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BOX Options Exchange LLC (BOX) Rulemaking

We encourage the public to submit comments on the following BOX Options Exchange LLC (BOX) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Third Quarter |  Second Quarter |  First Quarter

BOX File Number List for 2015

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-BOX-2015-22
34-75766 Aug. 27, 2015 Order Granting Approval of a Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program
See also: Notice: Rel. No. 34-75374

SR-BOX-2015-28
34-75676 Aug. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due:  September 8, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-26
34-75489 Jul. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretive Material to BOX Rule 8050 to Indicate that Market Makers Will Not Be Obligated to Quote in Adjusted Option Series and to Define What Qualifies as an Adjusted Options Series
Comments due: August 14, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-27
34-75480 Jul. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP and COPIP
Comments due: August 13, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-25
34-75410 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due:  August 5, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2015-22
34-75374 Jul. 7, 2015 Notice of Filing of Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program
Comments due:  August 3, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-75766

SR-BOX-2015-24
34-75350 Jul. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due:  July 29, 2015
Additional Materials: Exhibit 5
Second Quarter

SR-BOX-2015-23
34-75295 Jun. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7260 to Extend, Through June 30, 2016, the Pilot Program that Permits Certain Classes to be Quoted in Penny Increments
Comments due:  July 22, 2015

SR-BOX-2015-21
34-75132 Jun. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 5020
Comments due: July 6, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-20
34-75001 May 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to authorize the Exchange to share any Participant-designated risk settings in the trading system with the Clearing Participant that clears transactions on behalf of the Participant
Comments due: June 17, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-17
34-74957 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-19
34-74952 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust the Preferred Market Maker Quoting Obligations
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-18
34-74911 May 8, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace BOX Rule 7170 (Obvious and Catastrophic Errors) with new Rule 7170 (Nullification and Adjustment of Options Transactions including Obvious Errors)
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-06
34-74876 May 5, 2015

Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Pilot Program, as Modified by Amendment No. 1, to List and Trade Options Settling to the RealVol™ SPY Index
See also: Notice: Rel. No. 34-74178, Notice: Rel. No. 34-74526

Comments due: June 1, 2015

First Quarter

SR-BOX-2015-16
34-74576 Mar. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Statements Made in SR-BOX-2015-03, a Proposed Rule Change Filed by the Exchange on January 9, 2015
Comments due: April 21, 2015

SR-BOX-2015-06
34-74526 Mar. 18, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Rules for the Listing and Trading on the Exchange of Options Settling to the RealVol™ SPY Index
See also: Notice: Rel. No. 34-74178, Notice: Rel. No. 34-74876

SR-BOX-2015-14
34-74477 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Transfer of Ownership Interest in the Exchange
Comments due: April 7, 2015

SR-BOX-2015-15
34-74474 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7170 to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-13
34-74306 Feb. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program that Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-009
34-74267 Feb. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Acceptance of the Transfer, by Citadel Securities LLC ("Citadel Securities") to Its Affiliate, Citadel Securities Principal Investments LLC, of Citadel Securities' ownership interest in BOX Options Exchange LLC and BOX Holdings Group LLC, an affiliate of the Exchange
Comments due: March 12, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-11
34-74221 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-BOX-2014-28
34-74210 Feb. 5, 2015 Order Approving Proposed Rule Change Adopt BOX Rule 7300 to Allow the Exchange to Trade Preferenced Orders
See also: Notice: Rel. No. 34-73878

SR-BOX-2015-08
34-74201 Feb. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 3, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-07
34-74196 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: March 2, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2015-06
34-74178 Jan. 30, 2015

Notice of Filing of Proposed Rule Change to Amend its Rules for the Listing and Trading on the Exchange of Options Settling to the RealVol™ SPY Index ("Index")
Comments due: February 26, 2015
Additional Materials: Exhibit 3, Exhibit 5
See also: Notice: Rel. No. 34-74526, Notice: Rel. No. 34-74876
Comments received are available for this proposal.


SR-BOX-2015-05
34-74171 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Deadline for the VPR Program to January 14, 2015
Comments due:  February 25, 2015

SR-BOX-2015-03
34-74114 Jan. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Equity Rights Program
Comments due:  February 18, 2015
Comments received are available for this proposal.

SR-BOX-2015-01
34-74016 Jan. 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-5050-6 to BOX Rule 5050 (Short Term Option Series Program)
Comments due:  February 4, 2015
Additional Materials: Exhibit 5


BOX File Number List for 2015
Release No. Date Details

SR-BOX-2015-28
34-75676 Aug. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due:  September 8, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-27
34-75480 Jul. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP and COPIP
Comments due:August 13, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-26
34-75489 Jul. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretive Material to BOX Rule 8050 to Indicate that Market Makers Will Not Be Obligated to Quote in Adjusted Option Series and to Define What Qualifies as an Adjusted Options Series
Comments due: August 14, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-25
34-75410 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due:  August 5, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2015-24
34-75350 Jul. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due:  July 29, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-23
34-75295 Jun. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7260 to Extend, Through June 30, 2016, the Pilot Program that Permits Certain Classes to be Quoted in Penny Increments
Comments due:  July 22, 2015

SR-BOX-2015-22
34-75766 Aug. 27, 2015 Order Granting Approval of a Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program
34-75374 Jul. 7, 2015 Notice of Filing of Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program
Comments due:  August 3, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-21
34-75132 Jun. 9, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 5020
Comments due: July 6, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-20
34-75001 May 20, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to authorize the Exchange to share any Participant-designated risk settings in the trading system with the Clearing Participant that clears transactions on behalf of the Participant
Comments due: June 17, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-19
34-74952 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust the Preferred Market Maker Quoting Obligations
Comments due: June 9, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-18
34-74911 May 8, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Replace BOX Rule 7170 (Obvious and Catastrophic Errors) with new Rule 7170 (Nullification and Adjustment of Options Transactions including Obvious Errors)
Comments due: June 4, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-17
34-74957 May 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-16
34-74576 Mar. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Statements Made in SR-BOX-2015-03, a Proposed Rule Change Filed by the Exchange on January 9, 2015
Comments due: April 21, 2015

SR-BOX-2015-15
34-74474 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7170 to Provide for New Procedures to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: April 7, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-14
34-74477 Mar. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Transfer of Ownership Interest in the Exchange
Comments due: April 7, 2015

SR-BOX-2015-13
34-74306 Feb. 19, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program that Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-11
34-74221 Feb. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility
Comments due: March 5, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-009
34-74267 Feb. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Acceptance of the Transfer, by Citadel Securities LLC ("Citadel Securities") to Its Affiliate, Citadel Securities Principal Investments LLC, of Citadel Securities' ownership interest in BOX Options Exchange LLC and BOX Holdings Group LLC, an affiliate of the Exchange
Comments due: March 12, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-08
34-74201 Feb. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 3, 2015
Additional Materials: Exhibit 5

SR-BOX-2015-07
34-74196 Feb. 3, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF
Comments due: March 2, 2015
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2015-06
34-74876 May 5, 2015 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change to Establish a Pilot Program, as Modified by Amendment No. 1, to List and Trade Options Settling to the RealVol™ SPY Index
Comments due: June 1, 2015
34-74526 Mar. 18, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Rules for the Listing and Trading on the Exchange of Options Settling to the RealVol™ SPY Index
34-74178 Jan. 30, 2015 Notice of Filing of Proposed Rule Change to Amend its Rules for the Listing and Trading on the Exchange of Options Settling to the RealVol™ SPY Index ("Index")
Comments due: 
Comments due: February 26, 2015
Additional Materials: Exhibit 3, Exhibit 5
Comments received are available for this proposal.

SR-BOX-2015-05
34-74171 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Deadline for the VPR Program to January 14, 2015
Comments due:  February 25, 2015

SR-BOX-2015-03
34-74114 Jan. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Equity Rights Program
Comments due:  February 18, 2015
Comments received are available for this proposal.

SR-BOX-2015-01
34-74016 Jan. 8, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-5050-6 to BOX Rule 5050 (Short Term Option Series Program)
Comments due:  February 4, 2015
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/box.shtml


Modified: 08/28/2015