2020 Cboe EDGX Options Exchange Regulatory Circulars

File number: RC20-047
Date filed: August 6, 2020
Description:

Minor Rule Violation Plan Provisions for CAT Compliance Rules

File number: RC20-046
Date filed: July 16, 2020
Description:

Industry Presentation by CMRWG on CAT Compliance Rules

File number: RC20-045
Date filed: July 9, 2020
Description:

Regulatory Coordination Concerning CAT Reporting Compliance

File number: RC20-044
Date filed: July 7, 2020
Description:

Options Market Maker Quote SendTime Requirements for CAT Reporting

File number: RC20-042
Date filed: July 1, 2020
Description:

Options Regulatory Fee Decrease and Discontinuation of Regulatory Circular - Updated

File number: RC20-036
Date filed: May 27, 2020
Description:

Position and Exercise Limit Increases for Options on Certain Exchange Traded Funds and Indices

File number: RC20-035
Date filed: May 18, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested) – Comment Period Extended to June 30, 2020

File number: RC20-033
Date filed: April 23, 2020
Description:

SEC Exemptive Order Related to CAT Implementation Deadlines

File number: RC20-029
Date filed: April 8, 2020
Description:

Mandatory Participation in Disaster Recovery Testing

File number: RC20-028
Date filed: April 8, 2020
Description:

Establishment of the CMRWG

File number: RC20-023
Date filed: March 27, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested) – Comment Period Extended to May 31, 2020

File number: RC20-021
Date filed: March 25, 2020
Description:

Filing Extensions for Annual Reports and FOCUS Reports

File number: RC20-020
Date filed: March 18, 2020
Description:

SEC’s Pandemic No-Action Relief Related to CAT Implementation Deadlines

File number: RC20-015
Date filed: March 10, 2020
Description:

New Regulatory Complaints, Tips and Referrals Form

File number: RC20-012
Date filed: March 6, 2020
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RC20-009
Date filed: February 21, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested)

File number: RC20-008
Date filed: February 14, 2020
Description:

Anti-Money Laundering Compliance Program

File number: RC20-005
Date filed: February 13, 2020
Description:

Filing of Annual Audits

File number: RC20-004
Date filed: February 13, 2020
Description:

Prearranged Trades

File number: RC20-001
Date filed: January 8, 2020
Description:

Nomination of Representative Directors for Election at 2020 Annual Meetings