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BOX Options Exchange LLC (BOX) Rulemaking Archive: 2013

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
Fourth Quarter |  Third Quarter |  Second Quarter

BOX File Number List for 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BOX-2013-60
34-71189 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Options Program
Comments due: January 23, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-59
34-71188 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program
Comments due: January 23, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-43
34-71148 Dec. 19, 2013 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit Complex Orders to Participate in Price Improvement Periods
Comments due: January 16, 2014 See also:  Notice: Rel. No. 34-70427, Notice: Rel. No. 34-70797

SR-BOX-2013-58
34-71084 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove References to the Nasdaq 100 Index
Comments due: January 10, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-56
34-71056 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 8, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-55
34-71025 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Permit the Exchange to Exclude from Its Average Daily Volume Calculations Any Trading Day on Which the Exchange Is Closed for Trading Due To an Early Closing Or a Market-Wide Trading Halt
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-57
34-70991 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 5050 to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each Quarterly Options Series in Exchange-Traded Fund Options
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-53
34-70970 Dec. 3, 2013 Notice of Filing of 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: December 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-52
34-70858 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-51
34-70805 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on BOX
Comments due: December 3, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-BOX-2013-43
34-70797 Nov. 1, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit Complex Orders to Participate in Price Improvement Periods
See also:  Notice: Rel. No. 34-70427, Notice: Rel. No. 34-71148

SR-BOX-2013-49
34-70735 Oct. 22, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Include the Series 56 Examination Fee Information
Comments due: November 18, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-50
34-70726 Oct. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rules 4020 (Opening of Accounts), 4050 (Discretionary Accounts), and 4060 (Confirmation to Public Customers) to Conform to the Corresponding Rules of FINRA
Comments due: November 15, 2013

SR-BOX-2013-48
34-70668 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Interpretive Material to Rule 5050 and Rule 6090
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-47
34-70672 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 8040
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-46
34-70671 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3130 (Exemptions from Position Limits)
Comments due: November 12, 2013
Additional Materials:  Exhibit 5
Third Quarter

SR-BOX-2013-45
34-70488 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Order to Implement the Upcoming Change to Friday Expiration Processing and Eventual Transition to Friday Expiration for All Monthly Expiration Contracts
Comments due: October 21, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-43
34-70427 Sep. 17, 2013 Notice of Filing of Proposed Rule Change to Permit Complex Orders to Participate in Price Improvement Periods
Comments due: October 15, 2013
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-70797
Comments received are available for this proposal. See also:  Notice: Rel. No. 34-70797, Notice: Rel. No. 34-71148

SR-BOX-2013-38
34-70395 Sep. 16, 2013 Order Approving a Proposed Rule Change to Modify the Complex Order Filter
See also:  Notice: Rel. No. 34-70063

SR-BOX-2013-44
34-70369 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Permanent the Pilot Program of Liquidity Fees and Credits for Certain Transactions in the BOX Price Improvement Period
Comments due: October 8, 2013
Additional Materials:  Exhibit 3, Exhibit 5

SR-BOX-2013-42
34-70255 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-41
34-70224 Aug. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Continuing Education for Registered Persons
Comments due: September 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-40
34-70138 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for Jumbo SPY Option Transactions
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-037
34-70070 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 4170 (Options Communications)
Comments due: August 26, 2013

SR-BOX-2013-38
34-70063 Jul. 30, 2013 Notice of Filing of a Proposed Rule Change to Modify the Complex Order Filter
Comments due: August 26, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-70395

SR-BOX-2013-36
34-69965 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits)
Comments due: August 6, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-35
34-69909 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange Fee Schedule to Update and Clarify Certain Fees Assessed Under Section V (Technology Fees)
Comments due: July 30, 2013
Additional Materials:  Exhibit 5
Second Quarter

SR-BOX-2013-32
34-69863 Jun. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7130 (Execution and Price/Time Priority) to Adjust the NBBO Exposure Period
Comments due: July 23, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-33
34-69846 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") to Extend a Pilot Program that Permits the Exchange to Have no Minimum Size Requirement for Orders Entered into the PIP ("PIP Pilot Program")
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-30
34-69802 Jun. 19, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend BOX Rule 3150 (Reports Related to Position Limits)
Comments due: July 16, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-31
34-69789 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program and Amend Rule 7050
Comments due: July 15, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-29
34-69711 Jun. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 8050 to Lower the Minimum Quoting Requirement for Market Makers Quoting in Jumbo SPY Options
Comments due: July 3, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-28
34-69599 May 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Create a New Fee Structure for Complex Orders on the BOX Market LLC options facility
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-26
34-69598 May 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Schedule to Establish Fees for Jumbo SPY Option Transactions
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-25
34-69551 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rules 5050, 7050, and 7240
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-22
34-69517 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7170 (Obvious and Catastrophic Errors)
Comments due: May 31, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-23
34-69512 May 3, 2013 Notice of Filing of Proposed Rule Change to Provide for the Manner in which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule 7240
Comments due: May 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-06
34-69511 May 3, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
See also:  Notice: Rel. No. 34-69193, Notice: Rel. No. 34-68759

SR-BOX-2013-21
34-69429 Apr. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7170 to Clarify that the Exchange May Grant Obvious Error Relief in the Event of Unusual Circumstances
Comments due: May 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-01
34-69419 Apr. 19, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders
See also:  Notice: Rel. No. 34-69027

SR-BOX-2013-20
34-69368 Apr. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Suspend Certain Provisions in Rule 7170 Regarding Obvious Errors during Limit Up-Limit Down States in Securities that Underlie Options Traded on the Exchange on a Pilot Basis
Comments due: May 9, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-19
34-69336 Apr. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: May 3, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-13
34-69330 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Clarify How the Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State
See also:  Notice: Rel. No. 34-69109
First Quarter

SR-BOX-2013-17
34-69259 Mar. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 12140 (Imposition of Fines for Minor Rule Violations)
Comments due: April 26, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-18
34-69240 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-5050-10 (Mini Options Contracts)
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-15
34-69202 Mar. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Establish Fees for Mini Options on BOX
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-06
34-69193 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
See also:  Order: Rel. No. 34-69511, Notice: Rel. No. 34-68759

SR-BOX-2013-12
34-69186 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Interpretive Material to Rule 7080 in Connection with the Implementation of the Limit Up- Limit Down Plan
Comments due: April 16, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-14
34-69154 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Underlying Security
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-11
34-69135 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BOX Price Improvement Period ("PIP") Rule 7150
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-10
34-69115 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: April 8, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-13
34-69109 Mar. 11, 2013 Notice of Filing of Proposed Rule Change To Clarify How The Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State
Comments due: April 2, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69330

SR-BOX-2013-09
34-69054 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: April 3, 2013
Additional Materials:  Exhibit 3, Exhibit 5, Memorandum

SR-BOX-2013-01
34-69027 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders.
Comments due: March 29, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69419

SR-BOX-2013-08
34-68965 Feb. 21, 2013 Notice of Filing of Proposed Rule Change to Reduce the Directed Order Exposure Period on BOX From Three Seconds to One Second
Comments due: March 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-04
34-68833 Feb. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Data Product, the BOX High Speed Vendor Feed ("HSVF"), Available To All Market Participants
Comments due: March 4, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-03
34-68781 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 5050(c) to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
Comments due: February 27, 2013

SR-BOX-2013-07
34-68771 Jan. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: February 26, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-06
34-68759 Jan. 29, 2013 Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
See also:  Order: Rel. No. 34-69511, Notice: Rel. No. 34-69193
Comments received are available for this proposal.

SR-BOX-2012-025
34-68578 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: January 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2012-024
34-68575 Jan. 3, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on BOX
Comments due: January 30, 2013
Additional Materials:  Exhibit 5


BOX File Number List for 2013
Release No. Date Details

SR-BOX-2013-60
34-71189 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Short Term Options Program
Comments due: January 23, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-59
34-71188 Dec. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program
Comments due: January 23, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-58
34-71084 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove References to the Nasdaq 100 Index
Comments due: January 10, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-57
34-70991 Dec. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 5050 to Eliminate the Cap on the Number of Additional Series That May Be Listed Per Expiration Month for Each Quarterly Options Series in Exchange-Traded Fund Options
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-56
34-71056 Dec. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 8, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-55
34-71025 Dec. 6, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Permit the Exchange to Exclude from Its Average Daily Volume Calculations Any Trading Day on Which the Exchange Is Closed for Trading Due To an Early Closing Or a Market-Wide Trading Halt
Comments due: January 2, 2014
Additional Materials:  Exhibit 5

SR-BOX-2013-53
34-70970 Dec. 3, 2013 Notice of Filing of 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: December 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-52
34-70858 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Specify the Frequency With Which the Exchange May Change the Options Regulatory Fee
Comments due: December 10, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-51
34-70805 Nov. 5, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on BOX
Comments due: December 3, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-BOX-2013-50
34-70726 Oct. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rules 4020 (Opening of Accounts), 4050 (Discretionary Accounts), and 4060 (Confirmation to Public Customers) to Conform to the Corresponding Rules of FINRA
Comments due: November 15, 2013

SR-BOX-2013-49
34-70735 Oct. 22, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Include the Series 56 Examination Fee Information
Comments due: November 18, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-48
34-70668 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Interpretive Material to Rule 5050 and Rule 6090
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-47
34-70672 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 8040
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-46
34-70671 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3130 (Exemptions from Position Limits)
Comments due: November 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-45
34-70488 Sep. 24, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Order to Implement the Upcoming Change to Friday Expiration Processing and Eventual Transition to Friday Expiration for All Monthly Expiration Contracts
Comments due: October 21, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-44
34-70369 Sep. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Permanent the Pilot Program of Liquidity Fees and Credits for Certain Transactions in the BOX Price Improvement Period
Comments due: October 8, 2013
Additional Materials:  Exhibit 3, Exhibit 5

SR-BOX-2013-43
34-71148 Dec. 19, 2013 Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit Complex Orders to Participate in Price Improvement Periods
Comments due: January 14, 2014
34-70797 Nov. 1, 2013 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Permit Complex Orders to Participate in Price Improvement Periods
See also:  Notice: Rel. No. 34-70427
34-70427 Sep. 17, 2013 Notice of Filing of Proposed Rule Change to Permit Complex Orders to Participate in Price Improvement Periods
Comments due: October 15, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-BOX-2013-42
34-70255 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: September 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-41
34-70224 Aug. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Continuing Education for Registered Persons
Comments due: September 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-40
34-70138 Aug. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for Jumbo SPY Option Transactions
Comments due: September 4, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-38
34-70395 Sep. 16, 2013 Order Approving a Proposed Rule Change to Modify the Complex Order Filter
34-70063 Jul. 30, 2013 Notice of Filing of a Proposed Rule Change to Modify the Complex Order Filter
Comments due: August 26, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-037
34-70070 Jul. 30, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 4170 (Options Communications)
Comments due: August 26, 2013

SR-BOX-2013-36
34-69965 Jul. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 3120 (Position Limits) and BOX Rule 3130 (Exemptions from Position Limits)
Comments due: August 6, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-35
34-69909 Jul. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange Fee Schedule to Update and Clarify Certain Fees Assessed Under Section V (Technology Fees)
Comments due: July 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-33
34-69846 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") to Extend a Pilot Program that Permits the Exchange to Have no Minimum Size Requirement for Orders Entered into the PIP ("PIP Pilot Program")
Comments due: July 22, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-32
34-69863 Jun. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 7130 (Execution and Price/Time Priority) to Adjust the NBBO Exposure Period
Comments due: July 23, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-31
34-69789 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program and Amend Rule 7050
Comments due: July 15, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-30
34-69802 Jun. 19, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend BOX Rule 3150 (Reports Related to Position Limits)
Comments due: July 16, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-29
34-69711 Jun. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rule 8050 to Lower the Minimum Quoting Requirement for Market Makers Quoting in Jumbo SPY Options
Comments due: July 3, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-28
34-69599 May 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Create a New Fee Structure for Complex Orders on the BOX Market LLC options facility
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-26
34-69598 May 16, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Schedule to Establish Fees for Jumbo SPY Option Transactions
Comments due: June 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-25
34-69551 May 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BOX Rules 5050, 7050, and 7240
Comments due: June 5, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-23
34-69512 May 3, 2013 Notice of Filing of Proposed Rule Change to Provide for the Manner in which Mini Options Will Trade as a Complex Order Pursuant to BOX Rule 7240
Comments due: May 30, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-22
34-69517 May 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7170 (Obvious and Catastrophic Errors)
Comments due: May 31, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-21
34-69429 Apr. 23, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7170 to Clarify that the Exchange May Grant Obvious Error Relief in the Event of Unusual Circumstances
Comments due: May 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-20
34-69368 Apr. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Suspend Certain Provisions in Rule 7170 Regarding Obvious Errors during Limit Up-Limit Down States in Securities that Underlie Options Traded on the Exchange on a Pilot Basis
Comments due: May 9, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-19
34-69336 Apr. 8, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: May 3, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-18
34-69240 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IM-5050-10 (Mini Options Contracts)
Comments due: April 22, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-17
34-69259 Mar. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 12140 (Imposition of Fines for Minor Rule Violations)
Comments due: April 26, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-15
34-69202 Mar. 21, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Establish Fees for Mini Options on BOX
Comments due: April 17, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-14
34-69154 Mar. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit the Minimum Price Variation for Mini Options to be the Same as Permitted for Standard Options on the Same Underlying Security
Comments due: April 12, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-13
34-69330 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Clarify How the Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State
34-69109 Mar. 11, 2013 Notice of Filing of Proposed Rule Change To Clarify How The Exchange Will Treat a Market Maker's Quoting Obligations When the Underlying Equity Security Enters a Limit State or Straddle State
Comments due: April 2, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-12
34-69186 Mar. 20, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Interpretive Material to Rule 7080 in Connection with the Implementation of the Limit Up- Limit Down Plan
Comments due: April 16, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-11
34-69135 Mar. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the BOX Price Improvement Period ("PIP") Rule 7150
Comments due: April 10, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-10
34-69115 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: April 8, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-09
34-69054 Mar. 7, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule for Trading on BOX
Comments due: April 3, 2013
Additional Materials:  Exhibit 3, Exhibit 5

SR-BOX-2013-08
34-68965 Feb. 21, 2013 Notice of Filing of Proposed Rule Change to Reduce the Directed Order Exposure Period on BOX From Three Seconds to One Second
Comments due: March 20, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-07
34-68771 Jan. 30, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
Comments due: February 26, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-06
34-69511 May 3, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
34-69193 Mar. 20, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
34-68759 Jan. 29, 2013 Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 1,000 Shares of the SPDR S&P 500 Exchange-Traded Fund
Comments due: February 25, 2013
Additional Materials:  Exhibit 5
Comments received are available for this proposal.

SR-BOX-2013-04
34-68833 Feb. 5, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make the Market Data Product, the BOX High Speed Vendor Feed ("HSVF"), Available To All Market Participants
Comments due: March 4, 2013
Additional Materials:  Exhibit 5

SR-BOX-2013-03
34-68781 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 5050(c) to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions
Comments due: February 27, 2013

SR-BOX-2013-01
34-69419 Apr. 19, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Complex Orders
34-69027 Mar. 4, 2013 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Complex Orders.
Comments due: March 29, 2013
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/box/boxarchive/boxarchive2013.shtml


Modified: 05/08/2014