2014 Exchange Regulatory Circulars

File number: RG14-183
Date filed: December 31, 2014
Description:

RG14-183 2015 Fee Changes for Floor Broker Workstation ("FBW") and Floor Broker Workstation 2 ("FBW2")

File number: RG14-182
Date filed: December 31, 2014
Description:

RG14-182 Form OE-418 and Attachments 2014 Year-End Filing Due March 1, 2015

File number: RG14-181
Date filed: December 31, 2014
Description:

RG14-181 Prearranged Trades

File number: RG14-180
Date filed: December 29, 2014
Description:

RG14-180 Penny Pilot Program - Replacement Classes to be Added on January 5, 2015

File number: RG14-179
Date filed: December 29, 2014
Description:

RG14-179 CBOE CSM Fee Changes

File number: RG14-178
Date filed: December 23, 2014
Description:

RG14-178 Restrictions on Transactions in Veolia Environment (VE)

File number: RG14-177
Date filed: December 19, 2014
Description:

RG14-177 2015 Fee Changes

File number: RG14-176
Date filed: December 18, 2014
Description:

RG14-176 Floor Broker Workstation 2

File number: RG14-175
Date filed: December 17, 2014
Description:

RG14-175 Session on December 19, 2014 Regarding Tied to Stock Order Marking and Reporting Requirements

File number: RG14-174
Date filed: December 17, 2014
Description:

RG14-174 Trading Permit Sliding Scale Programs

File number: RG14-173
Date filed: December 16, 2014
Description:

RG14-173 Restrictions on Transactions in Forest Oil Corporation (FST)

File number: RG14-172
Date filed: December 11, 2014
Description:

RG14-172 Market Maker Trade Notification Enhancement

File number: RG14-171
Date filed: December 10, 2014
Description:

RG14-171 Implementation Date for the Tied to Stock Order Marking and Reporting Requirements

File number: RG14-170
Date filed: December 1, 2014
Description:

RG14-170 Changes to Fees Schedule

File number: RG14-169
Date filed: November 25, 2014
Description:

RG14-169 New Fill Report Types

File number: RG14-168
Date filed: November 24, 2014
Description:

RG14-168 12:15 p.m. Special "Closing Rotation" for SPX and SPXW Options on Friday, November 28, 2014

File number: RG14-167
Date filed: November 21, 2014
Description:

RG14-167 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG14-166
Date filed: November 21, 2014
Description:

RG14-166 Quoting Bandwidth Increase.pdf

File number: RG14-165
Date filed: November 21, 2014
Description:

RG14-165 Rule 6.67 CBOE Trade Match System (CTM)

File number: RG14-164
Date filed: November 20, 2014
Description:

RG14-164 Trading Restrictions Lifted for Transactions in Adjusted Geron Corporation (GERN1) Options Effective October 8, 2014

File number: RG14-163
Date filed: November 19, 2014
Description:

RG14-163 Restrictions on Transactions in Dendreon Corporation (DNDN)

File number: RG14-162
Date filed: November 19, 2014
Description:

RG14-162 Instant Messaging and E-mail

File number: RG14-161
Date filed: November 13, 2014
Description:

RG14-161 Thanksgiving Holiday Schedule & Expiring Exercise Declaration (EED) Submissions for Friday, November 28, 2014

File number: RG14-160
Date filed: November 12, 2014
Description:

RG14-160 Restrictions on Transactions in Education Management Corporation (EDMC)

File number: RG14-159
Date filed: November 11, 2014
Description:

RG14-159 In-Person Requirements for Market-Makers in Hybrid 3.0 Products (symbol SPX)

File number: RG14-158
Date filed: November 11, 2014
Description:

RG14-158 Bid-Ask Differentials and Minimum Quote Size

File number: RG14-157
Date filed: November 11, 2014
Description:

RG14-157 Operational System Settings on Expiration Dates for Volatility Index Derivative

File number: RG14-156
Date filed: November 11, 2014
Description:

RG14-156 Opening Exchange Prescribed Width and Acceptable Price Range Settings

File number: RG14-155
Date filed: November 3, 2014
Description:

RG14-155 Market Maker Trade Notification Enhancements

File number: RG14-154
Date filed: October 31, 2014
Description:

RG14-154 Delayed Regulatory Request Data Submissions Format

File number: RG14-153
Date filed: October 31, 2014
Description:

RG14-153 Delayed Implementation of SPX Combo Order Indicator

File number: RG14-152
Date filed: October 30, 2014
Description:

RG14-152 Changes to Fees Schedule

File number: RG14-151
Date filed: October 30, 2014
Description:

RG14-151 Continuing Education Firm Element Advisory

File number: RG14-150
Date filed: October 30, 2014
Description:

RG14-150 Restrictions on Transactions in Cal Dive International, Inc (DVR)

File number: RG14-149
Date filed: October 27, 2014
Description:

RG14-149 Restrictions on Transactions in Eagle Bulk Shipping Inc. (EGLE1)

File number: RG14-148
Date filed: October 23, 2014
Description:

RG14-148 Give Up of Clearing Trading Permit Holders

File number: RG14-147
Date filed: October 17, 2014
Description:

RG14-147 Automated Improvement Mechanism in Restricted Classes

File number: RG14-146
Date filed: October 16, 2014
Description:

RG14-146 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG14-145
Date filed: October 15, 2014
Description:

RG14-145 Restrictions on Transactions in GT Advanced Technologies, Inc. (GTAT)

File number: RG14-144
Date filed: October 13, 2014
Description:

RG14-144 Restrictions on Transactions in Endeavour International Corporation (END)

File number: RG14-143
Date filed: October 13, 2014
Description:

RG14-143 Complex Order Auction (COA) Origin Code Eligibility

File number: RG14-142
Date filed: October 9, 2014
Description:

RG14-142 Changes to Market-Maker Continuous Quoting Requirements

File number: RG14-141
Date filed: October 3, 2014
Description:

RG14-141 Rule 6.19, Trade Nullification and Price Adjustment Procedure

File number: RG14-140
Date filed: October 1, 2014
Description:

RG14-140 Changes to Fees Schedule

File number: RG14-139
Date filed: October 1, 2014
Description:

RG14-139 Regulatory Request Data Submissions Format

File number: RG14-138
Date filed: September 29, 2014
Description:

RG14-138 Written Supervisory Procedures - CBOE Rule 4.24 - Supervision

File number: RG14-137
Date filed: September 24, 2014
Description:

RG14-137 Restrictions on Transactions in Nll Holdings, Inc. (NlHD)

File number: RG14-136
Date filed: September 24, 2014
Description:

RG14-136 Rule 6.19, Trade Nullification and Adjustment Procedure

File number: RG14-135
Date filed: September 22, 2014
Description:

RG14-135 Restrictions on Transactions in KiOR, Inc. (KIOR)

File number: RG14-134
Date filed: September 22, 2014
Description:

RG14-134 Lead Market-Maker (LMM) Appointments for CBOE Extended Trading Hours (ETH)

File number: RG14-133
Date filed: September 19, 2014
Description:

RG14-133 Strike Programs

File number: RG14-132
Date filed: September 10, 2014
Description:

RG14-132 Procedures Related to Multi-Class Spread Orders

File number: RG14-131
Date filed: September 5, 2014
Description:

RG14-131 Amendment to Permit $0.50 Strikes for XSP and DJX Weeklys

File number: RG14-130
Date filed: September 5, 2014
Description:

RG14-130 Amendment to Increase $1 Strikes for SPY and DIA Options

File number: RG14-129
Date filed: September 2, 2014
Description:

RG14-129 Changes to Fees Schedule

File number: RG14-128
Date filed: August 22, 2014
Description:

RG14-128 Give Up of Clearing Trading Permit Holders

File number: RG14-127
Date filed: August 19, 2014
Description:

RG14-127 Systematic Block and Rejection of I-Orders

File number: RG14-126
Date filed: August 18, 2014
Description:

RG14-126 Systematic Block and Rejection of I-Orders

File number: RG14-125
Date filed: August 15, 2014
Description:

RG14-125 Implementation of SPX Combo Order Indicator

File number: RG14-124
Date filed: August 14, 2014
Description:

RG14-124 SPX Combination Order and Priority Rules FAQs

File number: RG14-123
Date filed: August 12, 2014
Description:

RG14-123 Solicitation for Lead Market-Makers During Extended Trading Hours

File number: RG14-122
Date filed: August 8, 2014
Description:

RG14-122 QRM Forms

File number: RG14-121
Date filed: August 8, 2014
Description:

RG14-121 Deactivation of Qualified Contingent Cross (QCC)

File number: RG14-120
Date filed: August 6, 2014
Description:

RG14-120 Changes to Fees Schedule

File number: RG14-119
Date filed: July 25, 2014
Description:

RG14-119 Outgoing Email Feature for FBW Order Status Details

File number: RG14-118
Date filed: July 25, 2014
Description:

RG14-118 FBW Equity GUI Modification

File number: RG14-117
Date filed: July 23, 2014
Description:

RG14-117 Bid-Ask Differentials

File number: RG14-116
Date filed: July 22, 2014
Description:

RG14-116 Restrictions on Transactions in Adjusted Geron Corporation (GERN1)

File number: RG14-115
Date filed: July 18, 2014
Description:

RG14-115 Quarterly Rebalance of Options Class Tiers and Online Appointment System Reminder

File number: RG14-114
Date filed: July 18, 2014
Description:

RG14-114 2014 CBOE Examinations Program Priorities

File number: RG14-113
Date filed: July 16, 2014
Description:

RG14-113 Quote Risk Monitor (QRM) for Classes Overlaying the Same Underlying

File number: RG14-112
Date filed: July 16, 2014
Description:

RG14-112 CBOE Trade Match System Restrictions

File number: RG14-111
Date filed: July 11, 2014
Description:

RG14-111 Change to OCC, CBOE and C2 Deadlines for Daily Submission of Trade Input (2nd Pass) Effective: Friday, August 1, 2014

File number: RG14-110
Date filed: July 10, 2014
Description:

RG14-110 Reports of Execution of Stock Transactions Related to Tied to Stock Orders

File number: RG14-109
Date filed: July 9, 2014
Description:

RG14-109 Restrictions on Transactions in Body Central Corp. (BODY)

File number: RG14-108
Date filed: July 2, 2014
Description:

RG14-108 Elimination of I-Orders

File number: RG14-107
Date filed: July 1, 2014
Description:

RG14-107 Modification of Options Regulatory Fee

File number: RG14-106
Date filed: July 1, 2014
Description:

RG14-106 Updates to Fee Schedule

File number: RG14-105
Date filed: July 1, 2014
Description:

RG14-105 PAR Enhancements - Training Schedule Update

File number: RG14-104
Date filed: June 27, 2014
Description:

RG14-104 Update to XSP Strike Listing Intervals

File number: RG14-103
Date filed: June 27, 2014
Description:

RG14-103 Bid-Ask Differentials

File number: RG14-102
Date filed: June 27, 2014
Description:

RG14-102 FBW Enhancements and Functionality

File number: RG14-101
Date filed: June 26, 2014
Description:

RG14-101 30-Day Implementation Period for Margin Increases for Volatility Index Options

File number: RG14-100
Date filed: June 25, 2014
Description:

RG14-100 Restrictions on Transactions in Lihua International, Inc. (LIWA)

File number: RG14-099
Date filed: June 25, 2014
Description:

RG14-099 PAR Enhancements - Training Schedule Update

File number: RG14-098
Date filed: June 25, 2014
Description:

RG14-098 Penny Pilot Program - Replacement Classes to be Added on July 3, 2014 - Updated

File number: RG14-097
Date filed: June 24, 2014
Description:

RG14-097 Penny Pilot Program - Replacement Classes to be Added on July 3, 2014

File number: RG14-096
Date filed: June 20, 2014
Description:

RG14-096 PAR Enhancements

File number: RG14-095
Date filed: June 20, 2014
Description:

RG14-095 End-of-Month Fair Value Non-Trading Closing Rotations in Symbols SPX and SPXW

File number: RG14-094
Date filed: June 19, 2014
Description:

RG14-094 Independence Day Holiday Schedule & Exercise Advise Deadlines for July 3, 2014

File number: RG14-093
Date filed: June 13, 2014
Description:

RG14-093 Operational Systems Settings on Volatility Index Product Settlement Days

File number: RG14-092
Date filed: June 13, 2014
Description:

RG14-092 Extended Trading Hours (ETH) Frequently Asked Questions Circular No. 2

File number: RG14-091
Date filed: June 12, 2014
Description:

RG14-091 Prearranged Trades

File number: RG14-090
Date filed: June 11, 2014
Description:

RG14-090 Procedures Related to Multi-Class Spread Orders

File number: RG14-089
Date filed: June 10, 2014
Description:

RG14-089 Bid-Ask Differentials

File number: RG14-088
Date filed: June 10, 2014
Description:

RG14-088 Listing of Weekly Option Series in XSP

File number: RG14-087
Date filed: June 9, 2014
Description:

RG14-087 Complex Order Routing Parameters Based on Largest Leg.doc

File number: RG14-086
Date filed: June 9, 2014
Description:

RG14-086 Restrictions on Transactions in China GengSheng Minerals, Inc. (CHGS)

File number: RG14-085
Date filed: June 6, 2014
Description:

RG14-085 2016 Index and ETF LEAPS Listing Schedule

File number: RG14-084
Date filed: June 6, 2014
Description:

RG14-084 Open Outcry Crossing Participation Entitlements

File number: RG14-083
Date filed: June 4, 2014
Description:

RG14-083 Allocation of 1-5 Lots

File number: RG14-082
Date filed: May 29, 2014
Description:

RG14-082 Updates to Fee Schedule

File number: RG14-081
Date filed: May 29, 2014
Description:

RG14-081 Symbol Change for SPX End-of-Quarter Options and New SPX End-of-Month Options

File number: RG14-080
Date filed: May 27, 2014
Description:

RG14-080 Expansion of Half-Point Strikes in VIX

File number: RG14-079
Date filed: May 22, 2014
Description:

RG14-079 Designation of Underlying or Related Instrument(s) for Purposes of the Obvious Error Rule

File number: RG14-078
Date filed: May 21, 2014
Description:

RG14-078 Option Class Delisting Notifications

File number: RG14-077
Date filed: May 20, 2014
Description:

RG14-077 New Quote Risk Monitor (QRM) Features

File number: RG14-076
Date filed: May 16, 2014
Description:

RG14-076 Deactivation of the Solicitation Auction Mechanism (SAM)

File number: RG14-075
Date filed: May 16, 2014
Description:

RG14-075 Customer Priority Surcharge for VIX (maker non-turner)

File number: RG14-074
Date filed: May 15, 2014
Description:

RG14-074 Online Appointment System Reminders

File number: RG14-073
Date filed: May 15, 2014
Description:

RG14-073 Restrictions on Transactions in Siemens AG (Sl)

File number: RG14-072
Date filed: May 13, 2014
Description:

RG14-072 Proposed Rule Change to Amend Certain Margin Rules for Volatility Index Options

File number: RG14-071
Date filed: May 5, 2014
Description:

RG14-071 Restrictions on Transactions in Desarrolladora Homes (HXM)

File number: RG14-070
Date filed: May 2, 2014
Description:

RG14-070 SPXW COA Allocation

File number: RG14-069
Date filed: April 29, 2014
Description:

RG14-069 End of CBSX Trading Operations - April 30

File number: RG14-068
Date filed: April 24, 2014
Description:

RG14-068 CBOE Data Feed Upgrades

File number: RG14-067
Date filed: April 24, 2014
Description:

RG14-067 Stock-Option Strategy Orders

File number: RG14-066
Date filed: April 22, 2014
Description:

RG14-066 Restrictions on Transactions in Coldwater Creek, Inc. (CWTR)

File number: RG14-065
Date filed: April 22, 2014
Description:

RG14-065 Restrictions on Transactions in Genco Shipping & Trading Ltd (GNK)

File number: RG14-064
Date filed: April 17, 2014
Description:

RG14-064 Continuing Education Firm Element Advisory

File number: RG14-063
Date filed: April 16, 2014
Description:

RG14-063 Restrictions on Transactions in James River Coal Company (JRCC)

File number: RG14-062
Date filed: April 15, 2014
Description:

RG14-062 Modified HOSS Opening Procedures for All Volatility Index Option Components

File number: RG14-061
Date filed: April 10, 2014
Description:

RG14-061 Operational Systems Settings - APR and OEPW

File number: RG14-060
Date filed: April 9, 2014
Description:

RG14-060 Tier Appointment Fees For Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-059
Date filed: April 9, 2014
Description:

RG14-059 Preferred Market-Maker Program Eligible Classes

File number: RG14-058
Date filed: April 9, 2014
Description:

RG14-058 Product Description and Margin and Net Capital Requirements - Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-057
Date filed: April 8, 2014
Description:

RG14-057 Portfolio Margin

File number: RG14-056
Date filed: April 8, 2014
Description:

RG14-056 Portfolio Margin Requirements for Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-055
Date filed: April 8, 2014
Description:

RG14-055 CBOE Book Depth Data Feeds

File number: RG14-054
Date filed: April 8, 2014
Description:

RG14-054 CBOE Data Feed Upgrades

File number: RG14-053
Date filed: April 7, 2014
Description:

RG14-053 Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-052
Date filed: April 4, 2014
Description:

RG14-052 Stock-Option Strategy Orders

File number: RG14-051
Date filed: April 4, 2014
Description:

RG14-051 Re-COA Parameters for Stock-Option Strategy Orders

File number: RG14-050
Date filed: April 2, 2014
Description:

RG14-050 Price Protection Levels for Certain Classes

File number: RG14-049
Date filed: April 2, 2014
Description:

RG14-049 Preferred Market-Maker Program Eligible Classes

File number: RG14-048
Date filed: April 2, 2014
Description:

RG14-048 Minimum Quote Size of One (1) Contract in Certain Classes

File number: RG14-047
Date filed: April 2, 2014
Description:

RG14-047 PAR Enhancements

File number: RG14-046
Date filed: April 2, 2014
Description:

RG14-046 End of CBSX Trading Operations - April 30

File number: RG14-045
Date filed: April 2, 2014
Description:

RG14-045 Transaction Fees for Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-044
Date filed: March 31, 2014
Description:

RG14-044 Restrictions on Transactions in LDK Solar Co., Ltd. (LDK)

File number: RG14-043
Date filed: March 31, 2014
Description:

RG14-043 Extended Trading Hours Frequently Asked Questions Circular No. 1

File number: RG14-042
Date filed: March 31, 2014
Description:

RG14-042 April 2014 Fee Changes

File number: RG14-041
Date filed: March 28, 2014
Description:

RG14-041 Minimum Quote Size of One (1) Contract in Certain Classes

File number: RG14-040
Date filed: March 28, 2014
Description:

RG14-040 Margin Requirements for Options on the CBOE Short-Term Volatility Index (VXST)

File number: RG14-039
Date filed: March 27, 2014
Description:

RG14-039 Expiring Exercise Declaration Submissions for Thursday, April 17, 2014

File number: RG14-038
Date filed: March 25, 2014
Description:

RG14-038 Reduced Appointment Cost of CBOE Volatility Index (VIX) Options

File number: RG14-037
Date filed: March 25, 2014
Description:

RG14-037 PAR Enhancements

File number: RG14-036
Date filed: March 20, 2014
Description:

RG14-036 Updated Extended Trading Hours (ETH) Specifications

File number: RG14-035
Date filed: March 17, 2014
Description:

RG14-035 Approval of Rule 4.24 - Supervision

File number: RG14-034
Date filed: March 14, 2014
Description:

RG14-034 Restrictions on Transactions in Accretive Health, Inc. (AH)

File number: RG14-033
Date filed: March 14, 2014
Description:

RG14-033 Multi-Class Broad-Based Index Spread Orders

File number: RG14-032
Date filed: March 5, 2014
Description:

RG14-032 Restrictions on Transactions in GSE Holdings, Inc (GSE)

File number: RG14-031
Date filed: March 4, 2014
Description:

RG14-031 March 2014 Fee Changes

File number: RG14-030
Date filed: March 3, 2014
Description:

RG14-030 Send Word Now Smart Notification Services

File number: RG14-029
Date filed: February 28, 2014
Description:

RG14-029 Changes in Reporting Requirements for Certain Broad-Based Index Options Positions

File number: RG14-028
Date filed: February 28, 2014
Description:

RG14-028 FINRA BrokerCheck Disclosure FINRA Rule 8312

File number: RG14-027
Date filed: February 28, 2014
Description:

RG14-027 Annual Reporting Pursuant to CBOE/C2 Rule 9.8 - Supervision of Accounts

File number: RG14-026
Date filed: February 27, 2014
Description:

RG14-026 Restrictions on Transactions in Alumina Limited (AWC)

File number: RG14-025
Date filed: February 27, 2014
Description:

RG14-025 Anti-Money Laundering ("AML") Compliance Program Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG14-024
Date filed: February 27, 2014
Description:

RG14-024 Anti-Money Laundering ("AML") Compliance Program Annual Requirements for: First Time Filers, or Previous Filers Whose AML Procedures or Designated AML Compliance Individual Have Changed

File number: RG14-023
Date filed: February 26, 2014
Description:

RG14-023 Form Custody To Be Filed With CBOE

File number: RG14-022
Date filed: February 25, 2014
Description:

RG14-022 Restrictions on Transactions in Avid Technology, Inc (AVID)

File number: RG14-021
Date filed: February 20, 2014
Description:

RG14-021 Elimination of the Exchange Bulletin

File number: RG14-020
Date filed: February 20, 2014
Description:

RG14-020 Increase in Authorized Number of Trading Permits

File number: RG14-019
Date filed: February 14, 2014
Description:

RG14-019 Operational System Settings on Volatility Index Product Settlement Days

File number: RG14-018
Date filed: February 13, 2014
Description:

RG14-018 Introduction of Extended Trading Hours (ETH) for SPX, SPXW, SPXQ, SPXPM and VIX Options

File number: RG14-017
Date filed: February 13, 2014
Description:

RG14-017 Minimum Increments for Bids and Offers on Complex Orders

File number: RG14-016
Date filed: February 12, 2014
Description:

RG14-016 Opening Algorithm Change for SPXW

File number: RG14-015
Date filed: February 12, 2014
Description:

RG14-015 Increase in Authorized Number of Trading Permits

File number: RG14-014
Date filed: February 12, 2014
Description:

RG14-014 CBSX Trading Permit Holder Eligibility

File number: RG14-013
Date filed: February 11, 2014
Description:

RG14-013 Restrictions on Transactions in Adjusted Synergy Pharmaceuticals, Inc. (SGYP1)

File number: RG14-012
Date filed: February 4, 2014
Description:

RG14-012 February 2014 Fee Changes

File number: RG14-011
Date filed: January 28, 2014
Description:

RG14-011 Restrictions on Transactions in The Dolan Company (DM)

File number: RG14-010
Date filed: January 28, 2014
Description:

RG14-010 Expansion of Number of Expirations Listed in S&P 500 Index Weekly Options (SPXW)

File number: RG14-009
Date filed: January 21, 2014
Description:

RG14-009 Quarterly Rebalance of Option Class Tiers

File number: RG14-008
Date filed: January 16, 2014
Description:

RG14-008 Back-Up Data Center Testing on January 25, 2014

File number: RG14-007
Date filed: January 15, 2014
Description:

RG14-007 Bid-Ask Differentials

File number: RG14-006
Date filed: January 14, 2014
Description:

RG14-006 Bid-Ask Differentials for Intercept Pharmaceuticals Inc. (ICPT)

File number: RG14-005
Date filed: January 10, 2014
Description:

RG14-005 Modified HOSS Opening Procedures for All Volatility Index Option Components

File number: RG14-004
Date filed: January 10, 2014
Description:

RG14-004 Strategy Order Cut-Off Time for All Options Used to Calculate Volatility Indexes

File number: RG14-003
Date filed: January 9, 2014
Description:

RG14-003 Concealed Weapons

File number: RG14-002
Date filed: January 9, 2014
Description:

RG14-002 Elimination of the e-DPM Program

File number: RG14-001
Date filed: January 2, 2014
Description:

RG14-001 Back-Up Data Center Test on January 25, 2014