BOX Exchange LLC (BOX) Rulemaking

We encourage the public to submit comments on the following BOX 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
First Quarter

BOX File Number List for 2020

Additional Archives

Chronological List for 2020

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Release No. Date Details
First Quarter
SR-BOX-2020-04
34-88236 Feb. 19, 2020 Notice of Filing of a Proposed Rule Change to Amend the Provisions of Its Limited Liability Company Agreement and Bylaws to Accommodate the Exchange's Regulation of Multiple Facilities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b
SR-BOX-2019-37
34-88206 Feb. 13, 2020 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection with the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange
SR-BOX-2020-03
34-88161 Feb. 11, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5
SR-BOX-2020-02
34-88091 Jan. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 10070, Anti-Money Laundering Compliance Program, to reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: February 26, 2020
SR-BOX-2019-19
34-88002 Jan. 16, 2020 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC
Comments due: February 13, 2020
Rebuttal comments due: February 27, 2020
SR-BOX-2019-32
34-87935 Jan. 10, 2020 Notice of Withdrawal of Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network

File Number List for 2020

Release No. Date Details
SR-BOX-2020-04
34-88236 Feb. 19, 2020 Notice of Filing of a Proposed Rule Change to Amend the Provisions of Its Limited Liability Company Agreement and Bylaws to Accommodate the Exchange's Regulation of Multiple Facilities
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5a, Exhibit 5b
SR-BOX-2020-03
34-88161 Feb. 11, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5
SR-BOX-2020-02
34-88091 Jan. 30, 2020 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 10070, Anti-Money Laundering Compliance Program, to reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: February 26, 2020