2013 Cboe Exchange Regulatory Circulars

File number: RG13-166
Date filed: December 31, 2013
Description:

RG13-166 Treatment of Non-Market Maker Transactions

File number: RG13-165
Date filed: December 26, 2013
Description:

RG13-165 Restrictions on Transactions in OCZ Technology Group Inc (OCZ)

File number: RG13-164
Date filed: December 20, 2013
Description:

RG13-164 Prearranged Trades

File number: RG13-163
Date filed: December 19, 2013
Description:

RG13-163 Penny Pilot Program - Replacement Classes to be Added on January 3, 2014

File number: RG13-162
Date filed: December 19, 2013
Description:

RG13-162 Form OE-418 and Attachments 2013 Year-End Filing Due March 3, 2014

File number: RG13-161
Date filed: December 18, 2013
Description:

RG13-161 Bid-Ask Differentials

File number: RG13-160
Date filed: December 13, 2013
Description:

RG13-160 Trading Permit Sliding Scale Programs

File number: RG13-159
Date filed: December 13, 2013
Description:

RG13-159 Restrictions on Transactions in Velti PLC (VELT)

File number: RG13-158
Date filed: December 13, 2013
Description:

RG13-158 2014 Fee Changes

File number: RG13-157
Date filed: December 9, 2013
Description:

RG13-157 Regulatory Independence and Communications Regarding Regulatory Matters

File number: RG13-156
Date filed: December 2, 2013
Description:

RG13-156 CBOE Russell 2000 Volatility Index (RVX) Options

File number: RG13-155
Date filed: December 2, 2013
Description:

RG13-155 Product Description, Margin and Net Capital Requirements - Options on the CBOE Russell 2000 Volatility Index (RVX)

File number: RG13-154
Date filed: November 29, 2013
Description:

RG13-154 Exchange Rule 6.51 - "Reporting Duties"

File number: RG13-153
Date filed: November 29, 2013
Description:

RG13-153 Market-Maker Joint Account Trading in Open Outcry

File number: RG13-152
Date filed: November 27, 2013
Description:

RG13-152 Modification of Options Regulatory Fee

File number: RG13-151
Date filed: November 26, 2013
Description:

RG13-151 Thanksgiving Holiday Schedule & Expiring Exercise Declaration (EED) Submissions for Friday, November 29, 2013

File number: RG13-150
Date filed: November 25, 2013
Description:

RG13-150 12:15 pm Special "Closing Rotation" for SPX Options on Friday, November 29, 2013

File number: RG13-149
Date filed: November 25, 2013
Description:

RG13-149 Changes to Obvious Error Provisions

File number: RG13-148
Date filed: November 18, 2013
Description:

RG13-148 Fourteen Month Extension of SPY Option Position Limit Pilot Program

File number: RG13-147
Date filed: November 18, 2013
Description:

RG13-147 Cut-Off Time for Submission of Strategy Orders for Participation in SPX Modified HOSS Opening Procedures

File number: RG13-146
Date filed: November 18, 2013
Description:

RG13-146 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG13-145
Date filed: November 15, 2013
Description:

RG13-145 Limit Order Price Reasonability Checks

File number: RG13-144
Date filed: November 14, 2013
Description:

RG13-144 Bid-Ask Differentials

File number: RG13-143
Date filed: November 13, 2013
Description:

RG13-143 Changes to Obvious Error Provisions

File number: RG13-142
Date filed: November 11, 2013
Description:

RG13-142 Restrictions on Transactions in SunTech Power Holdings CO, LTD. (STP)

File number: RG13-141
Date filed: November 8, 2013
Description:

RG13-141 Bid-Ask Differentials

File number: RG13-140
Date filed: November 8, 2013
Description:

RG13-140 CBOE and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

File number: RG13-139
Date filed: November 8, 2013
Description:

RG13-139 Time at Which Expiring AM-Settled Index Options are Considered Exercised, Assigned or Purged

File number: RG13-138
Date filed: November 6, 2013
Description:

RG13-138 Fees for Historical COPS Data

File number: RG13-137
Date filed: November 1, 2013
Description:

RG13-137 November 2013 Fees Schedule Changes

File number: RG13-136
Date filed: October 30, 2013
Description:

RG13-136 HAL/HALO, SAL and COA Timers

File number: RG13-135
Date filed: October 28, 2013
Description:

RG13-135 HAL/HALO Timer Change

File number: RG13-134
Date filed: October 24, 2013
Description:

RG13-134 New SEC Rules: Financial Responsibility and Broker-Dealer

File number: RG13-133
Date filed: October 22, 2013
Description:

RG13-133 Continuing Education Firm Element Advisory

File number: RG13-132
Date filed: October 21, 2013
Description:

RG13-132 Exercises of Expiring Option Contracts for Position Limit Purposes

File number: RG13-131
Date filed: October 18, 2013
Description:

RG13-131 Not Held Orders

File number: RG13-130
Date filed: October 16, 2013
Description:

RG13-130 Restrictions on Transactions in Savient Pharmaceuticals, Inc. (SVNT)

File number: RG13-129
Date filed: October 15, 2013
Description:

RG13-129 Increase in Authorized Number of Trading Permits

File number: RG13-128
Date filed: October 8, 2013
Description:

RG13-128 World Acceptance Corporation (WRLD)

File number: RG13-127
Date filed: September 30, 2013
Description:

RG13-127 October 2013 Fees Schedule Changes

File number: RG13-126
Date filed: September 30, 2013
Description:

RG13-126 Qualification Examination Waivers - Change in Process, Effective October 1, 2013

File number: RG13-125
Date filed: September 27, 2013
Description:

RG13-125 Mini-SPX ("XSP") Index Option Symbol Conversion; Launch of New PM-Settled Mini-SPX

File number: RG13-124
Date filed: September 19, 2013
Description:

RG13-124 SEC's Division of Trading and Markets Issues No-Action Letter Concerning Regulation SHO Rule 204

File number: RG13-123
Date filed: September 17, 2013
Description:

RG13-123 CBSX Remote Market-Maker Appointments

File number: RG13-122
Date filed: September 16, 2013
Description:

RG13-122 Appointment Cost in iShares Russell 2000 Index Fund (IWM)

File number: RG13-121
Date filed: September 13, 2013
Description:

RG13-121 Restrictions on Transactions in Lone Pine Resources Inc. (LPR)

File number: RG13-120
Date filed: August 30, 2013
Description:

RG13-120 September 2013 Fee Changes

File number: RG13-119
Date filed: August 30, 2013
Description:

RG13-119 SEC's OCIE Issues Risk Alert Concerning Regulation SHO

File number: RG13-118
Date filed: August 29, 2013
Description:

RG13-118 Standard Monthly Option Expiration Date Move from Saturday to Friday

File number: RG13-117
Date filed: August 28, 2013
Description:

RG13-117 Systematizing Orders and COATS

File number: RG13-116
Date filed: August 28, 2013
Description:

RG13-116 Restrictions on Transactions in Furniture Brands International (FBN)

File number: RG13-115
Date filed: August 23, 2013
Description:

RG13-115 CBSX Remote Market-Maker Appointments

File number: RG13-114
Date filed: August 22, 2013
Description:

RG13-114 Restrictions on Transactions in TranSwitch Corporation (TXCC)

File number: RG13-113
Date filed: August 21, 2013
Description:

RG13-113 Modification to Options Regulatory Fee

File number: RG13-112
Date filed: August 15, 2013
Description:

RG13-112 Further Follow-Up to Trading Permit Holder and Trading Privilege Holder Educational Session on CFE Exchange of Contract for Related Position Transactions

File number: RG13-111
Date filed: August 13, 2013
Description:

RG13-111 Acceptance of Complex Orders with Up to 12 Legs

File number: RG13-110
Date filed: August 7, 2013
Description:

RG13-110 Connectivity to the CBOE Back-up Data Center

File number: RG13-109
Date filed: August 5, 2013
Description:

RG13-109 Proprietary Trader Continuing Education Program (S501)

File number: RG13-108
Date filed: August 1, 2013
Description:

RG13-108 Follow-Up to Trading Privilege Holder Educational Session on CFE Exchange of Contract for Related Position Transactions

File number: RG13-107
Date filed: July 31, 2013
Description:

RG13-107 August 2013 Fee Changes

File number: RG13-106
Date filed: July 31, 2013
Description:

RG13-106 Effective Date Regarding CBOE Stock Exchange ("CBSX") Rule 53.8 (Best Execution and Interpositioning)

File number: RG13-105
Date filed: July 29, 2013
Description:

RG13-105 New Order Designations Updates and Replaces Regulatory Circular RG13-083

File number: RG13-104
Date filed: July 23, 2013
Description:

RG13-104 Trading Privilege Holder Educational Session on CFE Exchange of Contract for Related Position Transactions

File number: RG13-103
Date filed: July 22, 2013
Description:

RG13-103 Supplement to Regulatory Circular RG13-098 - Changes to Information Barrier Requirements in CBSX Rule 53.2

File number: RG13-102
Date filed: July 19, 2013
Description:

RG13-102 Complex QCC Orders

File number: RG13-101
Date filed: July 16, 2013
Description:

RG13-101 Restrictions on Transactions in Kubota Corporation (KUB)

File number: RG13-100
Date filed: July 15, 2013
Description:

RG13-100 Format Change to Market-Maker Equity Trade (MMET) and Market-Maker Stock Position (MMSTK) Files

File number: RG13-099
Date filed: July 15, 2013
Description:

RG13-099 Format Change to Market-Maker Equity Trade (MMET) and Market-Maker Stock Position (MMSTK) Files

File number: RG13-098
Date filed: July 10, 2013
Description:

RG13-098 Notice Regarding Changes to CBOE Stock Exchange ("CBSX") Rule 53.2: Prohibition Against Trading Ahead of Customer Orders

File number: RG13-097
Date filed: July 5, 2013
Description:

RG13-097 Complex Order Book Market Data Feed and CSM BBO Market Data Feed

File number: RG13-096
Date filed: July 2, 2013
Description:

RG13-096 July 2013 Fee Changes

File number: RG13-095
Date filed: July 2, 2013
Description:

RG13-095 Prearranged Trades

File number: RG13-094
Date filed: June 27, 2013
Description:

RG13-094 HAL/HALO, SAL and COA Timer Reductions

File number: RG13-093
Date filed: June 25, 2013
Description:

RG13-093 Penny Pilot Program - Replacement Classes to be Added on July 3, 2013

File number: RG13-092
Date filed: June 21, 2013
Description:

RG13-092 Restrictions on Transactions in Exide Technologies (XIDE)

File number: RG13-091
Date filed: June 21, 2013
Description:

RG13-091 Rule 24A.15 Letter of Guarantee or Authorization; Rule 24B.13 Letter of Guarantee or Authorization

File number: RG13-090
Date filed: June 17, 2013
Description:

RG13-090 AIM Auto Match with a Limit Activation

File number: RG13-089
Date filed: June 12, 2013
Description:

RG13-089 Restrictions on Transactions in Excel Maritime Carriers Ltd. (EXM)

File number: RG13-088
Date filed: June 11, 2013
Description:

RG13-088 Index Crowd Space Dispute Resolution Procedures

File number: RG13-087
Date filed: June 10, 2013
Description:

RG13-087 Postpone Listing of 2015 LEAPS

File number: RG13-086
Date filed: June 7, 2013
Description:

RG13-086 Restrictions on Transactions in Tata Communications Ltd. (TCL)

File number: RG13-085
Date filed: June 6, 2013
Description:

RG13-085 Restrictions on Transactions in Jaguar Mining, Inc. (JAG)

File number: RG13-084
Date filed: June 5, 2013
Description:

RG13-084 Restrictions on Transactions in Affymax, Inc. (AFFY)

File number: RG13-083
Date filed: June 5, 2013
Description:

RG13-083 New Order Designations

File number: RG13-082
Date filed: June 4, 2013
Description:

RG13-082 Restrictions on Transactions in Adjusted McMoRan Exploration Co. (MMR1)

File number: RG13-081
Date filed: June 3, 2013
Description:

RG13-081 Restrictions on Transactions in Telestone Technologies Corporation (TSTC)

File number: RG13-080
Date filed: May 28, 2013
Description:

RG13-080 Restrictions on Transactions in China Shen Zhou Mining & Resources, Inc. (SHZ)

File number: RG13-079
Date filed: May 24, 2013
Description:

RG13-079 Format Change to Market-Maker Equity Trade (MMET) and Market-Maker Stock Position (MMSTK) Files

File number: RG13-078
Date filed: May 24, 2013
Description:

RG13-078 Format Change to Market-Maker Equity Trade (MMET) and Market-Maker Stock Position (MMSTK) Files

File number: RG13-077
Date filed: May 24, 2013
Description:

RG13-077 AIM Auto-Match with a Limit

File number: RG13-076
Date filed: May 17, 2013
Description:

RG13-076 Bid-Ask Differentials

File number: RG13-075
Date filed: May 15, 2013
Description:

RG13-075 AIM Auto-Match with a Limit

File number: RG13-074
Date filed: May 8, 2013
Description:

RG13-074 CBOE and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

File number: RG13-073
Date filed: May 6, 2013
Description:

RG13-073 Requirement to Provide Notification to the Exchange of Disciplinary Action

File number: RG13-072
Date filed: May 6, 2013
Description:

RG13-072 Restrictions on Transactions in New Energy Systems Group (NEWN)

File number: RG13-071
Date filed: May 1, 2013
Description:

RG13-071 Relocation of Option Classes from Post 5, Station 9

File number: RG13-070
Date filed: April 30, 2013
Description:

RG13-070 Relocation of IWM, IWO and IWN from Post 4, Station 5 to Post 4, Station 10

File number: RG13-069
Date filed: April 29, 2013
Description:

RG13-069 May 2013 Fee Changes

File number: RG13-068
Date filed: April 25, 2013
Description:

RG13-068 Availability of Auctions on CBOE Market

File number: RG13-067
Date filed: April 23, 2013
Description:

RG13-067 USANA Health Sciences, Inc. (Ticker USNA)

File number: RG13-066
Date filed: April 22, 2013
Description:

RG13-066 Continuing Education Firm Element Advisory

File number: RG13-065
Date filed: April 19, 2013
Description:

RG13-065 Bid-Ask Differentials

File number: RG13-064
Date filed: April 19, 2013
Description:

RG13-064 Relocation of IWM, IWO and IWN Option Classes

File number: RG13-063
Date filed: April 18, 2013
Description:

RG13-063 Relocation of Option Classes from Post 5, Station 9

File number: RG13-062
Date filed: April 17, 2013
Description:

RG13-062 Data Fee for CBOE BBO Data Feed

File number: RG13-061
Date filed: April 15, 2013
Description:

RG13-061 Expected Opening Price and Size Messages via CBOE Streaming Markets

File number: RG13-060
Date filed: April 15, 2013
Description:

RG13-060 Automation of Stock-Option Strategy Orders in Classes that Trade until 3:15 PM CT

File number: RG13-059
Date filed: April 11, 2013
Description:

RG13-059 Restrictions on Transactions in Central European Distribution Corp (CEDC)

File number: RG13-058
Date filed: April 11, 2013
Description:

RG13-058 Changes to Market-Makers' Continuous Electronic Quoting Obligations in Hybrid Classes

File number: RG13-057
Date filed: April 10, 2013
Description:

RG13-057 Change to OCC, CBOE and C2 Deadlines for Daily Submission of Trade Input (2nd Pass) Effective: Monday, April 22, 2013

File number: RG13-056
Date filed: April 9, 2013
Description:

RG13-056 Restrictions on Transactions in Saba Software, Inc. (SABA)

File number: RG13-055
Date filed: April 5, 2013
Description:

RG13-055 Automatic Release of Orders Routed to Away Exchanges

File number: RG13-054
Date filed: April 5, 2013
Description:

RG13-054 Data Fee for CBOE BBO Data Feed

File number: RG13-053
Date filed: April 4, 2013
Description:

RG13-053 Limit Up-Limit Down Order Handling

File number: RG13-052
Date filed: April 1, 2013
Description:

RG13-052 Restrictions on Transactions in GMX Resources, Inc. (GMXR)

File number: RG13-051
Date filed: March 25, 2013
Description:

RG13-051 Format change to Market Maker Equity Trade (MMET) and Market Maker Stock (MMSTK) Position Files

File number: RG13-050
Date filed: March 25, 2013
Description:

RG13-050 Format Change to Market Maker Equity Trade (MMET) and Market Maker Stock (MMSTK) Position Files

File number: RG13-049
Date filed: March 22, 2013
Description:

RG13-049 Data Fee for CBOE BBO Data Feed

File number: RG13-048
Date filed: March 15, 2013
Description:

RG13-048 Margin Requirements for Mini Options

File number: RG13-047
Date filed: March 15, 2013
Description:

RG13-047 Automation of Stock-Option Strategy Orders in Classes that Trade until 3:15 PM CST

File number: RG13-046
Date filed: March 15, 2013
Description:

RG13-046 Operational Details for Mini-Options Trading on CBOE

File number: RG13-045
Date filed: March 15, 2013
Description:

RG13-045 Restrictions on Transactions in Gold Reserve Inc. (GRZ)

File number: RG13-044
Date filed: March 14, 2013
Description:

RG13-044 Transaction Fees and Marketing Fee for Mini-Options Contracts

File number: RG13-043
Date filed: March 14, 2013
Description:

RG13-043 Requests for Reports/Data

File number: RG13-042
Date filed: March 13, 2013
Description:

RG13-042 Bid-Ask Differentials

File number: RG13-041
Date filed: March 11, 2013
Description:

RG13-041 Qualified Contingent Cross (QCC) Transactions

File number: RG13-040
Date filed: March 8, 2013
Description:

RG13-040 Multi-Class Broad-Based Index Spread Orders

File number: RG13-039
Date filed: March 7, 2013
Description:

RG13-039 Restrictions on Transactions in Sycamore Networks, Inc. (SCMR)

File number: RG13-038
Date filed: March 7, 2013
Description:

RG13-038 Order Origin Code Requirements

File number: RG13-037
Date filed: March 5, 2013
Description:

RG13-037 Operational Details for Mini-Options Trading on CBOE

File number: RG13-036
Date filed: March 4, 2013
Description:

RG13-036 Mini Options (on SPY, AAPL, GLD, GOOG and AMZN) Information and FAQ

File number: RG13-035
Date filed: February 28, 2013
Description:

RG13-035 March 2013 Fee Changes

File number: RG13-034
Date filed: February 27, 2013
Description:

RG13-034 SROs Publish Consolidated Audit Trail RFP and Announce Bidders Conference

File number: RG13-033
Date filed: February 26, 2013
Description:

RG13-033 Restrictions on Transactions in Adjusted Leucadia National Corporation (LUK1)

File number: RG13-032
Date filed: February 25, 2013
Description:

RG13-032 SROs Announce Formation of CAT Development Advisory Group

File number: RG13-031
Date filed: February 25, 2013
Description:

RG13-031 Bid-Ask Differentials

File number: RG13-030
Date filed: February 25, 2013
Description:

RG13-030 Discontinuation of CBOE iSpreads Facility

File number: RG13-029
Date filed: February 21, 2013
Description:

RG13-029 Restrictions on Transactions in Adjusted Gold Fields Limited (GFl1)

File number: RG13-028
Date filed: February 21, 2013
Description:

RG13-028 Restrictions on Transactions in Adjusted Gold Fields Limited (GFl1)

File number: RG13-027
Date filed: February 15, 2013
Description:

RG13-027 Transaction Fees and Market-Maker Requirements for SPXpm

File number: RG13-026
Date filed: February 15, 2013
Description:

RG13-026 Order Price Reasonability Checks

File number: RG13-025
Date filed: February 14, 2013
Description:

RG13-025 Operational Systems Settings

File number: RG13-024
Date filed: February 13, 2013
Description:

RG13-024 Reminder and Update - Re-Location of PM-Settled S&P 500 Index Options (SPXpm) From C2 to CBOE

File number: RG13-023
Date filed: February 8, 2013
Description:

RG13-023 Automation of Stock-Option Strategy Orders in Classes that Trade until 3:15 PM CST

File number: RG13-022
Date filed: February 8, 2013
Description:

RG13-022 Form OE-418 and Attachments 2012 Year-End Filing Due March 1, 2013

File number: RG13-021
Date filed: January 31, 2013
Description:

RG13-021 February 2013 Fee Changes

File number: RG13-020
Date filed: January 31, 2013
Description:

RG13-020 Restrictions on Transactions in Myrexis, Inc (MYRX)

File number: RG13-019
Date filed: January 31, 2013
Description:

RG13-019 All-Or-None (AON) Orders

File number: RG13-018
Date filed: January 30, 2013
Description:

RG13-018 Bid-Ask Differentials

File number: RG13-017
Date filed: January 29, 2013
Description:

RG13-017 Restrictions on Transactions in Powerwave Technologies, Inc. (PWAV)

File number: RG13-016
Date filed: January 24, 2013
Description:

RG13-016 Designation of Preferred Market-Maker

File number: RG13-015
Date filed: January 23, 2013
Description:

RG13-015 Consolidated Audit Trail: SROs Publish Announcement Regarding January 29, 2013 Pre-RFP Bidders Conference on CAT NMS Website

File number: RG13-014
Date filed: January 23, 2013
Description:

RG13-014 Market-Maker Orders Permitted To Rest In the Complex Order Book (COB)

File number: RG13-013
Date filed: January 23, 2013
Description:

RG13-013 All-Or-None (AON) Orders

File number: RG13-012
Date filed: January 18, 2013
Description:

RG13-012 Re-Location of PM-Settled S&P 500 Index Options (SPXPM) From C2 to CBOE

File number: RG13-011
Date filed: January 15, 2013
Description:

RG13-011 Multi-Class Broad-Based Index Spread Orders

File number: RG13-010
Date filed: January 10, 2013
Description:

RG13-010 Restrictions on Transactions in Deer Consumer Products, Inc. (DEER)

File number: RG13-009
Date filed: January 10, 2013
Description:

RG13-009 AIM Primary Order Allowed in Penny Increments

File number: RG13-008
Date filed: January 8, 2013
Description:

RG13-008 Fees for Customized Option Pricing Service

File number: RG13-007
Date filed: January 7, 2013
Description:

RG13-007 Side Added to Complex Order Auction (COA) Message

File number: RG13-006
Date filed: January 4, 2013
Description:

RG13-006 Annual Reporting Pursuant to CBOE Rule 9.8 - Supervision of Accounts

File number: RG13-005
Date filed: January 3, 2013
Description:

RG13-005 All-Or-None (AON) Orders

File number: RG13-004
Date filed: January 2, 2013
Description:

RG13-004 Liquidity Provider Transaction Fees Sliding Scale Prepayment Incentive Reminder

File number: RG13-003
Date filed: January 2, 2013
Description:

RG13-003 Anti-Money Laundering ("AML") Compliance Program Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG13-002
Date filed: January 2, 2013
Description:

RG13-002 Anti-Money Laundering ("AML") Compliance Program

File number: RG13-001
Date filed: January 2, 2013
Description:

RG13-001 FOCUS Report (Form X-17A-5) 2012 Year-End Filing Due MARCH 1, 2013