Amendments to CBSX Market-Maker Pricing Obligations

File number: RG11-092
Date filed: August 1, 2011
Description:

RG11-092 Monthly Fee Assessed to Floor Broker Trading Permit Holders that Conduct a Certain Level of Activity in VIX Options

File number: RG11-091
Date filed: August 1, 2011
Description:

RG11-091 Trading Permit Holder Application and Other Related Fees

File number: RG11-090
Date filed: July 21, 2011
Description:

RG11-090 Restrictions on Transactions in Yuhe International, Inc. ("YUII")

File number: RG11-089
Date filed: July 11, 2011
Description:

RG11-089 Rule Change Relating to Position and Exercise Limits for SPY Options

File number: RG11-088
Date filed: July 8, 2011
Description:

RG11-088 Update to Regulatory Circular RG11-077 Extension of Registration and Qualification Examination Deadline and Additional Information Regarding the Waiver Process

File number: RG11-087
Date filed: July 6, 2011
Description:

RG11-087 Broker-Dealer Transaction Fees

File number: RG11-086
Date filed: July 5, 2011
Description:

RG11-086 Trades Below $1

File number: RG11-085
Date filed: July 5, 2011
Description:

RG11-085 New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access Limited Extension of Compliance Date

File number: RG11-084
Date filed: July 1, 2011
Description:

RG11-084 Automated Improvement Mechanism Transaction Fees

File number: RG11-083
Date filed: July 1, 2011
Description:

RG11-083 Restrictions on Transactions in China-Biotics, Inc. ("CHBT")

File number: RG11-082
Date filed: June 29, 2011
Description:

RG11-082 Continuation of the Suspension of Marketing Fee Collection for most Electronic Transactions in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG11-081
Date filed: June 29, 2011
Description:

RG11-081 Continuation of Qualified Waiver of $.18 Customer Transaction Fee in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG11-080
Date filed: June 29, 2011
Description:

RG11-080 Fees for Qualified Contingent Cross (QCC) Transactions

File number: RG11-079
Date filed: June 29, 2011
Description:

RG11-079 Compliance with Section 11(a) of the Securities Exchange Act of 1934 and the Rules Thereunder and the Application of Section 11(a) to the Hybrid System

File number: RG11-078
Date filed: June 29, 2011
Description:

RG11-078 Availability of Qualified Contingent Cross (QCC)

File number: RG11-077
Date filed: June 28, 2011
Description:

RG11-077 New WebCRD Registration Categories and Related Qualification Exams, Exemptions and the Waiver Process

File number: RG11-076
Date filed: June 28, 2011
Description:

RG11-076 Penny Pilot Program - Classes to be Added July 6, 2011

File number: RG11-075
Date filed: June 28, 2011
Description:

RG11-075 Volatility Index Options PAR Official Fees

File number: RG11-074
Date filed: June 17, 2011
Description:

RG11-074 Processing of Stock-Option Strategy Orders

File number: RG11-073
Date filed: June 14, 2011
Description:

RG11-073 Restrictions on Transactions in China Integrated Energy, Inc. ("CBEH")

File number: RG11-072
Date filed: June 9, 2011
Description:

RG11-072 Opening Timers

File number: RG11-071
Date filed: June 7, 2011
Description:

RG11-071 Restrictions on Transactions in Crystallex International Corporation ("KRY")

File number: RG11-070
Date filed: June 6, 2011
Description:

RG11-070 MOC Order Timer Change (updates RG11-064)

File number: RG11-069
Date filed: June 1, 2011
Description:

RG11-069 Linkage Fees Exception For Orders From the Trading Floor

File number: RG11-067
Date filed: May 27, 2011
Description:

RG11-067 Restrictions on Transactions in Millicom International Cellular S.A. ("MICC")

File number: RG11-066
Date filed: June 1, 2011
Description:

RG11-066 Prearranged Trades

File number: RG11-065
Date filed: May 26, 2011
Description:

RG11-065 New SEC Rule 15c3-5 Risk Management Controls for Brokers or Dealers with Market Access

File number: RG11-064
Date filed: May 31, 2011
Description:

RG11-064 MOC Order Timer Change

File number: RG11-063
Date filed: May 26, 2011
Description:

RG11-063 Food on the Trading Floor

File number: RG11-062
Date filed: May 20, 2011
Description:

RG11-062 Restrictions on Transactions in China Agritech, Inc. ("CAGC")

File number: RG11-061
Date filed: May 19, 2011
Description:

RG11-061 Restrictions on Transactions in China Media Express Holdings, Inc. ("CCME")

File number: RG11-060
Date filed: May 10, 2011
Description:

RG11-060 Linkage Fees Exception For Orders From the Trading Floor

File number: RG11-059
Date filed: May 11, 2011
Description:

RG11-059 Audio and Visual Imaging and Recording Devices on the Trading Floor

File number: RG11-058
Date filed: May 9, 2011
Description:

RG11-058 Restrictions on Transactions in Jackson Hewitt Tax Services, Inc. ("JTX")

File number: RG11-057
Date filed: April 29, 2011
Description:

RG11-057 Orders Qualifying for Certain Quantity-Based Fee Waivers

File number: RG11-056
Date filed: April 29, 2011
Description:

RG11-056 Linkage Fees Exception For Orders From the Trading Floor

File number: RG11-055
Date filed: April 28, 2011
Description:

RG11-055 Additional Strategy Spreads Eligible for Fee Cap

File number: RG11-054
Date filed: April 27, 2011
Description:

RG11-054 Continuing Education Firm Element Advisory

File number: RG11-053
Date filed: April 27, 2011
Description:

RG11-053 Change from HAL-O (HAL-on-the-Open) to HOSS (Hybrid Opening System) in Select Classes

File number: RG11-052
Date filed: April 28, 2011
Description:

RG11-052 Market Order Price Protection Levels (updates RG10-54)

File number: RG11-051
Date filed: April 21, 2011
Description:

RG11-051 New Credit Event Binary Options Listings on Tuesday, April 26, 2011

File number: RG11-050
Date filed: April 19, 2011
Description:

RG11-050 Supplement to the Options Disclosure Document

File number: RG11-049
Date filed: April 13, 2011
Description:

RG11-049 Transaction Fees for CBOE Gold ETF Volatility Index Options

File number: RG11-048
Date filed: April 11, 2011
Description:

RG11-048 Product Description, Margin and Net Capital Requirements - Options on the CBOE Gold ETF Volatility Index

File number: RG11-047
Date filed: March 31, 2011
Description:

RG11-047 Continuation of the Suspension of Marketing Fee Collection for Most Electronic Transactions in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG11-046
Date filed: March 30, 2011
Description:

RG11-046 PAR Official Fees

File number: RG11-045
Date filed: March 29, 2011
Description:

RG11-045 Restrictions on Transactions in FUQI International, Inc. ("FUQI")

File number: RG11-044
Date filed: March 28, 2011
Description:

RG11-044 Restrictions on Transactions in Crucell N.V. ("CRXL")

File number: RG11-043
Date filed: March 25, 2011
Description:

RG11-043 Viacom, Inc. (VIA)

File number: RG11-042
Date filed: March 18, 2011
Description:

RG11-042 Continuation of Qualified Waiver of $.18 Customer Transaction Fee in Options on the S&P 500 Exchange Traded Fund (SPY)

File number: RG11-041
Date filed: March 8, 2011
Description:

RG11-041 Restrictions on Transactions in Subsea 7 S.A. ("SUBC")

File number: RG11-040
Date filed: March 8, 2011
Description:

RG11-040 Restrictions on Transactions in Repsol YPF SA ("REP")

File number: RG11-039
Date filed: March 2, 2011
Description:

RG11-039 Margin and Net Capital Requirements CBOE Credit Event Binary Options

File number: RG11-038
Date filed: March 2, 2011
Description:

RG11-038 Credit Event Binary Options (CEBO) System Settings

File number: RG11-037
Date filed: March 2, 2011
Description:

RG11-037 New Product Launch on Tuesday, March 8, 2011 Credit Event Binary Options

File number: RG11-036
Date filed: February 28, 2011
Description:

RG11-036 PAR Official Fees

File number: RG11-035
Date filed: February 25, 2011
Description:

RG11-035 Bid-Ask Differentials

File number: RG11-034
Date filed: February 25, 2011
Description:

RG11-034 Linkage Fees

File number: RG11-033
Date filed: February 25, 2011
Description:

RG11-033 Short Sale Marking (Reminder)

File number: RG11-032
Date filed: February 24, 2011
Description:

RG11-032 Restrictions on Transactions in Seahawk Drilling, Inc. ("HAWK")

File number: RG11-031
Date filed: February 24, 2011
Description:

RG11-031 CFLEX Electronic RFQ Timers

File number: RG11-030
Date filed: February 17, 2011
Description:

RG11-030 Year-End Anti-Money Laundering Filing Year-End Focus Reports and Schedule I Both Filings Due March 1, 2011

File number: RG11-029
Date filed: February 16, 2011
Description:

RG11-029 Restrictions on Transactions in Borders Group Inc. ("BGP")

File number: RG11-028
Date filed: February 14, 2011
Description:

RG11-028 Regulation SHO Frequently Asked Questions

File number: RG11-027
Date filed: February 10, 2011
Description:

RG11-027 Short Sale Marking

File number: RG11-026
Date filed: February 9, 2011
Description:

RG11-026 PAR Official Fees Waiver

File number: RG11-025
Date filed: February 8, 2011
Description:

RG11-025 Splitting of Stock/Option Market Orders

File number: RG11-024
Date filed: February 7, 2011
Description:

RG11-024 Restrictions on Transactions in NMT Medical, Inc. ("NMTI")

File number: RG11-023
Date filed: February 4, 2011
Description:

RG11-023 Linkage Fees

File number: RG11-022
Date filed: February 4, 2011
Description:

RG11-022 Summary of 2010 Year-End Regulatory Reporting Requirements

File number: RG11-021
Date filed: February 1, 2011
Description:

RG11-021 Linkage Fees, Par Official Fees and CFLEX Cap

File number: RG11-020
Date filed: February 1, 2011
Description:

RG11-020 Trading Permit Holder Application and Other Related Fees

File number: RG11-019
Date filed: January 31, 2011
Description:

RG11-019 Reserve Orders

File number: RG11-018
Date filed: January 28, 2011
Description:

RG11-018 Modifications to Strike Setting Parameters of $1 Strike Program

File number: RG11-017
Date filed: January 27, 2011
Description:

RG11-017 Anti-Money Laundering Compliance Program

File number: RG11-016
Date filed: January 27, 2011
Description:

RG11-016 Reserve Orders

File number: RG11-015
Date filed: January 27, 2011
Description:

RG11-015 Restrictions on Transactions in Volt Information Sciences, Inc. ("VOL")

File number: RG11-014
Date filed: January 27, 2011
Description:

RG11-014 Annual ITSFEA Rule 4.18 Filing

File number: RG11-013
Date filed: January 26, 2011
Description:

RG11-013 Supplement to the Options Disclosure Document

File number: RG11-012
Date filed: January 20, 2011
Description:

RG11-012 Market Maker Permit Sliding Fee Scale

File number: RG11-011
Date filed: January 18, 2011
Description:

RG11-011 Annual Reporting Pursuant to CBOE Rule 9.8 - Supervision of Accounts

File number: RG11-010
Date filed: January 11, 2011
Description:

RG11-010 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20): Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG11-009
Date filed: January 11, 2011
Description:

RG11-009 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20)

File number: RG11-008
Date filed: January 11, 2011
Description:

RG11-008 FOCUS REPORT (Form X-17A-5) 2010 Year-End Filing Due March 1, 2011

File number: RG11-007
Date filed: January 11, 2011
Description:

RG11-007 Bid-Ask Differentials

File number: RG11-006
Date filed: January 11, 2011
Description:

RG11-006 Allocation Algorithm for SPX

File number: RG11-005
Date filed: January 13, 2011
Description:

RG11-005 CBOEdirect Version 8.5 System Modifications

File number: RG11-004
Date filed: January 10, 2011
Description:

RG11-004 $5 Strike Program in Equity Option Classes

File number: RG11-003
Date filed: January 5, 2011
Description:

RG11-003 Additional COATS data now available on WBS Reports

File number: RG11-002
Date filed: January 4, 2011
Description:

RG11-002 Restrictions on Transactions in CBOE 10 Year Interest Rate ("TNX")

File number: RG11-001
Date filed: January 3, 2011
Description:

RG11-001 Trading Permit Holder Application and Other Related Fees