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CBOE Rulemaking

We encourage the public to submit comments on the following Chicago Board Options Exchange (CBOE) 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.

Third Quarter |  Second Quarter |  First Quarter

CBOE File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Third Quarter

SR-CBOE-2016-056
34-78316 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism
Comments due: 21 days after publication in the Federal Register

SR-CBOE-2016-047
34-78293 Jul. 12, 2016 Order Approving a Proposed Rule Change Relating to Senior Management Authority
See also: Notice: Rel. No. 34-77962

SR-CBOE-2016-054
34-78292 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-CBOE-2016-041
34-78276 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5
Second Quarter

SR-CBOE-2016-049
34-78177 Jun. 28, 2016 Notice of Filing of a Proposed Rule Change to List Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and to Amend the Maintenance Listing Criteria Applicable to Certain Index Options
Comments due: July 22, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-CBOE-2016-046
34-78132 Jun. 22, 2016 Notice of Filing of a Proposed Rule Change to Expand the Nonstandard Expirations Pilot Program
Comments due:  July 19, 2016

SR-CBOE-2016-052
34-78131 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options
Comments due:  July 19, 2016
Additional Materials: Exhibit 3

SR-CBOE-2016-050
34-78110 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking
Comments due:  July 18, 2016

SR-CBOE-2016-048
34-78013 Jun. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program
Comments due: July 5, 2016

SR-CBOE-2016-047
34-77962 Jun. 1, 2016 Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority
Comments due: June 28, 2016
See also: Order: Rel. No. 34-78293

SR-CBOE-2016-045
34-77926 May 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-024
34-77848 May 17, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders
See also: Notice: Rel. No. 34-77511

SR-CBOE-2016-034
34-77823 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Split-Price Priority
Comments due: June 8, 2016

SR-CBOE-2016-043
34-77822 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-040
34-77758 May 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 31, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-032
34-77742 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program
Comments due: May 25, 2016

SR-CBOE-2016-038
34-77710 Apr. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: May 23, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-037
34-77659 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  May 17, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-CBOE-2016-031
34-77621 Apr. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  May 11, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-030
34-77575 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due:  May 6, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-036
34-77573 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPXPM Pilot Program
Comments due:  May 5, 2016

SR-CBOE-2016-028
34-77570 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A
Comments due:  May 5, 2016

SR-CBOE-2016-009
34-77553 Apr. 7, 2016 Order Approving a Proposed Rule Change Relating to LMMs and DPMs
See also: Notice: Rel. No. 34-77200

SR-CBOE-2016-023
34-77554 Apr. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due:  May 4, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-CBOE-2016-021
34-77547 Apr. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Options that Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-024
34-77511 Apr. 4, 2016 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders
Comments due:  April 29, 2016
Additional Materials: Exhibit 5
First Quarter

SR-CBOE-2016-026
34-77479 Mar. 30, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: April 26, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-005
34-77450 Mar. 25, 2016 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 Interpretation and Policy .01 to Rule 1.1(ggg) Relating to the Professional Customer Definition
Comments due: April 21, 2016
See also: Notice: Rel. No. 34-77049

SR-CBOE-2016-018
34-77365 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-016
34-77319 Mar. 8, 2016 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Related to Options that Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index
Comments due: April 4, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-014
34-77297 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders
Comments due: March 31, 2016

SR-CBOE-2016-009
34-77200 Feb. 22, 2016 Notice of Filing of a Proposed Rule Change Relating to LMMs and DPMs
Comments due:  March 18, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77553

SR-CBOE-2016-008
34-77093 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-007
34-77081 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Designated Primary Market-Makers ("DPMs") and Lead Market-Makers ("LMMs")
Comments due: March 4, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-005
34-77049 Feb. 4, 2016 Notice of Filing of a Proposed Rule Change Relating to Professionals
Comments due: March 2, 2016
See also: Notice/Order: Rel. No. 34-77450
Comments received are available for this proposal.

SR-CBOE-2016-004
34-76993 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-CBOE-2015-107
34-76960 Jan. 21, 2016 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms For Quotes and Order
Comments due:  February 17, 2016
See also: Notice: Rel. No. 34-76585

SR-CBOE-2016-002
34-76923 Jan. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  February 12, 2016
Additional Materials: Exhibit 5

SR-CBOE-2015-106
34-76909 Jan. 14, 2016 Order Approving a Proposed Rule Change to Permit P.M.-Settled Options on Broad-Based Indexes to Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program
See also: Notice: Rel. No. 34-76529

SR-CBOE-2015-122
34-76888 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS
Comments due:  February 10, 2016

SR-CBOE-2015-121
34-76895 Jan. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.3 Relating to Appointment Costs
Comments due:  February 10, 2016

SR-CBOE-2015-119
34-76881 Jan. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 9, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-003
34-76857 Jan. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Limit Order Price Protections for Stock-option Orders
Comments due: February 4, 2016

SR-CBOE-2015-117
34-76842 Jan. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: February 2, 2016

SR-CBOE-2015-115
34-76828 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-CBOE-2015-118
34-76824 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program through January 17, 2017
Comments due: February 1, 2016


CBOE File Number List for 2016
Release No. Date Details

SR-CBOE-2016-056
34-78316 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism
Comments due: 21 days after publication in the Federal Register

SR-CBOE-2016-054
34-78292 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-CBOE-2016-052
34-78131 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options
Comments due:  July 19, 2016
Additional Materials: Exhibit 3

SR-CBOE-2016-050
34-78110 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking
Comments due:  July 18, 2016

SR-CBOE-2016-049
34-78177 Jun. 28, 2016 Notice of Filing of a Proposed Rule Change to List Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and to Amend the Maintenance Listing Criteria Applicable to Certain Index Options
Comments due: July 22, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-CBOE-2016-048
34-78013 Jun. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program
Comments due: July 5, 2016

SR-CBOE-2016-047
34-78293 Jul. 12, 2016 Order Approving a Proposed Rule Change Relating to Senior Management Authority
34-77962 Jun. 1, 2016 Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority
Comments due: June 28, 2016

SR-CBOE-2016-046
34-78132 Jun. 22, 2016 Notice of Filing of a Proposed Rule Change to Expand the Nonstandard Expirations Pilot Program
Comments due:  July 19, 2016

SR-CBOE-2016-045
34-77926 May 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: June 23, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-043
34-77822 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-041
34-78276 Jul. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 3, Exhibit 5

SR-CBOE-2016-040
34-77758 May 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 31, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-038
34-77710 Apr. 26, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: May 23, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-037
34-77659 Apr. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  May 17, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-CBOE-2016-036
34-77573 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to SPXPM Pilot Program
Comments due:  May 5, 2016

SR-CBOE-2016-034
34-77823 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Split-Price Priority
Comments due: June 8, 2016

SR-CBOE-2016-032
34-77742 Apr. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program
Comments due: May 25, 2016

SR-CBOE-2016-031
34-77621 Apr. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  May 11, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-030
34-77575 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due:  May 6, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-028
34-77570 Apr. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.1A
Comments due:  May 5, 2016

SR-CBOE-2016-026
34-77479 Mar. 30, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: April 26, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-024
34-77848 May 17, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders
34-77511 Apr. 4, 2016 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders
Comments due:  April 29, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-023
34-77554 Apr. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due:  May 4, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-CBOE-2016-021
34-77547 Apr. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for Options that Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index
Comments due:  May 3, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-018
34-77365 Mar. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: April 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-016
34-77319 Mar. 8, 2016 Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Related to Options that Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index
Comments due: April 4, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-014
34-77297 Mar. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders
Comments due: March 31, 2016

SR-CBOE-2016-009
34-77553 Apr. 7, 2016 Order Approving a Proposed Rule Change Relating to LMMs and DPMs
34-77200 Feb. 22, 2016 Notice of Filing of a Proposed Rule Change Relating to LMMs and DPMs
Comments due:  March 18, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-008
34-77093 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Schedule
Comments due: March 8, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-007
34-77081 Feb. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Designated Primary Market-Makers ("DPMs") and Lead Market-Makers ("LMMs")
Comments due: March 4, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-005
34-77450 Mar. 25, 2016 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 Interpretation and Policy .01 to Rule 1.1(ggg) Relating to the Professional Customer Definition
Comments due: April 21, 2016
See also: Notice: Rel. No. 34-77049
34-77049 Feb. 4, 2016 Notice of Filing of a Proposed Rule Change Relating to Professionals
Comments due: March 2, 2016
Comments received are available for this proposal.

SR-CBOE-2016-004
34-76993 Jan. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: February 24, 2016
Additional Materials: Exhibit 5

SR-CBOE-2016-003
34-76857 Jan. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Limit Order Price Protections for Stock-option Orders
Comments due: February 4, 2016

SR-CBOE-2016-002
34-76923 Jan. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due:  February 12, 2016
Additional Materials: Exhibit 5

 

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


Modified: 07/14/2016