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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 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-BOX-2016-41
34-78618 Aug. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-40
34-78565 Aug. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule to Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-38
34-78514 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-26
34-78449 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Rules Regarding Participants and Associated Persons Who are or Become Subject to a Statutory Disqualification
Comments due: August 26, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-37
34-78444 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism
Comments due: August 25, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-36
34-78428 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-34
34-78427 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-33
34-78390 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-32
34-78353 Jul. 18, 2016 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 12, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-30
34-78312 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections
Comments due: August 9, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-31
34-78247 Jul. 7, 2016 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 ("SPY") ("SPY Pilot Program")
Comments due: August 3, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2016-28
34-78243 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to expand the Short Term Option Series Program to allow Wednesday expirations for SPY options
Comments due: August 3, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-BOX-2016-24
34-78172 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-25
34-78171 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7150 (Price Improvement Period ("PIP")) to Establish the Quality Market Maker Allocation in a PIP Order
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-23
34-78024 Jun. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Non-Substantive Clerical Amendments
Comments due: July 6, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-22
34-77877 May 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) to amend the sanctions for Quotation Parameters and permit the aggregation of violations for the purpose of determining what is an occurrence
Comments due:  June 16, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-21
34-77778 May 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  June 2, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-20
34-77695 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-17
34-77694 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-16
34-77692 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to (i) Amend BOX Rule 7280 (Bulk Cancellation of Trading Interest) to Adopt a Kill Switch and (ii) Amend BOX Rule 7110 (Order Entry) to Modify the Circumstances That Will Prevent a Session Order From Being Cancelled
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-19
34-77660 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVol™ SPY Index ("Index")
Comments due:  May 17, 2016

SR-BOX-2016-13
34-77580 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 100 (Definitions) Relating to Professionals
Comments due:  May 6, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-15
34-77568 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 5, 2016
Additional Materials: Exhibit 5
First Quarter

SR-BOX-2016-14
34-77572 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BOX-2016-12
34-77403 Mar. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply with the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and to Permit Certain Ownership Changes Pursuant Thereto
Comments due:  April 14, 2016

SR-BOX-2016-10
34-77229 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Controversial and Clerical Amendments to its Rules
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-09
34-77193 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Eliminate Certain Fees Which Relate to the Series 56 Examination and to Include Certain Fees Which Relate to Series 57 Examination and Continuing Education
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-08
34-77154 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Order Handling Period for Directed Orders from Three Seconds to One Second
Comments due:  March 15, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-07
34-77144 Feb. 16, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility
Comments due: March 14, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-05
34-77096 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7290 (Price Protection for Limit Orders) to Enhance the Protections Provided to Participants Executing Orders and Quotes on the Exchange
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-04
34-77095 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7070 (Opening the Market) to Implement a New Price Protection Feature for the Opening
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-03
34-77092 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Rule 7310 (Drill-through Protection) to Implement a New Price Protection Feature
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-02
34-77055 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC ("BOX") Options Facility
Comments due: March 2, 2016
Additional Materials: Exhibit 5


BOX File Number List for 2016
Release No. Date Details

SR-BOX-2016-41
34-78618 Aug. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-40
34-78565 Aug. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule to Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule
Comments due: 21 days after publication in the Federal Register
Rebuttal comments due: 35 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-38
34-78514 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BOX-2016-37
34-78444 Jul. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism
Comments due: August 25, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-36
34-78428 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-34
34-78427 Jul. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-33
34-78390 Jul. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due: August 17, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-32
34-78353 Jul. 18, 2016 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 12, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-31
34-78247 Jul. 7, 2016 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 (SPY) (SPY Pilot Program)
Comments due: August 3, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BOX-2016-30
34-78312 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections
Comments due: August 9, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-28
34-78243 Jul. 7, 2016 Notice of Filing of Proposed Rule Change to expand the Short Term Option Series Program to allow Wednesday expirations for SPY options
Comments due: August 3, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-26
34-78449 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BOX Rules Regarding Participants and Associated Persons Who are or Become Subject to a Statutory Disqualification
Comments due: August 26, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-25
34-78171 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7150 (Price Improvement Period ("PIP")) to Establish the Quality Market Maker Allocation in a PIP Order
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-24
34-78172 Jun. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-23
34-78024 Jun. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Make Non-Substantive Clerical Amendments
Comments due: July 6, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-22
34-77877 May 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) to amend the sanctions for Quotation Parameters and permit the aggregation of violations for the purpose of determining what is an occurrence
Comments due:  June 16, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-21
34-77778 May 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  June 2, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-20
34-77695 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-19
34-77660 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVol™ SPY Index ("Index")
Comments due:  May 17, 2016

SR-BOX-2016-17
34-77694 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-16
34-77692 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to (i) Amend BOX Rule 7280 (Bulk Cancellation of Trading Interest) to Adopt a Kill Switch and (ii) Amend BOX Rule 7110 (Order Entry) to Modify the Circumstances That Will Prevent a Session Order From Being Cancelled
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-15
34-77568 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 5, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-14
34-77572 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility
Comments due:  May 5, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BOX-2016-13
34-77580 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BOX Rule 100 (Definitions) Relating to Professionals
Comments due:  May 6, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-12
34-77403 Mar. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply with the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and to Permit Certain Ownership Changes Pursuant Thereto
Comments due:  April 14, 2016

SR-BOX-2016-10
34-77229 Feb. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Controversial and Clerical Amendments to its Rules
Comments due: March 23, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-09
34-77193 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Eliminate Certain Fees Which Relate to the Series 56 Examination and to Include Certain Fees Which Relate to Series 57 Examination and Continuing Education
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-08
34-77154 Feb. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reduce the Order Handling Period for Directed Orders from Three Seconds to One Second
Comments due:  March 15, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-07
34-77144 Feb. 16, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility
Comments due: March 14, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-05
34-77096 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7290 (Price Protection for Limit Orders) to Enhance the Protections Provided to Participants Executing Orders and Quotes on the Exchange
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-04
34-77095 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 7070 (Opening the Market) to Implement a New Price Protection Feature for the Opening
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-03
34-77092 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Rule 7310 (Drill-through Protection) to Implement a New Price Protection Feature
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-BOX-2016-02
34-77055 Feb. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC ("BOX") Options Facility
Comments due: March 2, 2016
Additional Materials: Exhibit 5

 

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


Modified: 08/19/2016