Cboe C2 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 industry member compliance rules to the list of minor rule violations in Rule 13.15.

File number: SR-C2-2020-011
Date filed: July 30, 2020
Description:

The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.

Approved and Immediately Effective Rule Changes

File number: SR-CBOE-2020-073
Date filed: July 30, 2020
Description:

The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.

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

The Exchange proposes to amend the CAT Compliance Rule 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-2020-036
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 renew an existing pilot program until November 2, 2020.

File number: SR-C2-2020-012
Date filed: August 3, 2020
Description:

The Exchange proposes to adopt fees for a recently adopted data product known as Intraday Open-Close Data.

File number: SR-C2-2020-010
Date filed: July 29, 2020
Description:

The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.

File number: SR-C2-2020-009
Date filed: July 29, 2020
Description:

The Exchange proposes to permit off-floor position transfers between accounts for the same person without providing notice to the Exchange and at any time.

File number: SR-C2-2020-008
Date filed: July 21, 2020
Description:

The Exchange proposes to amend its Fees Schedule relating to the Options Regulatory Fee.

File number: SR-C2-2020-007
Date filed: June 11, 2020
Description:

The Exchange proposes to amend Rule 6.4 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 6.4(c).

File number: SR-C2-2020-006
Date filed: June 5, 2020
Description:

The Exchange proposes to adopt rules regarding off-floor transactions and position transfers.

File number: SR-C2-2020-005
Date filed: April 24, 2020
Description:

The Exchange proposes to amend its definition of bulk messages in Rule 1.1 and amend Rule 6.8(c)(3).

File number: SR-C2-2020-004
Date filed: April 13, 2020
Description:

The Exchange proposes to remove its optional daily risk limits pursuant to Rule 6.14.

File number: SR-C2-2020-003
Date filed: March 26, 2020
Description:

The Exchange proposes to amend Rule 6.34 in connection with business continuity and disaster recovery testing.

File number: SR-C2-2020-002
Date filed: January 16, 2020
Description:

The Exchange proposes to amend Rule 6.31 in connection with the Exchange’s Clearing Editor.

File number: SR-C2-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange transactions.