2015 Cboe Exchange Regulatory Circulars

File number: RG15-202
Date filed: December 31, 2015
Description:

RG15-202 Modification of Options Regulatory Fee

File number: RG15-201
Date filed: December 31, 2015
Description:

RG15-201 Nasdaq 100 Index (NDX and MNX) Fees

File number: RG15-200
Date filed: December 31, 2015
Description:

RG15-200 Submission of Daily Equity, Haircut Data and Net Capital Computation

File number: RG15-199
Date filed: December 30, 2015
Description:

RG15-199 Changes to Fees Schedule for Compression Trades Fee Waiver

File number: RG15-198
Date filed: December 29, 2015
Description:

RG15-198 Penny Pilot Program - Replacement Classes to be Added on January 5, 2016

File number: RG15-197
Date filed: December 24, 2015
Description:

RG15-197 Limit Order Price Reasonability Checks for Immediate-or-Cancel Orders

File number: RG15-196
Date filed: December 23, 2015
Description:

RG15-196 Cancel-Orders-On-Disconnect

File number: RG15-195
Date filed: December 23, 2015
Description:

RG15-195 Market-Maker Complex Orders in SPXW and VIX

File number: RG15-194
Date filed: December 22, 2015
Description:

RG15-194 2016 Fee Changes

File number: RG15-193
Date filed: December 22, 2015
Description:

RG15-193 Restrictions on Transactions in Swift Energy Company (SFY)

File number: RG15-192
Date filed: December 18, 2015
Description:

RG15-192 Limit Order Price Reasonability Checks for Immediate-or-Cancel Orders

File number: RG15-191
Date filed: December 18, 2015
Description:

RG15-191 Electronic Filing of Annual Audits

File number: RG15-190
Date filed: December 18, 2015
Description:

RG15-190 Restrictions on Transactions in Hong Kong Television Network (HKTV)

File number: RG15-189
Date filed: December 18, 2015
Description:

RG15-189 Restrictions on Transactions in Rhino Resource Partners LP (RNO)

File number: RG15-188
Date filed: December 18, 2015
Description:

RG15-188 Restrictions on Transactions in Paragon Offshore PLC (PGN)

File number: RG15-187
Date filed: December 18, 2015
Description:

RG15-187 Restrictions on Transactions in Avalon Rare Metals Inc. (AVL)

File number: RG15-186
Date filed: December 18, 2015
Description:

RG15-186 Extended Trading Hours - Opening Exchange Prescribed Width Settings

File number: RG15-185
Date filed: December 17, 2015
Description:

RG15-185 Trading Permit Sliding Scale Programs

File number: RG15-184
Date filed: December 17, 2015
Description:

RG15-184 Holiday Schedule for Regular and Extended Trading Hours Sessions and Related Expiring Exercise Declaration Submissions

File number: RG15-183
Date filed: December 16, 2015
Description:

RG15-183 Covered Margin Treatment for Short, Cash-Settled Index Options

File number: RG15-182
Date filed: December 15, 2015
Description:

RG15-182 Prearranged Trades

File number: RG15-181
Date filed: December 15, 2015
Description:

RG15-181 Exchange Rule 6.51 - "Reporting Duties"

File number: RG15-180
Date filed: December 11, 2015
Description:

RG15-180 Qualification, Registration, and Continuing Education Requirements for Registered Persons

File number: RG15-179
Date filed: December 4, 2015
Description:

RG15-179 Limit Order Price Reasonability Checks for Immediate-or-Cancel Orders

File number: RG15-178
Date filed: December 4, 2015
Description:

RG15-178 Transition of Certain Web Based Surveillance ("WBS") Reports to the FINRA Report Center

File number: RG15-177
Date filed: December 4, 2015
Description:

RG15-177 2018 Index and ETF LEAPS Listing Schedule

File number: RG15-176
Date filed: December 4, 2015
Description:

RG15-176 Symbol Change and New PM-Settled Expirations in Russell 2000 Index Options

File number: RG15-175
Date filed: December 1, 2015
Description:

RG15-175 Restrictions on Transactions in National Bank of Greece S.A. (NBG)

File number: RG15-174
Date filed: November 30, 2015
Description:

RG15-174 Enhanced Electronic Blue Sheet Submissions Updates Extension of Effective Date for Certain Data Elements

File number: RG15-173
Date filed: November 27, 2015
Description:

RG15-173 Restrictions on Transactions in Noranda Aluminum Holding Corporation ("NOR")

File number: RG15-172
Date filed: November 25, 2015
Description:

RG15-172 Class-Level Cancel Requests

File number: RG15-171
Date filed: November 23, 2015
Description:

RG15-171 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG15-170
Date filed: November 23, 2015
Description:

RG15-170 Change to Closing Time on Last Day of Trading for Expiring MSCI EAFE Index (MXEA) Options

File number: RG15-169
Date filed: November 20, 2015
Description:

RG15-169 Eligible Expiration Dates for FLEX Options on the CBOE Volatility Index (VIX)

File number: RG15-168
Date filed: November 18, 2015
Description:

RG15-168 Corrected Final Settlement Value for October 28, 2015 Weekly VIX Options and Futures

File number: RG15-167
Date filed: November 17, 2015
Description:

RG15-167 Thanksgiving Holiday Pre-Open and Trading Hours for the Extended Trading Hours Session

File number: RG15-166
Date filed: November 17, 2015
Description:

RG15-166 Relocation of Option Classes

File number: RG15-165
Date filed: November 16, 2015
Description:

RG15-165 Changes to Fees Schedule for Qualified Contingent Cross Orders

File number: RG15-164
Date filed: November 13, 2015
Description:

RG15-164 Bid-Ask Differentials and Minimum Quote Size

File number: RG15-163
Date filed: November 12, 2015
Description:

RG15-163 Thanksgiving Holiday Schedule & Expiring Exercise Declaration (EED) Submissions for Friday, November 27, 2015

File number: RG15-162
Date filed: November 12, 2015
Description:

RG15-162 Holiday Listing Schedule for Weekly Expirations

File number: RG15-161
Date filed: November 11, 2015
Description:

RG15-161 Restrictions on Transactions in Magnum Hunter Resources, Corp. (MHR)

File number: RG15-160
Date filed: November 11, 2015
Description:

RG15-160 Continuing Education Firm Element Advisory

File number: RG15-159
Date filed: November 5, 2015
Description:

RG15-159 Multi-Class Broad-Based Index Spread Orders

File number: RG15-158
Date filed: November 5, 2015
Description:

RG15-158 Restrictions on Transactions in Rock Creek Pharmaceuticals, Inc. (RCPI)

File number: RG15-157
Date filed: November 5, 2015
Description:

RG15-157 Restrictions on Transactions in Oncolytics Biotech, Inc. (ONCY)

File number: RG15-156
Date filed: November 3, 2015
Description:

RG15-156 Relocation of Option Classes

File number: RG15-155
Date filed: October 30, 2015
Description:

RG15-155 Designated BCP/DR Participants

File number: RG15-154
Date filed: October 30, 2015
Description:

RG15-154 Changes to Fees Schedule

File number: RG15-153
Date filed: October 30, 2015
Description:

RG15-153 Changes to Regulatory Element of Continuing Education Program

File number: RG15-152
Date filed: October 29, 2015
Description:

RG15-152 Multi-Class Broad-Based Index Spread Orders

File number: RG15-151
Date filed: October 29, 2015
Description:

RG15-151 Restrictions on Transactions in Escalera Resources, Co. (ESCR) - Updated

File number: RG15-150
Date filed: October 29, 2015
Description:

RG15-150 Restrictions on Transactions in Escalera Resources, Co. (ESCR)

File number: RG15-149
Date filed: October 28, 2015
Description:

RG15-149 Impact of Christmas and New Year's Day Holiday Closures on Weekly VIX Derivatives

File number: RG15-148
Date filed: October 28, 2015
Description:

RG15-148 PAR Enhancements

File number: RG15-147
Date filed: October 22, 2015
Description:

RG15-147 FTSE Russell Index Options Fees

File number: RG15-146
Date filed: October 20, 2015
Description:

RG15-146 Revisions to the Registered Options Principal Qualification Exam (Series 4)

File number: RG15-145
Date filed: October 16, 2015
Description:

RG15-145 Product Description and Margin and Net Capital Requirements- Options on the Russell 1000, Russell 1000 Growth and Russell 1000 Value Indexes

File number: RG15-144
Date filed: October 15, 2015
Description:

RG15-144 Floor Broker Workstation and Floor Broker Workstation 2

File number: RG15-143
Date filed: October 13, 2015
Description:

RG15-143 Expected Opening Price, Size and Imbalance Messages via CBOE Streaming Markets

File number: RG15-142
Date filed: October 9, 2015
Description:

RG15-142 Multi-Class Broad-Based Index Spread Orders

File number: RG15-141
Date filed: October 9, 2015
Description:

RG15-141 Operational System Settings for New Options on Three FTSE Russell Indexes

File number: RG15-140
Date filed: October 8, 2015
Description:

RG15-140 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG15-139
Date filed: October 6, 2015
Description:

RG15-139 Restrictions on Transactions in American Apparel, Inc. (APP)

File number: RG15-138
Date filed: October 2, 2015
Description:

RG15-138 Product Description and Margin and Net Capital Requirements - Weekly Options on the CBOE Volatility Index

File number: RG15-137
Date filed: October 2, 2015
Description:

RG15-137 Rule 6.23 - Equipment and Communications on the Trading Floor

File number: RG15-136
Date filed: September 30, 2015
Description:

RG15-136 Not Held Orders

File number: RG15-135
Date filed: September 30, 2015
Description:

RG15-135 Changes to Fees Schedule

File number: RG15-134
Date filed: September 30, 2015
Description:

RG15-134 Restrictions on Transactions in STR Holdings, Inc. (STRl)

File number: RG15-133
Date filed: September 29, 2015
Description:

RG15-133 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Option Contracts

File number: RG15-132
Date filed: September 24, 2015
Description:

RG15-132 Operational System Settings for Weekly CBOE Volatility Index Options

File number: RG15-131
Date filed: September 24, 2015
Description:

RG15-131 Operational Settings for SPXPM During Extended Trading Hours (ETH) Session

File number: RG15-130
Date filed: September 23, 2015
Description:

RG15-130 Allocation of 1-5 Lots and Preferred Market-Maker Entitlements

File number: RG15-129
Date filed: September 21, 2015
Description:

RG15-129 Floor Broker Workstation 2

File number: RG15-128
Date filed: September 14, 2015
Description:

RG15-128 Relocation of Option Classes

File number: RG15-127
Date filed: September 11, 2015
Description:

RG15-127 Multiple Contra-Parties Permitted on QCC Orders

File number: RG15-126
Date filed: September 11, 2015
Description:

RG15-126 Restrictions on Transactions in New Source Energy Partners L.P. (NSLP)

File number: RG15-125
Date filed: September 11, 2015
Description:

RG15-125 Restrictions on Transactions in Silvercorp Metals, Inc. (SVM)

File number: RG15-124
Date filed: September 4, 2015
Description:

RG15-124 Relocation of Option Classes

File number: RG15-123
Date filed: September 4, 2015
Description:

RG15-123 Relocation of Option Classes

File number: RG15-122
Date filed: August 31, 2015
Description:

RG15-122 Changes to Fees Schedule

File number: RG15-121
Date filed: August 28, 2015
Description:

RG15-121 Extended Trading Hours - Trading Permit and Bandwidth Packet Fees - CBOE Command Connectivity Fees

File number: RG15-120
Date filed: August 27, 2015
Description:

RG15-120 Relocation of Option Classes from Post 2, Station 5

File number: RG15-119
Date filed: August 26, 2015
Description:

RG15-119 Floor Broker Workstation (FBW) Cancellation Procedure

File number: RG15-118
Date filed: August 24, 2015
Description:

RG15-118 Restrictions on Transactions in Hercules Offshore, Inc. (HERO)

File number: RG15-117
Date filed: August 21, 2015
Description:

RG15-117 Relocation of Option Classes

File number: RG15-116
Date filed: August 21, 2015
Description:

RG15-116 Restrictions on Transactions in ASM International N.V. (ASMI)

File number: RG15-115
Date filed: August 13, 2015
Description:

RG15-115 Amended Rule 6.23 - Equipment and Communications on the Trading Floor

File number: RG15-114
Date filed: August 12, 2015
Description:

RG15-114 Web Based Surveillance Reports - Book Trade Through Surveillance Report

File number: RG15-113
Date filed: August 6, 2015
Description:

RG15-113 Cash Price Complex Orders (Updated)

File number: RG15-112
Date filed: August 4, 2015
Description:

RG15-112 Operational System Settings for Constituent Options of Volatility Indexes on Expiration Dates for Volatility Index Derivatives

File number: RG15-111
Date filed: August 4, 2015
Description:

RG15-111 Prearranged Trades

File number: RG15-110
Date filed: July 31, 2015
Description:

RG15-110 Restrictions on Transactions in Miller Energy Resources, Inc. (MILL)

File number: RG15-109
Date filed: July 29, 2015
Description:

RG15-109 Bid-Ask Differentials and Minimum Quote Size

File number: RG15-108
Date filed: July 24, 2015
Description:

RG15-108 Restrictions on Transactions in Acorn Energy, Inc. (ACFN)

File number: RG15-107
Date filed: July 23, 2015
Description:

RG15-107 Relocation of Option Classes from Post 2, Station 5

File number: RG15-106
Date filed: July 21, 2015
Description:

RG15-106 VIX Extended Trading Hours (ETH) Matching Algorithm

File number: RG15-105
Date filed: July 20, 2015
Description:

RG15-105 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG15-104
Date filed: July 17, 2015
Description:

RG15-104 Restrictions on Transactions in Alpha Natural Resources, Inc. (ANR)

File number: RG15-103
Date filed: July 13, 2015
Description:

RG15-103 Extended Trading Hours (ETH) Session Pre-Open Order Entry Time Extension

File number: RG15-102
Date filed: July 9, 2015
Description:

RG15-102 Restrictions on Transactions in Walter Energy, Inc. (WLT)

File number: RG15-101
Date filed: July 8, 2015
Description:

RG15-101 Regulatory Oversight Information Session

File number: RG15-100
Date filed: July 1, 2015
Description:

RG15-100 Changes to Fees Schedule

File number: RG15-099
Date filed: July 1, 2015
Description:

RG15-099 Modification of Options Regulatory Fee

File number: RG15-098
Date filed: July 1, 2015
Description:

RG15-098 Expiring Exercise Declaration Submissions for Thursday, July 2, 2015

File number: RG15-097
Date filed: July 1, 2015
Description:

RG15-097 PAR Enhancements

File number: RG15-096
Date filed: June 30, 2015
Description:

RG15-096 Exchange Liability

File number: RG15-095
Date filed: June 29, 2015
Description:

RG15-095 Penny Pilot Program Replacement Classes to be added on July 6 2015

File number: RG15-094
Date filed: June 25, 2015
Description:

RG15-094 Restrictions on Transactions in MolyCorp, Inc. (MCP)

File number: RG15-093
Date filed: June 19, 2015
Description:

RG15-093 Updates to CBOE Rules 6.53(y) and 15.2A and TPH Information Session

File number: RG15-092
Date filed: June 17, 2015
Description:

RG15-092 Amended Order Ticket Requirements for Complex Orders with More than 12 Legs

File number: RG15-091
Date filed: June 16, 2015
Description:

RG15-091 Processing for AIM Attempts While an Auction is Already in Progress - Update

File number: RG15-090
Date filed: June 11, 2015
Description:

RG15-090 2017 Index and ETF LEAPS Listing Schedule

File number: RG15-089
Date filed: June 8, 2015
Description:

RG15-089 Reactivation of the Automated Improvement Mechanism ("AIM") in Classes with Restricted Series

File number: RG15-088
Date filed: May 29, 2015
Description:

RG15-088 New Rule 6.79 - Floor Broker Practices

File number: RG15-087
Date filed: May 29, 2015
Description:

RG15-087 Re-Activation of the Solicitation Auction Mechanism (SAM) and Qualified Contingent Cross (QCC)

File number: RG15-086
Date filed: May 29, 2015
Description:

RG15-086 Changes to Fees Schedule

File number: RG15-085
Date filed: May 21, 2015
Description:

RG15-085 Systematization and Representation of Orders from FBW, FBW2 and PULSe

File number: RG15-084
Date filed: May 26, 2015
Description:

RG15-084 Mandatory Use of Firm Gateway for Certain Regulatory Filings Effective July 1, 2015 eFOCUS Information Sessions, Webinar and Online Tutorials

File number: RG15-083
Date filed: May 21, 2015
Description:

RG15-083 Processing for AIM Attempts While an Auction is Already in Progress - Update

File number: RG15-082
Date filed: May 21, 2015
Description:

RG15-082 New PM-Settled End-of-Month Option Expirations for Mini-S&P 500 Index Options (XSP)

File number: RG15-081
Date filed: May 18, 2015
Description:

RG15-081 Restrictions on Transactions in Adjusted BHP Billiton PLC (BBL1)

File number: RG15-080
Date filed: May 18, 2015
Description:

RG15-080 Restrictions on Transactions in Adjusted BHP Billiton Limited (BHP1)

File number: RG15-079
Date filed: May 15, 2015
Description:

RG15-079 VIX Matching Algorithm - Update

File number: RG15-078
Date filed: May 13, 2015
Description:

RG15-078 VIX Matching Algorithm

File number: RG15-077
Date filed: May 12, 2015
Description:

RG15-077 Restrictions on Transactions in American Eagle Corp. (AMZG)

File number: RG15-076
Date filed: May 11, 2015
Description:

RG15-076 Processing for AIM Attempts While an Auction is Already in Progress

File number: RG15-075
Date filed: May 8, 2015
Description:

RG15-075 Floor Broker Workstation 2

File number: RG15-074
Date filed: May 6, 2015
Description:

RG15-074 Rule 6.25 - Nullification and Adjustment of Options Transactions Including Obvious Errors

File number: RG15-073
Date filed: May 1, 2015
Description:

RG15-073 Changes to Fees Schedule

File number: RG15-072
Date filed: May 1, 2015
Description:

RG15-072 Procedures Related to Rule 6.67

File number: RG15-071
Date filed: April 29, 2015
Description:

RG15-071 Restrictions on Transactions in Home Loan Servicing Solutions, Ltd. (HLSS & adj HLSS1)

File number: RG15-070
Date filed: April 27, 2015
Description:

RG15-070 Proposed Securities Trader Registration Category and Qualification Examination (Series 57)

File number: RG15-069
Date filed: April 23, 2015
Description:

RG15-069 Inactivation of "Splitting" Feature for Stock-Option Strategy Orders Priced at the Market

File number: RG15-068
Date filed: April 23, 2015
Description:

RG15-068 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG15-067
Date filed: April 22, 2015
Description:

RG15-067 Compliance Date for Recently Amended Rules Related to Complex Order Tickets

File number: RG15-066
Date filed: April 22, 2015
Description:

RG15-066 PULSe Trader Workstation Enhancement Release

File number: RG15-065
Date filed: April 16, 2015
Description:

RG15-065 Simple Auction Liaison Size Expansion

File number: RG15-064
Date filed: April 16, 2015
Description:

RG15-064 Restrictions on Transactions in North American Palladium Ltd. (PAL)

File number: RG15-063
Date filed: April 13, 2015
Description:

RG15-063 Options on MSCI Emerging Markets Index and MSCI EAFE Index

File number: RG15-062
Date filed: April 13, 2015
Description:

RG15-062 Regulatory Oversight Information Session

File number: RG15-061
Date filed: April 13, 2015
Description:

RG15-061 Product Description and Margin and Net Capital Requirements - Options on the MSCI Emerging Markets Index (MXEF)

File number: RG15-060
Date filed: April 13, 2015
Description:

RG15-060 Product Description and Margin and Net Capital Requirements - Options on the MSCI EAFE Index (MXEA)

File number: RG15-059
Date filed: April 13, 2015
Description:

RG15-059 Continuing Education Firm Element Advisory

File number: RG15-058
Date filed: April 10, 2015
Description:

RG15-058 PAR Enhancements

File number: RG15-057
Date filed: April 10, 2015
Description:

RG15-057 Restrictions on Transactions in GFI Group Inc. (GFIG)

File number: RG15-056
Date filed: April 7, 2015
Description:

RG15-056 Tied to Stock Orders New Implementation Date for Order Marking Requirement Proposed Postponement of the Implementation of Reporting Requirement

File number: RG15-055
Date filed: March 31, 2015
Description:

RG15-055 Open Outcry Crossing Participation Entitlements

File number: RG15-054
Date filed: March 31, 2015
Description:

RG15-054 Expiring Exercise Declaration Submissions for Thursday, April 2, 2015

File number: RG15-053
Date filed: March 30, 2015
Description:

RG15-053 Trading Permit Regulatory Fee

File number: RG15-052
Date filed: March 30, 2015
Description:

RG15-052 Restrictions on Transactions in Life Partners Holdings Inc. (LPHI)

File number: RG15-051
Date filed: March 30, 2015
Description:

RG15-051 Restrictions on Transactions in Portugal Telecom, SGPS S.A. (PT)

File number: RG15-050
Date filed: March 27, 2015
Description:

RG15-050 Operational System Settings for MSCI EAFE Index Options and MSCI Emerging Markets Index Options

File number: RG15-049
Date filed: March 27, 2015
Description:

RG15-049 Multi-Class Broad-Based Index Spread Orders

File number: RG15-048
Date filed: March 26, 2015
Description:

RG15-048 Sponsored User Program Applicability During CBOE Extended Trading Hours

File number: RG15-047
Date filed: March 23, 2015
Description:

RG15-047 Operational Settings for Options on the Russell 2000 Index (RUT)

File number: RG15-046
Date filed: March 20, 2015
Description:

RG15-046 Restrictions on Transactions in SIGA Technologies Inc. (SIGA)

File number: RG15-045
Date filed: March 18, 2015
Description:

RG15-045 Russell 2000 Index Options (RUT) Fees

File number: RG15-044
Date filed: March 16, 2015
Description:

RG15-044 Extended Trading Hours Session on VIX Settlement Days

File number: RG15-043
Date filed: March 16, 2015
Description:

RG15-043 Operational Settings for Extended Trading Hours Session - Updated

File number: RG15-042
Date filed: March 11, 2015
Description:

RG15-042 Restrictions on Transactions in Hyperdynamics Corp. (HDY)

File number: RG15-041
Date filed: March 10, 2015
Description:

RG15-041 Restrictions on Transactions in Allied Nevada Gold, Corp. (ANV)

File number: RG15-040
Date filed: March 10, 2015
Description:

RG15-040 Good Friday Holiday Closure Impact on VXST Option Contract Expiring on March 24, 2015

File number: RG15-039
Date filed: March 9, 2015
Description:

RG15-039 Anti-Money Laundering Compliance Program Filing Requirements for Certain Trading Permit Holders

File number: RG15-038
Date filed: March 5, 2015
Description:

RG15-038 Annual Supervision-Related Reporting Pursuant to CBOE/C2 Rules 4.24 and 9.8

File number: RG15-037
Date filed: March 5, 2015
Description:

RG15-037 Publication of Expected Opening Price/Size and Imbalance Information on Volatility Index Options and Futures Settlement Days

File number: RG15-036
Date filed: March 3, 2015
Description:

RG15-036 Bid-Ask Differentials and Minimum Quote Size

File number: RG15-035
Date filed: March 3, 2015
Description:

RG15-035 Restrictions on Transactions in Ivanhoe Energy, Inc. (IVAN)

File number: RG15-034
Date filed: March 3, 2015
Description:

RG15-034 Restrictions on Transactions in BPZ Resources, Inc. (BPZ)

File number: RG15-033
Date filed: March 2, 2015
Description:

RG15-033 Additional Extended Trading Hours Session Testing

File number: RG15-032
Date filed: February 27, 2015
Description:

RG15-032 Give Up of Clearing Trading Permit Holders for Extended Trading Hours

File number: RG15-031
Date filed: February 27, 2015
Description:

RG15-031 Changes to Fee Schedule

File number: RG15-030
Date filed: February 26, 2015
Description:

RG15-030 Extended Trading Hours Session Testing

File number: RG15-029
Date filed: February 26, 2015
Description:

RG15-029 Operational Settings for Extended Trading Hours Session - Updated

File number: RG15-028
Date filed: February 24, 2015
Description:

RG15-028 SPX Combo Indicator Requirement and Amended Rules Related to Order Tickets

File number: RG15-027
Date filed: February 24, 2015
Description:

RG15-027 QRM Forms

File number: RG15-026
Date filed: February 23, 2015
Description:

RG15-026 Transition of Certain Regulatory Services Performed on Behalf of the Exchanges by FINRA

File number: RG15-025
Date filed: February 18, 2015
Description:

RG15-025 Extended Trading Hours Session Testing

File number: RG15-024
Date filed: February 18, 2015
Description:

RG15-024 Extended Trading Hours Risk Disclosure

File number: RG15-023
Date filed: February 17, 2015
Description:

RG15-023 Restrictions on Whiting USA Trust l (WHX)

File number: RG15-022
Date filed: February 17, 2015
Description:

RG15-022 Restrictions on Transactions in The Governor and Company of the Bank of Ireland (IRE)

File number: RG15-021
Date filed: February 13, 2015
Description:

RG15-021 Trading Permit Regulatory Fee

File number: RG15-020
Date filed: February 13, 2015
Description:

RG15-020 Bid-Ask Differentials and Minimum Quote Size

File number: RG15-019
Date filed: February 12, 2015
Description:

RG15-019 Extended Trading Hours - Fees Schedule

File number: RG15-018
Date filed: February 11, 2015
Description:

RG15-018 Delayed Implementation of Tied to Stock Order Marking and Reporting Requirements

File number: RG15-017
Date filed: February 5, 2015
Description:

RG15-017 Restrictions on Transactions in Cache, Inc. (CACH)

File number: RG15-016
Date filed: February 3, 2015
Description:

RG15-016 Restrictions on Transactions in Advanced Emissions Solutions, Inc. (ADES)

File number: RG15-015
Date filed: February 3, 2015
Description:

RG15-015 Changes to Fees Schedule

File number: RG15-014
Date filed: January 29, 2015
Description:

RG15-014 Extended Trading Hours Frequently Asked Questions Circular No. 3

File number: RG15-013
Date filed: January 29, 2015
Description:

RG15-013 Operational Settings for Extended Trading Hours Session

File number: RG15-012
Date filed: January 27, 2015
Description:

RG15-012 HAL/HALO and SAL Timer Reductions

File number: RG15-011
Date filed: January 26, 2015
Description:

RG15-011 Allocation of 1-5 Lots

File number: RG15-010
Date filed: January 21, 2015
Description:

RG15-010 February 7, 2015 Back-Up Data Center Test

File number: RG15-009
Date filed: January 21, 2015
Description:

RG15-009 Extension of SPY Option Position Limit Pilot Program Extension Through July 12, 2015

File number: RG15-008
Date filed: January 20, 2015
Description:

RG15-008 Restrictions on Transactions in UBS AG (OUBS)

File number: RG15-007
Date filed: January 16, 2015
Description:

RG15-007 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG15-006
Date filed: January 15, 2015
Description:

RG15-006 New Quote Risk Monitor (QRM) Features

File number: RG15-005 Restrictions on Transactions in Options on iShares MSCI All Peru Capped Index Fund(EPU)
Date filed: January 13, 2015
Description:

RG15-005 Restrictions on Transactions in Options on iShares MSCI All Peru Capped Index Fund (EPU)

File number: RG15-004
Date filed: January 8, 2015
Description:

RG15-004 Restrictions on Transactions in Quicksilver Resources Inc. (KWK)

File number: RG15-003
Date filed: January 5, 2015
Description:

RG15-003 February 7, 2015 Back-Up Data Center Test

File number: RG15-002
Date filed: January 2, 2015
Description:

RG15-002 Automatic Order Handling Process in No-Bid Series

File number: RG15-001
Date filed: January 2, 2015
Description:

RG15-001 VIX and VXST Customer Priority Surcharge