Cboe Options Exchanges 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

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SR-C2-2024-002: January 2, 2024; The Exchange proposes to adopt a CAT Fee Schedule.

Approved and Immediately Effective Rule Changes

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SR-CBOE-2020-090: September 30, 2020; The Exchange proposes a rule change to permit the closing mark for certain index options to be calculated 15 minutes prior to the close of trading.
SR-CBOE-2020-073: July 30, 2020; The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.
SR-CBOE-2020-065: July 2, 2020; The Exchange proposes to add the Consolidated Audit Trail industry member compliance rules to the list of minor rule violations in Rule 13.15.
SR-CBOE-2020-059: June 24, 2020; 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.
SR-CBOE-2020-036: April 13, 2020; The Exchange proposes to extend the operation of its SPXPM pilot program.
SR-CBOE-2020-035: April 13, 2020; The Exchange proposes to renew an existing pilot program until November 2, 2020.
SR-C2-2020-017: November 3, 2020; The Exchange proposes to amend its Interpretations and Policies to Rule 6.13 in connection with Market-Makers’ complex orders, quoting obligations and volume.
SR-C2-2020-016: October 9, 2020; The Exchange proposes to enhance its drill-through protections and make other clarifying changes.
SR-C2-2020-015: October 8, 2020; The Exchange proposes to extend the pilot period related to the market-wide circuit breaker in Rule 6.32.01.
SR-C2-2020-013: September 1, 2020; The Exchange proposes to amend its Fees Schedule.
SR-C2-2020-012: August 3, 2020; The Exchange proposes to adopt fees for a recently adopted data product known as Intraday Open-Close Data.
SR-C2-2020-011 Amendment No. 1: September 24, 2020; The Exchange proposes an amendment to SR-C2-2020-011.
SR-C2-2020-011: July 30, 2020; The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-C2-2020-010: July 29, 2020; The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.
SR-C2-2020-009: July 29, 2020; 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.
SR-C2-2020-008: July 21, 2020; The Exchange proposes to amend its Fees Schedule relating to the Options Regulatory Fee.
SR-C2-2020-007: June 11, 2020; 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).
SR-C2-2020-006: June 5, 2020; The Exchange proposes to adopt rules regarding off-floor transactions and position transfers.
SR-C2-2020-005: April 24, 2020; The Exchange proposes to amend its definition of bulk messages in Rule 1.1 and amend Rule 6.8(c)(3).
SR-C2-2020-004: April 13, 2020; The Exchange proposes to remove its optional daily risk limits pursuant to Rule 6.14.
SR-C2-2020-003: March 26, 2020; The Exchange proposes to amend Rule 6.34 in connection with business continuity and disaster recovery testing.
SR-C2-2020-002: January 16, 2020; The Exchange proposes to amend Rule 6.31 in connection with the Exchange’s Clearing Editor.
SR-C2-2020-001: January 2, 2020; 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.