Cboe Exchange, Inc. Rulemaking

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Chronological List
Second Quarter |  First Quarter

Cboe Exchange, Inc. File Number List for 2021

Additional Archives

Chronological List for 2021

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Release No. Date Details
Second Quarter
SR-CBOE-2021-031
34-91782 May 5, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Operation of its Flexible Exchange Options ("FLEX Options") Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-029
34-91767 May 4, 2021 Notice of Filing of a Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-030
34-91760 May 4, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-023
34-91728 Apr. 29, 2021 Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-027
34-91698 Apr. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of Its SPXPM Pilot Program
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-026
34-91697 Apr. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew Its Nonstandard Expirations Pilot Program Until November 1, 2021
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-025
34-91689 Apr. 27, 2021 Notice of Filing of a Proposed Rule Change to Amend Rule 5.37 and Rule 5.38 in Connection with Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism ("AIM") and Complex AIM ("C-AIM") Auctions
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2020-075
34-91686 Apr. 27, 2021 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, to Make Qualified Contingent Cross Orders Available for FLEX Option Trading
SR-CBOE-2021-028
34-91659 Apr. 23, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.5(d) to Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust ("QQQ")
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-013
34-91637 Apr. 22, 2021 Order Approving a Proposed Rule Change to Amend Rule 5.52(d) in Connection with a Market-Maker's Electronic Volume Transacted on the Exchange
SR-CBOE-2021-024
34-91609 Apr. 19, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Automated Price Improvement Auction Rule Relating to Stop Price
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-022
34-91576 Apr. 15, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders and Associated Persons that Engage in Trading Activities on the Exchange
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-021
34-91547 Apr. 14, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule to Adopt Reduced Permit Fees for New Floor Brokers
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2020-117
34-91528 Apr. 9, 2021 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Certain Rules to Accommodate the Listing and Trading of Index Options with an Index Multiplier of One
Comments due: May 6, 2021
SR-CBOE-2021-020
34-91482 Apr. 6, 2021 Notice of Filing of a Proposed Rule Change Relating to Adopt Rule 6.10 to Introduce a Voluntary Compression Service for Market Makers
Comments due: May 3, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CBOE-2021-019
34-91456 Apr. 1, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.5 (Series of Option Contracts Open for Trading) in Connection with Limiting the Number of Strikes Listed for Short Term Option Series which are Available for Quoting and Trading on the Exchange
Comments due: April 28, 2021
Additional Materials: Exhibit 5
First Quarter
SR-CBOE-2021-018
34-91431 Mar. 29, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.34 Relating to its Fat Finger Check in Connection with Multi-Class Spread Orders
Comments due: April 23, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-017
34-91394 Mar. 23, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt Reduced Fees for Academics for the Sale of Historical Intraday Open-Close Volume Data
Comments due: April 19, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-015
34-91288 Mar. 10, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule in Connection with the Exchange's Plans to List and Trade Options on the Mini-RUT Index ("MRUT" or "Mini-RUT")
Comments due: April 6, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-013
34-91275 Mar. 8, 2021 Notice of Filing of a Proposed Rule Change to Amend Rule 5.52(d) in Connection with a Market-Maker's Electronic Volume Transacted on the Exchange
Comments due: April 2, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-014
34-91259 Mar. 4, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: March 31, 2021
Additional Materials: Exhibit 5
SR-CBOE-2020-106
34-91257 Mar. 4, 2021 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes
Comments due: March 31, 2021
Rebuttal comments due: April 14, 2021
Comments received are available for this proposal.
SR-CBOE-2021-012
34-91252 Mar. 3, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule
Comments due: March 30, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-011
34-91211 Feb. 25, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend an Exchange Rule Relating to Inactive Nominees
Comments due: March 24, 2021
SR-CBOE-2020-117
34-91194 Feb. 24, 2021 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Certain Rules to Accommodate the Listing and Trading of Index Options with an Index Multiplier of One
SR-CBOE-2020-034
34-91135 Feb. 16, 2021 Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Authorize for Trading Flexible Exchange Options on Full-Value Indexes with a Contract Multiplier of One
SR-CBOE-2020-075
34-91127 Feb. 12, 2021 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Make Qualified Contingent Cross Orders Available for FLEX Option Trading
SR-CBOE-2020-052
34-91122 Feb. 12, 2021 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism
SR-CBOE-2020-051
34-91119 Feb. 12, 2021 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend the Automated Price Improvement Auction Rules in Connection with Agency Order Size Requirements
Comments due: March 12, 2021
SR-CBOE-2020-050
34-91116 Feb. 11, 2021 Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism
SR-CBOE-2020-116
34-91067 Feb. 5, 2021 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Add Options on the Mini-Russell 2000 Index to its P.M. Pilot Program
SR-CBOE-2021-010
34-91053 Feb. 3, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Policy Relating to Billing Errors
Comments due: March 2, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CBOE-2021-008
34-91028 Feb. 1, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: February 26, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-007
34-91008 Jan. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's CAT Compliance Rule to be Consistent with a Conditional Exemption Granted by the SEC from Certain Allocation Reporting Requirements
Comments due: February 24, 2021
SR-CBOE-2021-006
34-90990 Jan. 26, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Definition of "Current Market Value" for Purposes of Calculating Margin Requirements for Certain Options
Comments due: February 22, 2021
SR-CBOE-2021-004
34-90986 Jan. 25, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.24
Comments due: February 19, 2021
SR-CBOE-2021-005
34-90967 Jan. 22, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Opening Process for Simple Orders
Comments due: February 18, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-002
34-90929 Jan. 14, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Silexx Trading Platform Fees Schedule
Comments due: February 12, 2021
Additional Materials: Exhibit 5
SR-CBOE-2020-106
34-90926 Jan. 14, 2021 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules how the System Ranks FLEX Option Bids and Offers for Allocation Purposes
SR-CBOE-2020-034
34-90925 Jan. 14, 2021 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Authorize for Trading Flexible Exchange Options on Full-Value Indexes with a Contract Multiplier of One
SR-CBOE-2020-110
34-90916 Jan. 13, 2021 Notice of Withdrawal of a Proposed Rule Change Amending Rule 5.52(d) in Connection with a Market-Maker's Electronic Volume Transacted on the Exchange
Additional File No.: SR-CBOE-2020-110
SR-CBOE-2021-001
34-90896 Jan. 11, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule with Respect to Expiring Fee Waivers and Incentive Programs
Comments due: February 5, 2021
Additional Materials: Exhibit 5
SR-CBOE-2020-117
34-90853 Jan. 5, 2021 Notice of Filing of a Proposed Rule Change to Amend Certain Rules to Accommodate the Listing and Trading of Index Options with an Index Multiplier of One
Comments due: February 1, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.

File Number List for 2021

Release No. Date Details
SR-CBOE-2021-031
34-91782 May 5, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Operation of its Flexible Exchange Options ("FLEX Options") Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-030
34-91760 May 4, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-029
34-91767 May 4, 2021 Notice of Filing of a Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-027
34-91698 Apr. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of Its SPXPM Pilot Program
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-026
34-91697 Apr. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew Its Nonstandard Expirations Pilot Program Until November 1, 2021
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-025
34-91689 Apr. 27, 2021 Notice of Filing of a Proposed Rule Change to Amend Rule 5.37 and Rule 5.38 in Connection with Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism ("AIM") and Complex AIM ("C-AIM") Auctions
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
34-91659 Apr. 23, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.5(d) to Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust ("QQQ")
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-024
34-91609 Apr. 19, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Automated Price Improvement Auction Rule Relating to Stop Price
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-023
34-91728 Apr. 29, 2021 Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-022
34-91576 Apr. 15, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders and Associated Persons that Engage in Trading Activities on the Exchange
Comments due: 21 days after publication in the Federal Register
SR-CBOE-2021-021
34-91547 Apr. 14, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule to Adopt Reduced Permit Fees for New Floor Brokers
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CBOE-2021-020
34-91482 Apr. 6, 2021 Notice of Filing of a Proposed Rule Change Relating to Adopt Rule 6.10 to Introduce a Voluntary Compression Service for Market Makers
Comments due: May 3, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CBOE-2021-019
34-91456 Apr. 1, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.5 (Series of Option Contracts Open for Trading) in Connection with Limiting the Number of Strikes Listed for Short Term Option Series which are Available for Quoting and Trading on the Exchange
Comments due: April 28, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-018
34-91431 Mar. 29, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.34 Relating to its Fat Finger Check in Connection with Multi-Class Spread Orders
Comments due: April 23, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-017
34-91394 Mar. 23, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt Reduced Fees for Academics for the Sale of Historical Intraday Open-Close Volume Data
Comments due: April 19, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-015
34-91288 Mar. 10, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule in Connection with the Exchange's Plans to List and Trade Options on the Mini-RUT Index ("MRUT" or "Mini-RUT")
Comments due: April 6, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-014
34-91259 Mar. 4, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: March 31, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-013
34-91637 Apr. 22, 2021 Order Approving a Proposed Rule Change to Amend Rule 5.52(d) in Connection with a Market-Maker's Electronic Volume Transacted on the Exchange
34-91275 Mar. 8, 2021 Notice of Filing of a Proposed Rule Change to Amend Rule 5.52(d) in Connection with a Market-Maker's Electronic Volume Transacted on the Exchange
Comments due: April 2, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-012
34-91252 Mar. 3, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule
Comments due: March 30, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-011
34-91211 Feb. 25, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend an Exchange Rule Relating to Inactive Nominees
Comments due: March 24, 2021
SR-CBOE-2021-010
34-91053 Feb. 3, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Policy Relating to Billing Errors
Comments due: March 2, 2021
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CBOE-2021-008
34-91028 Feb. 1, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: February 26, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-007
34-91008 Jan. 28, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's CAT Compliance Rule to be Consistent with a Conditional Exemption Granted by the SEC from Certain Allocation Reporting Requirements
Comments due: February 24, 2021
SR-CBOE-2021-006
34-90990 Jan. 26, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Definition of "Current Market Value" for Purposes of Calculating Margin Requirements for Certain Options
Comments due: February 22, 2021
SR-CBOE-2021-005
34-90967 Jan. 22, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Opening Process for Simple Orders
Comments due: February 18, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-004
34-90986 Jan. 25, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.24
Comments due: February 19, 2021
SR-CBOE-2021-002
34-90929 Jan. 14, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Silexx Trading Platform Fees Schedule
Comments due: February 12, 2021
Additional Materials: Exhibit 5
SR-CBOE-2021-001
34-90896 Jan. 11, 2021 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule with Respect to Expiring Fee Waivers and Incentive Programs
Comments due: February 5, 2021
Additional Materials: Exhibit 5