Cboe Options Exchange Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

File number: SR-CBOE-2020-065
Date filed: July 2, 2020
Description:

The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rule 13.15.

File number: SR-CBOE-2020-060
Date filed: July 1, 2020
Description:

The Exchange proposes to adopt Related Futures Cross (“RFC”) Orders.

File number: SR-CBOE-2020-055
Date filed: June 12, 2020
Description:

The Exchange proposes a rule change that adopts virtual trading floor functionality.

File number: SR-CBOE-2020-052
Date filed: June 3, 2020
Description:

The Exchange proposes to amend Rules 5.37, 5.38 and Rule 5.73.

File number: SR-CBOE-2020-051
Date filed: June 11, 2020
Description:

The Exchange proposes to amend its automated price improvement auction rules in connection with Agency Order size requirements.

File number: SR-CBOE-2020-050 Amendment No. 1
Date filed: July 2, 2020
Description:

The Exchange proposes an amendment to SR-CBOE-2020-050.

File number: SR-CBOE-2020-050
Date filed: June 3, 2020
Description:

The Exchange proposes to amend Rules 5.37 and 5.73.

File number: SR-CBOE-2020-034
Date filed: June 30, 2020
Description:

The Exchange proposes to authorize for trading flexible exchange options (“FLEX options”) on full-value indexes with a contract multiplier of one.

File number: SR-CBOE-2020-015 Amendment No. 1
Date filed: April 16, 2020
Description:

The Exchange proposes an amendment to SR-CBOE-2020-015.

File number: SR-CBOE-2020-015
Date filed: February 26, 2020
Description:

The Exchange proposes increase position limits for options on certain exchange-traded funds (“ETFs”) and indexes.

File number: SR-CBOE-2020-014 Amendment No. 1
Date filed: May 12, 2020
Description:

The Exchange proposes an amendment to SR-CBOE-2020-014.

File number: SR-CBOE-2020-014
Date filed: February 14, 2020
Description:

The Exchange proposes to adopt a Delta-Adjusted at Close (“DAC”) order instruction that a User may apply to an order when entering it into the System for execution in an electronic or open outcry auction.

Approved and Immediately Effective Rule Changes

File number: SR-CBOE-2020-066
Date filed: July 2, 2020
Description:

The Exchange proposes to amend Rule 5.24.

File number: SR-CBOE-2020-064
Date filed: July 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule in connection with migration.

File number: SR-CBOE-2020-063
Date filed: July 1, 2020
Description:

The Exchange proposes to amend Rule 8.16 and Rule 9.2 to temporarily extend the filing requirements for certain supervision-related reports, currently given an extension through June 30, 2020, to July 31, 2020.

File number: SR-CBOE-2020-062
Date filed: July 1, 2020
Description:

The Exchange proposes to amend the Silexx trading platform Fees Schedule.

File number: SR-CBOE-2020-061
Date filed: July 1, 2020
Description:

The Exchange proposes to amend its Fees Schedule with respect to expiring fee waivers and incentive programs.

File number: SR-CBOE-2020-059
Date filed: June 24, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to be consist with certain proposed amendments to and exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

File number: SR-CBOE-2020-058
Date filed: June 24, 2020
Description:

The Exchange proposes to amend its fees schedule.

File number: SR-CBOE-2020-054
Date filed: June 11, 2020
Description:

The Exchange proposes to amend Rule 5.4 to conform the rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (the “OLPP”) and add new Rule 5.4(d).

File number: SR-CBOE-2020-053
Date filed: June 10, 2020
Description:

The Exchange proposes to amend Rule 6.1 in order to provide for a consistent documentation of open outcry execution information in the event of an Exchange system malfunction or disruption.

File number: SR-CBOE-2020-049
Date filed: May 29, 2020
Description:

The Exchange proposes to amend Rule 8.16 and Rule 9.2 to temporarily extend the filing requirements for certain supervision-related reports, currently given an extension through June 1, 2020, to June 30, 2020.

File number: SR-CBOE-2020-047
Date filed: May 15, 2020
Description:

The Exchange proposes to extend until June 30, 2020 the effectiveness of various temporary rules in place while the trading floor is closed.

File number: SR-CBOE-2020-046
Date filed: May 14, 2020
Description:

The Exchange proposes to amend its debit/credit price reasonability check.

File number: SR-CBOE-2020-045
Date filed: May 1, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-044
Date filed: May 1, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-043
Date filed: May 1, 2020
Description:

The Exchange proposes to amend the Silexx trading platform Fees Schedule.

File number: SR-CBOE-2020-042
Date filed: April 28, 2020
Description:

The Exchange proposes to amend Rule 6.9 to permit in-kind transfers of positions off of the Exchange in connection with unit investment trusts (UITs).

File number: SR-CBOE-2020-041
Date filed: April 24, 2020
Description:

The Exchange proposes to amend its definition of bulk messages in Rule 1.1 and amend Rule 5.5(c)(3).

File number: SR-CBOE-2020-040
Date filed: April 20, 2020
Description:

The Exchange proposes to add a new version of the Silexx platform.

File number: SR-CBOE-2020-039
Date filed: April 16, 2020
Description:

The Exchange proposes to extend the operation of its FLEX Options pilot program regarding permissible exercise settlement values for FLEX Index Options.

File number: SR-CBOE-2020-037
Date filed: April 13, 2020
Description:

The Exchange proposes to remove its optional daily risk limits pursuant to Rule 5.34.

File number: SR-CBOE-2020-036
Date filed: April 13, 2020
Description:

The Exchange proposes to extend the operation of its SPXPM pilot program.

File number: SR-CBOE-2020-035
Date filed: April 13, 2020
Description:

The Exchange proposes to The Exchange proposes to renew the existing nonstandard expirations pilot programs until November 2, 2020.

File number: SR-CBOE-2020-033
Date filed: April 7, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-032
Date filed: April 1, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CBOE-2020-031
Date filed: March 31, 2020
Description:

The Exchange proposes to amend Rule 5.24.

File number: SR-CBOE-2020-029
Date filed: March 30, 2020
Description:

The Exchange proposes to adopt a rule to allowing the Exchange to determine to extend filing and reporting deadlines as provided in the Exchange Rules.

File number: SR-CBOE-2020-027
Date filed: March 26, 2020
Description:

The Exchange proposes to amend Rule 6.6 in connection with updates permitted through the Clearing Editor.

File number: SR-CBOE-2020-026
Date filed: March 26, 2020
Description:

The Exchange proposes to amend Rule 5.24.

File number: SR-CBOE-2020-025
Date filed: March 26, 2020
Description:

The Exchange proposes to amend Interpretation and Policy .01 to Rule 5.24 in connection with business continuity and disaster recovery testing.

File number: SR-CBOE-2020-024
Date filed: March 23, 2020
Description:

The Exchange proposes to amend its Fees Schedule with respect to Related Future Cross order pricing.

File number: SR-CBOE-2020-023
Date filed: March 20, 2020
Description:

The Exchange proposes a rule change that will permit VIX and SPX option combos to be executed upon entry without exposure when tied to an exchange of contracts for related futures positions.

File number: SR-CBOE-2020-022
Date filed: March 17, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-021
Date filed: March 17, 2020
Description:

The Exchange proposes a rule change Proposal related to applicable fees in the event the trading floor is inoperable.

File number: SR-CBOE-2020-019
Date filed: March 13, 2020
Description:

The Exchange proposes to amend Rule 5.24, Disaster Recovery.

File number: SR-CBOE-2020-018
Date filed: March 13, 2020
Description:

The Exchange proposes a rule change to include language within the Silexx Fees Schedule to introduce a free upgrade for users on Silexx Basic to Silexx Pro from March 13, 2020 through April 30, 2020.

File number: SR-CBOE-2020-017
Date filed: March 10, 2020
Description:

The Exchange proposes to amend its rules related to the Automated Improvement Mechanism and Complex Automated Improvement Mechanism.

File number: SR-CBOE-2020-016
Date filed: March 6, 2020
Description:

The Exchange proposes to amend its rules related to the Complex Order Auction.

File number: SR-CBOE-2020-013
Date filed: February 11, 2020
Description:

The Exchange proposes to modify the sequence in which the System opens SPX series, and permit SPX series to open with unexecuted sell market orders in limited circumstances, on exercise settlement value determination days.

File number: SR-CBOE-2020-012
Date filed: February 10, 2020
Description:

The Exchange proposes to amend its financial incentive programs for Global Trading Hours (“GTH”) Lead Market-Makers (“LMMs”) in VIX options.

File number: SR-CBOE-2020-011
Date filed: February 6, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-007
Date filed: January 30, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CBOE-2020-006
Date filed: February 26, 2020
Description:

The Exchange proposes to make certain non-substantive changes to clean up its Fees Schedule.

File number: SR-CBOE-2020-002
Date filed: January 2, 2020
Description:

The Exchange proposes to amend the opening triggers for its opening rotation process for equity options.

File number: SR-CBOE-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule with respect to expiring fee waivers and incentive programs.

Cboe Options Rule Filings Archive