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-2020-004
Date filed: January 17, 2020
Description:

The Exchange proposes to amend Chapter 7, Section B of the Rules, which contains the Exchange’s compliance rule (“Compliance Rule”) regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), to be consistent 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-2020-003
Date filed: January 13, 2020
Description:

The Exchange proposes to amend its Rules regarding the minimum increment for electronic bids and offers of FLEX Options and how the System ranks FLEX Option bids and offers for allocation purposes.

File number: SR-CBOE-2019-035 Amendment No. 2
Date filed: October 7, 2019
Description:

The Exchange proposes a second amendment to SR-CBOE-2019-035.

File number: SR-CBOE-2019-035 Amendment No. 1
Date filed: August 6, 2019
Description:

The Exchange proposes an amendment to SR-CBOE-2019-035.

File number: SR-CBOE-2019-035
Date filed: July 3, 2019
Description:

The Exchange proposes to amend the Exchange’s rules regarding off-floor position transfers, including transfers intended to reduce RWA.

Approved and Immediately Effective Rule Changes

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