2012 Cboe Exchange Regulatory Circulars

File number: RG12-180
Date filed: December 28, 2012
Description:

RG12-180 2013 Fee Changes

File number: RG12-179
Date filed: December 26, 2012
Description:

RG12-179 Penny Pilot Program - Replacement Classes to be Added on January 3, 2013

File number: RG12-178
Date filed: December 21, 2012
Description:

RG12-178 Give Ups of Clearing Trading Permit Holders

File number: RG12-177
Date filed: December 21, 2012
Description:

RG12-177 Prearranged Trades

File number: RG12-176
Date filed: December 20, 2012
Description:

RG12-176 Restrictions on Transactions in KIT digital, Inc. (KIT)

File number: RG12-175
Date filed: December 18, 2012
Description:

RG12-175 Restrictions on Transactions in Cereplast, Inc. (CERP)

File number: RG12-174
Date filed: December 13, 2012
Description:

RG12-174 Trading Permit Sliding Scale Programs

File number: RG12-173
Date filed: December 12, 2012
Description:

RG12-173 Supplement to the Options Disclosure Document

File number: RG12-172
Date filed: December 11, 2012
Description:

RG12-172 2013 Fee Changes

File number: RG12-171
Date filed: December 7, 2012
Description:

RG12-171 All-Or-None (AON) Orders

File number: RG12-170
Date filed: December 6, 2012
Description:

RG12-170 Consolidated Audit Trail: SROs Publish RFP Concepts Document on CAT NMS Website

File number: RG12-169
Date filed: December 5, 2012
Description:

RG12-169 Modification to Options Regulatory Fee

File number: RG12-168
Date filed: December 5, 2012
Description:

RG12-168 December 2012 Fee Changes

File number: RG12-167
Date filed: December 4, 2012
Description:

RG12-167 Consolidated Audit Trail In-Person Event December 10, 2012 New York, NY

File number: RG12-166
Date filed: December 4, 2012
Description:

RG12-166 All-Or-None (AON) Orders in Open Outcry

File number: RG12-165
Date filed: December 3, 2012
Description:

RG12-165 Options for Receiving Credits under the Volume Incentive Plan for December 2012

File number: RG12-164
Date filed: December 3, 2012
Description:

RG12-164 Gratuities - Rule 4.4

File number: RG12-163
Date filed: November 30, 2012
Description:

RG12-163 Connectivity to the CBOE Backup Data Center

File number: RG12-162
Date filed: December 3, 2012
Description:

RG12-162 Enhanced Electronic Blue Sheet Submissions Updates

File number: RG12-161
Date filed: November 27, 2012
Description:

RG12-161 Options for Receiving Credits under the Volume Incentive Plan

File number: RG12-160
Date filed: November 21, 2012
Description:

RG12-160 Consolidated Audit Trail Industry Call and WebEx

File number: RG12-159
Date filed: November 21, 2012
Description:

RG12-159 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG12-158
Date filed: November 20, 2012
Description:

RG12-158 Thanksgiving Holiday Schedule & Expiring Exercise Declaration (EED) Submissions for Friday, November 23, 2012

File number: RG12-157
Date filed: November 19, 2012
Description:

RG12-157 Restrictions on Transactions in Dollar Thrifty Automotive Group, Inc. (DTG)

File number: RG12-156
Date filed: November 19, 2012
Description:

RG12-156 Activation of "Splitting" Feature for Stock-Option Strategy Orders Priced at the Market

File number: RG12-155
Date filed: November 15, 2012
Description:

RG12-155 Restrictions on Transactions in Overseas Shipholding Group, Inc. ("OSG")

File number: RG12-154
Date filed: November 6, 2012
Description:

RG12-154 Restrictions on Transactions in A123 Systems, Inc. ("AONE")

File number: RG12-153
Date filed: November 5, 2012
Description:

RG12-153 New "J" Origin Code for Joint Back Office Orders

File number: RG12-152
Date filed: November 2, 2012
Description:

RG12-152 Auction Message Responses and Redistribution

File number: RG12-151
Date filed: November 2, 2012
Description:

RG12-151 November 2012 Fee Changes

File number: RG12-150
Date filed: November 1, 2012
Description:

RG12-150 Regulation SHO Rule 204 - Close Out Requirement, Hurricane Sandy FAQ

File number: RG12-149
Date filed: October 31, 2012
Description:

RG12-149 New "J" Origin Code for Joint Back Office Orders

File number: RG12-148
Date filed: October 30, 2012
Description:

RG12-148 Opening Quote Width Relief

File number: RG12-147
Date filed: October 29, 2012
Description:

RG12-147 Processing on October 29, 2012 and October 30, 2012 - Hurricane Sandy Update

File number: RG12-146
Date filed: October 29, 2012
Description:

RG12-146 Processing on October 29, 2012 and October 30, 2012 - Hurricane Sandy Update

File number: RG12-145
Date filed: October 29, 2012
Description:

RG12-145 Preferred Market-Maker (PMM) Marketing Fee Pools

File number: RG12-144
Date filed: October 29, 2012
Description:

RG12-144 Exercise of Non-Expiring, American-Style, Cash-Settled Index Options Prohibited on October 29, 2012

File number: RG12-143
Date filed: October 26, 2012
Description:

RG12-143 Rule Change Relating to Position and Exercise Limits for EEM Options

File number: RG12-142
Date filed: October 25, 2012
Description:

RG12-142 Restriction on Transactions in Satcon Technology Corporation ("SATC & adj. SATC1")

File number: RG12-141
Date filed: October 25, 2012
Description:

RG12-141 Automated Improvement Mechanism in CFLEX 2.0

File number: RG12-140
Date filed: October 25, 2012
Description:

RG12-140 Changes to Market-Maker Continuous Electronic Quoting Obligations in Hybrid Classes

File number: RG12-139
Date filed: October 24, 2012
Description:

RG12-139 Inactivation of "Splitting" Feature for Stock-Option Strategy Orders Priced at the Market

File number: RG12-138
Date filed: October 19, 2012
Description:

RG12-138 Changes to Market-Maker Continuous Electronic Quoting Obligation in Hybrid Classes

File number: RG12-137
Date filed: October 8, 2012
Description:

RG12-137 Lead Market-Makers in S&P 500 Index Options (Symbols SPX and SPXQ)

File number: RG12-136
Date filed: October 5, 2012
Description:

RG12-136 New "J" Origin Code For Joint Back Office Orders

File number: RG12-135
Date filed: October 5, 2012
Description:

RG12-135 Standard Monthly Option Expiration Date Move from Saturday to Friday

File number: RG12-134
Date filed: October 4, 2012
Description:

RG12-134 Consolidated Audit Trail Industry Event

File number: RG12-133
Date filed: September 28, 2012
Description:

RG12-133 Restrictions on Transactions in IGATE Computer Systems Limited

File number: RG12-132
Date filed: September 28, 2012
Description:

RG12-132 Pilot Program Eliminating Position and Exercise Limits for SPY Options

File number: RG12-131
Date filed: September 28, 2012
Description:

RG12-131 Restrictions on Transactions in Direct Markets Holding Corp

File number: RG12-130
Date filed: September 24, 2012
Description:

RG12-130 Restrictions on Transactions in Sino Clean Energy, Inc.

File number: RG12-129
Date filed: September 21, 2012
Description:

RG12-129 All-Or-None (AON) Orders

File number: RG12-128
Date filed: September 21, 2012
Description:

RG12-128 Restrictions on Transactions in China Valves Technology, Inc.

File number: RG12-127
Date filed: September 19, 2012
Description:

RG12-127 Vanguard S&P 500 ETF (VOO) Vanguard Russell 2000 ETF (VTWO) - Margin Accounts - Writing Index Options on a Covered Basis and Eligibility for Covered Writing Approval Level

File number: RG12-126
Date filed: September 17, 2012
Description:

RG12-126 CBSX Record of Written Complaints

File number: RG12-125
Date filed: September 13, 2012
Description:

RG12-125 Consolidated Audit Trail Industry Call

File number: RG12-124
Date filed: September 11, 2012
Description:

RG12-124 VIX Customer Large Trade Discount for September 2012

File number: RG12-123
Date filed: September 11, 2012
Description:

RG12-123 Restrictions on Transactions in Digital Domain Media Group

File number: RG12-122
Date filed: September 4, 2012
Description:

RG12-122 CBSX Trader News Update CBSX to Support New Order Types

File number: RG12-121
Date filed: August 29, 2012
Description:

RG12-121 September 2012 Fee Changes

File number: RG12-120
Date filed: August 28, 2012
Description:

RG12-120 Transaction Fees in CBOE S&P 500 Range Options

File number: RG12-119
Date filed: August 28, 2012
Description:

RG12-119 Restrictions on Transactions in ATP Oil & Gas Corporation

File number: RG12-118
Date filed: August 27, 2012
Description:

RG12-118 New "J" Origin Code for Joint Back Office Orders

File number: RG12-117
Date filed: August 23, 2012
Description:

RG12-117 Product Description, Margin and Net Capital Requirements - S&P 500 Range Options (SRO)

File number: RG12-116
Date filed: August 23, 2012
Description:

RG12-116 All-Or-None (AON) Orders

File number: RG12-115
Date filed: August 16, 2012
Description:

RG12-115 CBSX Appointment System Access Requirement

File number: RG12-114
Date filed: August 16, 2012
Description:

RG12-114 CBOE Appointment System Access Requirement

File number: RG12-113
Date filed: August 15, 2012
Description:

RG12-113 Multi-Class Broad-Based Index Spread Orders

File number: RG12-112
Date filed: August 15, 2012
Description:

RG12-112 Online Appointment System

File number: RG12-111
Date filed: August 7, 2012
Description:

RG12-111 SPX Range Options (SRO) - Systems Settings

File number: RG12-110
Date filed: August 7, 2012
Description:

RG12-110 Restrictions on Transactions in K-V Pharmaceutical Company Class A ("KV.A")

File number: RG12-109
Date filed: August 6, 2012
Description:

RG12-109 Expansion of Automation for Stock-Option Strategy Orders

File number: RG12-108
Date filed: August 6, 2012
Description:

RG12-108 Changes to Market-Makers' Continuous Quoting Obligations in Hybrid Classes

File number: RG12-107
Date filed: July 31, 2012
Description:

RG12-107 Changes to Market-Makers' Continuous Quoting Obligations in Hybrid Classes Effective August 6, 2012

File number: RG12-106
Date filed: July 31, 2012
Description:

RG12-106 August 2012 Fee Changes

File number: RG12-105
Date filed: July 27, 2012
Description:

RG12-105 CBSX Trader News Update CBSX to Disable All-Or-None Orders

File number: RG12-104
Date filed: July 26, 2012
Description:

RG12-104 Variance Strip Options - Systems Settings

File number: RG12-103
Date filed: July 25, 2012
Description:

RG12-103 Relocation of Option Classes on CBOE

File number: RG12-102
Date filed: July 24, 2012
Description:

RG12-102 Bid-Ask Differentials

File number: RG12-101
Date filed: July 24, 2012
Description:

RG12-101 Reactivation of Automation of Stock-Option Strategy Orders

File number: RG12-100
Date filed: July 24, 2012
Description:

RG12-100 Variance Strip Options - Systems Settings

File number: RG12-099
Date filed: July 23, 2012
Description:

RG12-099 Relocation of Option Classes on CBOE

File number: RG12-098
Date filed: July 17, 2012
Description:

RG12-098 Operational Systems Settings on Volatility Index Product Settlement Days

File number: RG12-097
Date filed: July 16, 2012
Description:

RG12-097 All-Or-None (AON) Orders

File number: RG12-096
Date filed: July 13, 2012
Description:

RG12-096 Restrictions on Transactions in Hoku Corporation

File number: RG12-095
Date filed: July 13, 2012
Description:

RG12-095 Operational Systems Settings

File number: RG12-094
Date filed: July 13, 2012
Description:

RG12-094 Operational Systems Settings on Volatility Index Product Settlement Days

File number: RG12-093
Date filed: July 10, 2012
Description:

RG12-093 Restrictions on Transactions in Patriot Coal Corporation

File number: RG12-092
Date filed: July 10, 2012
Description:

RG12-092 Restrictions on Transactions in Telecom Corporation of New Zealand Limited ADS ("NZT")

File number: RG12-091
Date filed: July 6, 2012
Description:

RG12-091 Temporary Suspension of Automation for Stock-Option Strategy Orders

File number: RG12-090
Date filed: July 6, 2012
Description:

RG12-090 Restrictions on Transactions in Dynegy, Inc. ("DYN")

File number: RG12-089
Date filed: June 29, 2012
Description:

RG12-089 July 2012 Fee Changes

File number: RG12-088
Date filed: June 29, 2012
Description:

RG12-088 Automation of Stock-Option Strategy Orders

File number: RG12-087
Date filed: June 29, 2012
Description:

RG12-087 Stock Portion of Stock-Strategy Orders

File number: RG12-086
Date filed: June 29, 2012
Description:

RG12-086 Modification to Options Regulatory Fee

File number: RG12-085
Date filed: June 28, 2012
Description:

RG12-085 Penny Pilot Program - Classes to be Added July 3, 2012

File number: RG12-084
Date filed: June 28, 2012
Description:

RG12-084 CBSX Trader News Update CBSX to Disable All-Or-None Orders

File number: RG12-083
Date filed: June 27, 2012
Description:

RG12-083 Attributable Order Type ("Caller ID") for Auction Messages

File number: RG12-082
Date filed: June 25, 2012
Description:

RG12-082 Restrictions on Transactions in CryptolLogic Limited

File number: RG12-081
Date filed: June 25, 2012
Description:

RG12-081 Auction Responses

File number: RG12-080
Date filed: June 22, 2012
Description:

RG12-080 Restrictions on Transactions in ChinaCast Education Corporation

File number: RG12-079
Date filed: June 21, 2012
Description:

RG12-079 GeoEye, Inc. (GEOY)

File number: RG12-078
Date filed: June 21, 2012
Description:

RG12-078 Russell Reconstitution on Friday, June 22, 2012

File number: RG12-077
Date filed: June 21, 2012
Description:

RG12-077 Allocation Algorithm Change for SPXW Opening Trades at the Minimum Price Increment

File number: RG12-076
Date filed: June 21, 2012
Description:

RG12-076 Restrictions on Transactions in China North East Petroleum Holdings Ltd.

File number: RG12-075
Date filed: June 18, 2012
Description:

RG12-075 Allocation Algorithm Change for SPX Opening Trades at the Minimum Price Increment

File number: RG12-074
Date filed: June 13, 2012
Description:

RG12-074 Final Phase of CFLEX 2.0 Rollout

File number: RG12-073
Date filed: June 6, 2012
Description:

RG12-073 Prearranged Trades

File number: RG12-072
Date filed: May 31, 2012
Description:

RG12-072 Customer Large Trade Discount

File number: RG12-071
Date filed: May 30, 2012
Description:

RG12-071 June 2012 Fee Changes

File number: RG12-070
Date filed: May 29, 2012
Description:

RG12-070 Restrictions on Transactions in American Oriental Bioengineering, Inc.

File number: RG12-069
Date filed: May 24, 2012
Description:

RG12-069 Continuation of CFLEX 2.0 Rollout

File number: RG12-068
Date filed: May 24, 2012
Description:

RG12-068 Price Protection Level Updates and Order Price Reasonability Checks For Options on Facebook Inc. (FB)

File number: RG12-067
Date filed: May 22, 2012
Description:

RG12-067 Registration and Qualification Requirements

File number: RG12-066
Date filed: May 22, 2012
Description:

RG12-066 Extension of End-of-Week S&P 500 Index ("SPXW") Option Listings

File number: RG12-065
Date filed: May 16, 2012
Description:

RG12-065 AIM "Opt-Out"

File number: RG12-064
Date filed: May 11, 2012
Description:

RG12-064 Amendments to Rule 9.24-Telephone Solicitation

File number: RG12-063
Date filed: May 11, 2012
Description:

RG12-063 CFLEX 2.0 Rollout SPY FLEX Option Class

File number: RG12-062
Date filed: May 9, 2012
Description:

RG12-062 Restrictions on Transactions in Xing Universal Resources

File number: RG12-061
Date filed: April 30, 2012
Description:

RG12-061 May 2012 Fee Changes

File number: RG12-060
Date filed: April 27, 2012
Description:

RG12-060 Restrictions on Transactions in Galena Biopharma Inc.

File number: RG12-059
Date filed: April 26, 2012
Description:

RG12-059 Restrictions on Transactions in Hitachi Ltd.

File number: RG12-058
Date filed: April 24, 2012
Description:

RG12-058 CFLEX 2.0 - CBOEdirect Connectivity Charges for CFLEX Logins and Non-TPH Order Origin Code Requirement

File number: RG12-057
Date filed: April 26, 2012
Description:

RG12-057 Order Origin Code Requirements (Revised)

File number: RG12-056
Date filed: April 20, 2012
Description:

RG12-056 CFLEX 2.0 Rollout Schedule and Settings

File number: RG12-055
Date filed: April 16, 2012
Description:

RG12-055 Restrictions on Transactions in Reddy Ice Holdings, Inc. ("RDDY")

File number: RG12-054
Date filed: April 13, 2012
Description:

RG12-054 Continuing Education Firm Element Advisory

File number: RG12-053
Date filed: April 13, 2012
Description:

RG12-053 Operational Systems Settings on Volatility Index Product Settlement Days

File number: RG12-052
Date filed: April 10, 2012
Description:

RG12-052 Product Description, Margin and Net Capital Requirements - Options on the CBOE Crude Oil ETF Volatility Index (OVX)

File number: RG12-051
Date filed: April 3, 2012
Description:

RG12-051 Voluntary Professional and Professional Transaction Fees

File number: RG12-050
Date filed: March 29, 2012
Description:

RG12-050 ITT Educational Services, Inc. (ESI)

File number: RG12-049
Date filed: March 28, 2012
Description:

RG12-049 Voluntary Professional and Professional Transaction Fees Eligible Contracts for Volume Incentive Program

File number: RG12-048
Date filed: March 19, 2012
Description:

RG12-048 Operational Systems Settings on Volatility Index Product Settlement Days

File number: RG12-047
Date filed: March 15, 2012
Description:

RG12-047 Order Price Reasonability Checks

File number: RG12-046
Date filed: March 15, 2012
Description:

RG12-046 Operational Systems Settings

File number: RG12-045
Date filed: March 13, 2012
Description:

RG12-045 Restrictions on Transactions in China Natural Gas, Inc. ("CHNG")

File number: RG12-044
Date filed: March 7, 2012
Description:

RG12-044 Restrictions on Transactions in China Sky One Medical, Inc. ("CSKI")

File number: RG12-043
Date filed: March 6, 2012
Description:

RG12-043 Product Description, Margin and Net Capital Requirements - Options on the CBOE Brazil ETF Volatility Index

File number: RG12-042
Date filed: March 6, 2012
Description:

RG12-042 System Issue with FLEX Minimum-Fill Size Day Orders

File number: RG12-041
Date filed: March 1, 2012
Description:

RG12-041 Price Protection Level Updates

File number: RG12-040
Date filed: March 1, 2012
Description:

RG12-040 Complex Order Protections

File number: RG12-038
Date filed: March 2, 2012
Description:

RG12-038 Systems Issue with Market-Maker Wash Trade Prevention Orders

File number: RG12-037
Date filed: February 29, 2012
Description:

RG12-037 Prefix Usage for SPX Combination ("Combo") Orders

File number: RG12-036
Date filed: February 29, 2012
Description:

RG12-036 BSZ and BVZ Matching Algorithm Update

File number: RG12-035
Date filed: February 28, 2012
Description:

RG12-035 Customer Large Trade Discount Hybrid Agency Liaison Step Up Rebate Linkage Fees

File number: RG12-034
Date filed: February 28, 2012
Description:

RG12-034 Market Data Express, LLC - CBOE Streaming Markets

File number: RG12-033
Date filed: February 28, 2012
Description:

RG12-033 Restrictions on Transactions in China Medical Technologies, Inc. ("CMED")

File number: RG12-032
Date filed: February 27, 2012
Description:

RG12-032 Monthly "Fair Value" Settlement of CME Stock Index Futures and Options

File number: RG12-031
Date filed: February 23, 2012
Description:

RG12-031 Restrictions on Transactions in Energy Conversion Devices, Inc. ("ENER")

File number: RG12-030
Date filed: February 22, 2012
Description:

RG12-030 Year-End Anti-Money Laundering Filing Year-End Focus Reports and Schedule I Both Filings Due March 1, 2012

File number: RG12-029
Date filed: February 15, 2012
Description:

RG12-029 Restrictions on Transactions in Software HOLDRs Trust ("SWH")

File number: RG12-028
Date filed: February 14, 2012
Description:

RG12-028 Registration and Qualification Requirements

File number: RG12-027
Date filed: February 14, 2012
Description:

RG12-027 EEM Opening Settings on VXEEM Futures Settlement Days

File number: RG12-026
Date filed: February 8, 2012
Description:

RG12-026 Supplement to the Options Disclosure Document

File number: RG12-025
Date filed: February 1, 2012
Description:

RG12-025 Complex Order Processing in Hybrid 3.0 Classes

File number: RG12-024
Date filed: February 1, 2012
Description:

RG12-024 Annual ITSFEA Rule 4.18 Filing

File number: RG12-023
Date filed: January 30, 2012
Description:

RG12-023 Monthly "Fair Value" Settlement of CME Stock Index Futures and Options

File number: RG12-022
Date filed: January 30, 2012
Description:

RG12-022 Close-Out Requirements Under Rule 204 of Regulation SHO

File number: RG12-021
Date filed: January 30, 2012
Description:

RG12-021 Product Description, Margin and Net Capital Requirements - Options on the CBOE Emerging Markets ETF Volatility Index

File number: RG12-020
Date filed: January 30, 2012
Description:

RG12-020 AIM AON Solicitation De-Activation in Certain Products

File number: RG12-019
Date filed: January 27, 2012
Description:

RG12-019 Price Protection Levels

File number: RG12-018
Date filed: January 24, 2012
Description:

RG12-018 Transaction Fees for the CBOE Emerging Markets ETF Volatility Index Options

File number: RG12-017
Date filed: January 19, 2012
Description:

RG12-017 Restrictions on Transactions in Eastman Kodak Company ("EKDKQ")

File number: RG12-016
Date filed: January 18, 2012
Description:

RG12-016 Restrictions on Transactions in Trident Microsystems, Inc. ("TRID")

File number: RG12-015
Date filed: January 13, 2012
Description:

RG12-015 SPX Operational Systems Settings

File number: RG12-014
Date filed: January 12, 2012
Description:

RG12-014 Trading Permit Holder Application and Other Related Fees

File number: RG12-013
Date filed: January 6, 2012
Description:

RG12-013 Extension of the Date for Prepayment Elections Under the 2012 Liquidity Provider Sliding Scale

File number: RG12-012
Date filed: January 6, 2012
Description:

RG12-012 Restrictions on Transactions in Biotech HOLDRs Trust Deposit Receipts (BBHH)

File number: RG12-011
Date filed: January 6, 2012
Description:

RG12-011 Restrictions on Transactions in Retail HOLDRs Trust (RTHH)

File number: RG12-010
Date filed: January 6, 2012
Description:

RG12-010 Relocation of ETF Option Classes from Post 6, Station 4 to Post 6, Station 6

File number: RG12-009
Date filed: January 4, 2012
Description:

RG12-009 Restrictions on Transactions in AMR Corporation ("AMR")

File number: RG12-008
Date filed: January 4, 2012
Description:

RG12-008 Trades Below $1

File number: RG12-007
Date filed: January 4, 2012
Description:

RG12-007 Re-COA Activation

File number: RG12-006
Date filed: January 3, 2012
Description:

RG12-006 Restrictions on Transactions in Poniard Pharmaceuticals, Inc. ("PARD/PARD1")

File number: RG12-005
Date filed: January 3, 2012
Description:

RG12-005 Annual Reporting Pursuant to CBOE Rule 9.8 - Supervision of Accounts

File number: RG12-004
Date filed: January 3, 2012
Description:

RG12-004 Restrictions on Transactions in Sears Holdings Corporation Adjusted Symbol (SHLD1)

File number: RG12-003
Date filed: January 3, 2012
Description:

RG12-003 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20) Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG12-001
Date filed: January 3, 2012
Description:

RG12-001 FOCUS REPORT (Form X-17A-5) 2011 Year-End Filing Due MARCH 1, 2012