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
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
Additional Archives
2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012
Chronological List for 2019
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-BOX-2019-30 | ||
| 34-87378 | Oct. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility for Complex Order Transactions
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BOX-2019-31 | ||
| 34-87375 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule IM-7170-1, to Make Permanent the Exchange Rule that is Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-19 | ||
| 34-87287 | Oct. 11, 2019 | Notice of Filing of Proposed Rule Change Related to Adopt Rules to Govern the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC
Comments due: November 8, 2019 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-BOX-2019-24 | ||
| 34-87266 | Oct. 9, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7600 |
| Third Quarter | ||
| SR-BOX-2019-27 | ||
| 34-87014 | Sep. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: October 16, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BOX-2019-22 | ||
| 34-86835 | Aug. 30, 2019 | 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 |
| SR-BOX-2019-24 | ||
| 34-86723 | Aug. 21, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 7600
Comments due: September 17, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-23 | ||
| 34-86334 | Jul. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility for Certain PIP and COPIP Transactions
Comments due: August 5, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-22 | ||
| 34-86335 | Jul. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: August 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-BOX-2019-21 | ||
| 34-86145 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding the Give-Up and Clearance of Exchange Transactions
Comments due: July 16, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-BOX-2019-20 | ||
| 34-86053 | Jun. 6, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7260 by extending the Penny Pilot Program through December 31, 2019
Comments due: July 3, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-18 | ||
| 34-86035 | Jun. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Comments due: July 2, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-17 | ||
| 34-86030 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2018-24, SR-BOX-2018-37, SR-BOX-2019-04 | ||
| 34-85927 | May. 23, 2019 | Order Granting Petition for Review and Scheduling Filing of Statements In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (File Nos. SR-BOX-2018-24, SR-BOX-2018-37, and SR-BOX-2019-04)
Additional Materials: Statement of BOX Exchange, Inc. |
| SR-BOX-2019-16 | ||
| 34-85803 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt BOX Rule 7620 (Accommodation Transactions) Establishing Cabinet Trading on the Exchange's Trading Floor
Comments due: June 4, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-15 | ||
| 34-85798 | May 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Criteria for Listing an Option on an Underlying Covered Security
Comments due: June 3, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-14 | ||
| 34-85744 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: May 24, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-12 | ||
| 34-85695 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 7130
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-10 | ||
| 34-85681 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules Governing the Trading of Complex Customer Cross Orders
Comments due: May 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-11 | ||
| 34-85678 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: May 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-13 | ||
| 34-85635 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019, for Exchange Rule IM-7170-1, That Is Linked to the Equity Market Plan to Address Extraordinary Market Volatility (the "Limit Up-Limit Down Plan" or the "Plan")
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-BOX-2019-08 | ||
| 34-85453 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for Replacement Issues to be Added to the Penny Pilot Program ("Pilot Program") on a Quarterly Basis
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2018-24, SR-BOX-2018-37, SR-BOX-2019-04 | ||
| 34-85459 | Mar. 29, 2019 | Order Disapproving Proposed Rule Changes to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Additional Materials:
|
| SR-BOX-2019-04 | ||
| 34-85399 | Mar. 22, 2019 | Order Granting BOX Exchange LLC’s Petition for Review of Division of Trading and Markets Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2019-04; Affirming the Division’s Order; and Lifting the Automatic Stay |
| SR-BOX-2019-07 | ||
| 34-85387 | Mar. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Add the Concepts of Appointed OFP and Appointed MM
Comments due: April 17, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-05 | ||
| 34-85293 | Mar. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Fee Schedule
Comments due: April 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BOX-2019-04 | ||
| 34-85201 | Feb. 26, 2019 | Notice of Filing of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due: March 11, 2019 Rebuttal comments due: March 18, 2019 Additional Materials: Comments received are available for this proposal.
|
| SR-BOX-2018-24 | ||
| 34-85184 | Feb. 25, 2019 | Order Affirming Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2018-24 and Notice of Additional Comment Period for the Proceedings |
| SR-BOX-2019-03 | ||
| 34-85133 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-02 | ||
| 34-85139 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Certain Agency Order Fees for Facilitation and Solicitation Transactions
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2018-14 | ||
| 34-85065 | Feb. 6, 2019 | Notice of Withdrawal of Proposed Rule Change to Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders |
| SR-BOX-2019-01 | ||
| 34-85052 | Feb. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify That Multi-leg Qualified Open Outcry Orders are Permitted on the BOX Trading Floor
Comments due: March 4, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2018-24 | ||
| 34-84989 | Jan. 25, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network |
BOX File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-BOX-2019-31 | ||
| 34-87375 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule IM-7170-1, to Make Permanent the Exchange Rule that is Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-30 | ||
| 34-87378 | Oct. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility for Complex Order Transactions
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BOX-2019-27 | ||
| 34-87014 | Sep. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: October 16, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BOX-2019-24 | ||
| 34-87266 | Oct. 9, 2019 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7600 |
| 34-86723 | Aug. 21, 2019 | Notice of Filing of Proposed Rule Change to Amend Rule 7600
Comments due: September 17, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-23 | ||
| 34-86334 | Jul. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility for Certain PIP and COPIP Transactions
Comments due: August 5, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-22 | ||
| 34-86835 | Aug. 30, 2019 | 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 |
| 34-86335 | Jul. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Comments due: August 5, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BOX-2019-21 | ||
| 34-86145 | Jun. 19, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules Regarding the Give-Up and Clearance of Exchange Transactions
Comments due: July 16, 2019 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-BOX-2019-20 | ||
| 34-86053 | Jun. 6, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 7260 by extending the Penny Pilot Program through December 31, 2019
Comments due: July 3, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-19 | ||
| 34-87287 | Oct. 11, 2019 | Notice of Filing of Proposed Rule Change Related to Adopt Rules to Govern the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC
Comments due: November 8, 2019 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-BOX-2019-18 | ||
| 34-86035 | Jun. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Comments due: July 2, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-17 | ||
| 34-86030 | Jun. 4, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders
Comments due: July 1, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-16 | ||
| 34-85803 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt BOX Rule 7620 (Accommodation Transactions) Establishing Cabinet Trading on the Exchange's Trading Floor
Comments due: June 4, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-15 | ||
| 34-85798 | May 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Criteria for Listing an Option on an Underlying Covered Security
Comments due: June 3, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-14 | ||
| 34-85744 | Apr. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: May 24, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-13 | ||
| 34-85635 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot to the Close of Business on October 18, 2019, for Exchange Rule IM-7170-1, That Is Linked to the Equity Market Plan to Address Extraordinary Market Volatility (the "Limit Up-Limit Down Plan" or the "Plan")
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-12 | ||
| 34-85695 | Apr. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 7130
Comments due: May 16, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-11 | ||
| 34-85678 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: May 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-10 | ||
| 34-85681 | Apr. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules Governing the Trading of Complex Customer Cross Orders
Comments due: May 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-08 | ||
| 34-85453 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow for Replacement Issues to be Added to the Penny Pilot Program ("Pilot Program") on a Quarterly Basis
Comments due: April 25, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-07 | ||
| 34-85387 | Mar. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Add the Concepts of Appointed OFP and Appointed MM
Comments due: April 17, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-05 | ||
| 34-85293 | Mar. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Fee Schedule
Comments due: April 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BOX-2019-04 | ||
| 34-85927 | May. 23, 2019 | Order Granting Petition for Review and Scheduling Filing of Statements In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (File Nos. SR-BOX-2018-24, SR-BOX-2018-37, and SR-BOX-2019-04)
Additional Materials: Statement of BOX Exchange, Inc. |
| 34-85459 | Mar. 29, 2019 | Order Disapproving Proposed Rule Changes to Amend the Fee Schedule on the BOX Market LLC Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Additional File Nos.: SR-BOX-2018-24, SR-BOX-2018-37 Additional Materials: Letter from Deputy Secretary to Alanna Barton, Vice Present, Legal Affairs, BOX Exchange LLC, dated April 1, 2019, Petition for Review of Order Disapproving BOX Exchange LLC's Proposal to Amend the Fee Schedule on BOX Market LLC, dated April 8, 2019 |
| 34-85399 | Mar. 22, 2019 | Order Granting BOX Exchange LLC’s Petition for Review of Division of Trading and Markets Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2019-04; Affirming the Division’s Order; and Lifting the Automatic Stay |
| 34-85201 | Feb. 26, 2019 | Notice of Filing of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due: March 11, 2019 Rebuttal comments due: March 18, 2019 Additional Materials: Comments received are available for this proposal.
|
| SR-BOX-2019-03 | ||
| 34-85133 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Its Strategy QOO Order Fee Cap and Rebate
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-02 | ||
| 34-85139 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC ("BOX") Facility to Modify Certain Agency Order Fees for Facilitation and Solicitation Transactions
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-BOX-2019-01 | ||
| 34-85052 | Feb. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify That Multi-leg Qualified Open Outcry Orders are Permitted on the BOX Trading Floor
Comments due: March 4, 2019 Additional Materials: Exhibit 5 |