Cboe Exchange, Inc. Rulemaking
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Chronological List
First Quarter
Cboe Exchange, Inc. File Number List for 2018
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Chronological List for 2018
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-CBOE-2017-070 | ||
| 34-82398 | Dec. 22, 2017 | Order Approving a Proposed Rule Change to Amend Rule 6.56 to Include Procedures for Multi-Leg Positions
See also: Notice: Rel. No. 34-82102 |
| SR-CBOE-2017-078 | ||
| 34-82375 | Dec. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, to Extend the Penny Pilot Program
Comments due: January 18, 2018 Comments received are available for this proposal. |
| SR-CBOE-2017-076 | ||
| 34-82346 | Dec. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 5.4, Withdrawal of Approval of Underlying Securities
Comments due: January 12, 2018 |
| SR-CBOE-2017-072 | ||
| 34-82336 | Dec. 15, 2017 | Order Granting Accelerated Approval to a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee as well as its Director Nomination and Committee Appointment Process
See also: Notice: Rel. No. 34-82119 Additional File No.: SR-C2-2017-030 |
| SR-CBOE-2017-077 | ||
| 34-82308 | Dec. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-040 | ||
| 34-82273 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments 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: January 5, 2018 Additional Materials: Exhibit 4, Exhibit 5 See also: Notice: Rel. No. 34-80785, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82272 Comments received are available for this proposal. |
| SR-CBOE-2017-040 | ||
| 34-82272 | Dec. 11, 2017 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: January 5, 2018 Additional Materials: Appendix, Exhibit 5 See also: Notice: Rel. No. 34-80785, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82273 Comments received are available for this proposal. |
| SR-CBOE-2017-064 | ||
| 34-82196 | Dec. 1, 2017 | Order Approving a Proposed Rule Change Creating an Electronic-Only Order Type
See also: Notice: Rel. No. 34-81862 |
| SR-CBOE-2017-057 | ||
| 34-82168 | Nov. 29, 2017 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Amended, to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain Exchange Traded Products
Comments due: December 26, 2017 Rebuttal comments due: January 9, 2018 See also: Order: Rel. No. 34-82770, Notice: Rel. No. 34-81853, Notice: Rel. No. 34-81483 |
| SR-CBOE-2017-074 | ||
| 34-82164 | Nov. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying How the Options Regulatory Fee is Assessed and Collected
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-041 | ||
| 34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-81499, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80797 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-CBOE-2017-072 | ||
| 34-82119 | Nov. 20, 2017 | Notice of Filing of a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee
Comments due: December 12, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c See also: Order: Rel. No. 34-82336 |
| SR-CBOE-2017-070 | ||
| 34-82102 | Nov. 16, 2017 | Notice of Filing of a Proposed Rule Change Relating to Rule 6.56
Comments due: December 13, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82398 |
| SR-CBOE-2017-068 | ||
| 34-82088 | Nov. 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe Functionality of and Adopt Fees for a New Front-End Order Entry and Management Platform
Comments due: December 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-040 | ||
| 34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80785, Order: Rel. No. 34-81067, Notice: Rel. No. 34-82272, Notice: Rel. No. 34-82273 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| SR-CBOE-2017-066 | ||
| 34-81981 | Oct. 30, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 24, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-065 | ||
| 34-81879 | Oct. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade S&P Select Sector Index Options
Comments due: November 13, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-064 | ||
| 34-81862 | Oct. 12, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Creation of an Electronic-Only Order Type
Comments due: November 8, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82196 |
| SR-CBOE-2017-057 | ||
| 34-81853 | Oct. 11, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain ETFs
See also: Order: Rel. No. 34-82770, Notice: Rel. No. 34-81483 |
| SR-CBOE-2017-063 | ||
| 34-81827 | Oct. 5, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule
Comments due: November 2, 2017 Additional Materials: Exhibit 5 |
| Third Quarter | ||
| SR-CBOE-2017-062 | ||
| 34-81714 | Sep. 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Exchange to Publish End-of-Day Indicative Values in SPX After the Close of Regular Trading Hours in SPX
Comments due: October 20, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-061 | ||
| 34-81613 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct an Inadvertent Marking Error in the Fees Schedule
Comments due: October 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-060 | ||
| 34-81614 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: October 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-059 | ||
| 34-81586 | Sep. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the On-Floor Lead Market-Maker Program
Comments due: October 10, 2017 |
| SR-CBOE-2017-058 | ||
| 34-81516 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.25, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 28, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-041 | ||
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-80797 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-CBOE-2017-043 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80832 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| SR-CBOE-2017-057 | ||
| 34-81483 | Aug. 25, 2017 | Notice of Filing of a Proposed Rule Change to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain ETFs
Comments due: September 21, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-82770, Notice: Rel. No. 34-81853 Comments received are available for this proposal. |
| SR-CBOE-2017-056 | ||
| 34-81262 | Jul. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.1, Days and Hours of Business, to Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes
Comments due: August 25, 2017 |
| SR-CBOE-2017-044 | ||
| 34-81175 | Jul. 20, 2017 | Order Granting Approval of Proposed Rule Change Relating to Disaster Recovery
See also: Notice: Rel. No. 34-80857 |
| SR-CBOE-2017-055 | ||
| 34-81170 | Jul. 19, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule
Comments due: August 15, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-043 | ||
| 34-81164 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule - Fee Dispute Resolution
See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-80832 |
| SR-CBOE-2017-041 | ||
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-80797, Notice: Rel. No. 34-81499 Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017 -20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE-2017-23, SR- NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| SR-CBOE-2017-052 | ||
| 34-81118 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the CBOE Fees Schedule Concerning LVCX Fees
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-054 | ||
| 34-81085 | Jul. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.47A, Automated Improvement Mechanism
Comments due: August 2, 2017 |
| SR-CBOE-2017-051 | ||
| 34-81083 | Jul. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program Through July 18, 2018
Comments due: August 2, 2017 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-CBOE-2017-040 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 See also: Notice: Rel. No. 34-80785, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82272, Notice: Rel. No. 34-82273 Additional File Nos.: SR-C2-2017-017, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16 Comments received are available for this proposal. |
| SR-CBOE-2017-010 | ||
| 34-81065 | Jun. 30, 2017 | Notice of Withdrawal of a Proposed Rule Change Related to Unusual Market Conditions and the Duty to Systemize Non-Electronic Orders Prior to Representation
See also: Notice: Rel. No. 34-80854, Notice: Rel. No. 34-80481, Notice: Rel. No. 34-80123 |
| SR-CBOE-2017-050 | ||
| 34-81017 | Jun. 26, 2017 | 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 21, 2017 Additional Materials: Exhibit 3 |
| SR-CBOE-2017-049 | ||
| 34-81010 | Jun. 23, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.56 (Compression Forums)
Comments due: July 20, 2017 |
| SR-CBOE-2017-019 | ||
| 34-80926 | Jun. 14, 2017 | Notice of Withdrawal of Proposed Rule Change Related to Complex Orders
See also: Notice: Rel. No. 34-80609, Notice: Rel. No. 34-80279 |
| SR-CBOE-2017-047 | ||
| 34-80925 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-048 | ||
| 34-80913 | Jun. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 5.5
Comments due: July 10, 2017 |
| SR-CBOE-2017-045 | ||
| 34-80883 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program
Comments due: July 5, 2017 |
| SR-CBOE-2017-044 | ||
| 34-80857 | Jun. 5, 2017 | Notice of Filing of a Proposed Rule Change Relating to Disaster Recovery
Comments due: June 30, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81175 |
| SR-CBOE-2016-082 | ||
| 34-80859 | Jun. 5, 2017 | Notice of Withdrawal of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance with Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading
See also: Order: Rel. No. 34-80270, Notice: Rel. No. 34-79910, Notice: Rel. No. 34-79540 |
| SR-CBOE-2017-010 | ||
| 34-80854 | Jun. 2, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to Unusual Market Conditions and the Duty to Systemize Non-Electronic Orders Prior to Representation
Comments due: June 29, 2017 Rebuttal comments due: July 13, 2017 See also: Notice: Rel. No. 34-81065, Notice: Rel. No. 34-80481, Notice: Rel. No. 34-80123 |
| SR-CBOE-2017-043 | ||
| 34-80832 | Jun. 1, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule - Fee Dispute Resolution
Comments due: June 28, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81500, Notice: Rel. No. 34-81164 Comments received are available for this proposal. |
| SR-CBOE-2017-041 | ||
| 34-80797 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-82524, Notice: Rel. No. 34-82135, Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499 Comments received are available for this proposal. |
| SR-CBOE-2017-040 | ||
| 34-80785 | May 26, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 22, 2017 Additional Materials: Exhibit 5, Appendix See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049, Notice: Rel. No. 34-82272, Notice: Rel. No. 34-82273 Comments received are available for this proposal. |
| SR-CBOE-2017-042 | ||
| 34-80760 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Reports of Executed Orders
Comments due: June 21, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-029 | ||
| 34-80738 | May 22, 2017 | Order Approving a Proposed Rule Change Relating to the Exposure Periods of the Automated Improvement Mechanism and the Solicitation Auction Mechanism
See also: Notice: Rel. No. 34-80421 |
| SR-CBOE-2017-039 | ||
| 34-80671 | May 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: June 9, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-036 | ||
| 34-80654 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quoting Bandwidth Allowance
Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-038 | ||
| 34-80644 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-019 | ||
| 34-80609 | May 5, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Complex Orders
See also: Notice: Rel. No. 34-80926, Notice: Rel. No. 34-80279 |
| SR-CBOE-2017-035 | ||
| 34-80595 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression Forums
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-017 | ||
| 34-80523 | Apr. 25, 2017 | Order Approving a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation
See also: Notice: Rel. No. 34-80167 |
| SR-CBOE-2017-034 | ||
| 34-80510 | Apr. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.7
Comments due: May 18, 2017 |
| SR-CBOE-2017-010 | ||
| 34-80481 | Apr. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Unusual Market Conditions and the Requirement to Systemize Non-Electronic Orders Prior to Representation
See also: Notice: Rel. No. 34-81065, Order: Rel. No. 34-80854, Notice: Rel. No. 34-80123 |
| SR-CBOE-2017-028 | ||
| 34-80472 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-030 | ||
| 34-80470 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-033 | ||
| 34-80462 | Apr. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-032 | ||
| 34-80443 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program
Comments due: May 9, 2017 |
| SR-CBOE-2017-031 | ||
| 34-80439 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections
Comments due: May 9, 2017 |
| SR-CBOE-2017-023 | ||
| 34-80422 | Apr. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Obsolete References in the Fees Schedule
Comments due: May 5, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-029 | ||
| 34-80421 | Apr. 10, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism
Comments due: May 5, 2017 See also: Order: Rel. No. 34-80738 |
| SR-CBOE-2017-026 | ||
| 34-80387 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew Nonstandard Expirations Pilot Program
Comments due: May 3, 2017 |
| SR-CBOE-2017-025 | ||
| 34-80386 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the SPXPM Pilot Program
Comments due: May 3, 2017 |
| SR-CBOE-2017-014 | ||
| 34-80385 | Apr. 6, 2017 | Order Approving Proposed Rule Change Related to Rule 24.9(e)
See also: Notice: Rel. No. 34-80037 |
| First Quarter | ||
| SR-CBOE-2017-024 | ||
| 34-80328 | Mar. 29, 2017 | Notice of Filing of a Proposed Rule Change Relating to Reporting Duties
Comments due: April 25, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CBOE-2017-022 | ||
| 34-80286 | Mar. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule
Comments due: April 17, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-019 | ||
| 34-80279 | Mar. 20, 2017 | Notice of Filing of a Proposed Rule Change Related to Complex Orders
Comments due: April 14, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-80926, Notice: Rel. No. 34-80609 |
| SR-CBOE-2016-082 | ||
| 34-80270 | Mar. 17, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance with Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading
Comments due: April 13, 2017 Rebuttal comments due: April 27, 2017 See also: Notice: Rel. No. 34-80859, Notice: Rel. No. 34-79540, Notice: Rel. No. 34-79910 |
| SR-CBOE-2017-021 | ||
| 34-80264 | Mar. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders
Comments due: April 12, 2017 |
| SR-CBOE-2017-012 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79950 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| SR-CBOE-2017-016 | ||
| 34-80181 | Mar. 8, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections
Comments due: April 4, 2017 |
| SR-CBOE-2017-017 | ||
| 34-80167 | Mar. 7, 2017 | Notice of Filing of a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation
Comments due: April 3, 2017 Additional Materials: Exhibit 5a, Exhibit 5b See also: Order: Rel. No. 34-80523 |
| SR-CBOE-2017-018 | ||
| 34-80152 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism
Comments due: March 30, 2017 |
| SR-CBOE-2017-010 | ||
| 34-80123 | Feb. 28, 2017 | Notice of Filing of a Proposed Rule Change Related to Unusual Market Conditions
Comments due: March 27, 2017 See also: Notice: Rel. No. 34-81065, Order: Rel. No. 34-80854, Notice: Rel. No. 34-80481 |
| SR-CBOE-2017-015 | ||
| 34-80086 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: March 20, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2016-091 | ||
| 34-80060 | Feb. 17, 2017 | Order Approving a Proposed Rule Change Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor's 500 Index
See also: Notice: Rel. No. 34-79712 |
| SR-CBOE-2016-088 | ||
| 34-80040 | Feb. 14, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Nullification and Adjustment of Options Transactions
See also: Notice: Rel. No. 34-79697 |
| SR-CBOE-2017-014 | ||
| 34-80037 | Feb. 14, 2017 | Notice of Filing of a Proposed Rule Change Related to Rule 24.9(e)
Comments due: March 14, 2017 See also: Order: Rel. No. 34-80385 |
| SR-CBOE-2017-011 | ||
| 34-80003 | Feb. 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: March 8, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-009 | ||
| 34-79981 | Feb. 7, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocation and Priority Rules
Comments due: March 6, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-012 | ||
| 34-79950 | Feb. 2, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 |
| SR-CBOE-2016-082 | ||
| 34-79910 | Jan. 31, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance with Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions
See also: Notice: Rel. No. 34-80859, Order: Rel. No. 34-80270, Notice: Rel. No. 34-79540 |
| SR-CBOE-2017-008 | ||
| 34-79906 | Jan. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 27, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-080 | ||
| 34-79899 | Jan. 30, 2017 | 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 CBOE Rule 6.53C
Comments due: February 24, 2017 |
| SR-CBOE-2017-007 | ||
| 34-79873 | Jan. 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 21, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2016-084 | ||
| 34-79836 | Jan. 18, 2017 | 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 Exchange Rules Related to the Automated Improvement Mechanism
Comments due: February 15, 2017 See also: Notice: Rel. No. 34-79499 |
| SR-CBOE-2017-003 | ||
| 34-79816 | Jan. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 15, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-004 | ||
| 34-79808 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2016-080 | ||
| 34-79783 | Jan. 12, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend CBOE Rule 6.53C
See also: Notice: Rel. No. 34-79406 |
| SR-CBOE-2016-094 | ||
| 34-79745 | Jan. 5, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 1, 2017 Additional Materials: Exhibit 5 |
Cboe Exchange, Inc. File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-CBOE-2017-084 | ||
| 34-82459 | Jan. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.13, CBOE Hybrid System Automatic Execution Feature
Comments due: February 2, 2018 |
| SR-CBOE-2017-083 | ||
| 34-82461 | Jan. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 2, 2018 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-078 | ||
| 34-82375 | Dec. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, to Extend the Penny Pilot Program
Comments due: January 18, 2018 Comments received are available for this proposal. |
| SR-CBOE-2017-077 | ||
| 34-82308 | Dec. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule
Comments due: January 9, 2018 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-076 | ||
| 34-82346 | Dec. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 5.4, Withdrawal of Approval of Underlying Securities
Comments due: January 12, 2018 |
| SR-CBOE-2017-074 | ||
| 34-82164 | Nov. 28, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying How the Options Regulatory Fee is Assessed and Collected
Comments due: December 26, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-072 | ||
| 34-82336 | Dec. 15, 2017 | Order Granting Accelerated Approval to a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee as well as its Director Nomination and Committee Appointment Process
Additional File No.: SR-C2-2017-030 |
| 34-82119 | Nov. 20, 2017 | Notice of Filing of a Proposed Rule Change Relating to its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee
Comments due: December 12, 2017 Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c |
| SR-CBOE-2017-070 | ||
| 34-82398 | Dec. 22, 2017 | Order Approving a Proposed Rule Change to Amend Rule 6.56 to Include Procedures for Multi-Leg Positions
See also: Notice: Rel. No. 34-82102 |
| 34-82102 | Nov. 16, 2017 | Notice of Filing of a Proposed Rule Change Relating to Rule 6.56
Comments due: December 13, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-068 | ||
| 34-82088 | Nov. 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Describe Functionality of and Adopt Fees for a New Front-End Order Entry and Management Platform
Comments due: December 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-066 | ||
| 34-81981 | Oct. 30, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 24, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-065 | ||
| 34-81879 | Oct. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade S&P Select Sector Index Options
Comments due: November 13, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-064 | ||
| 34-82196 | Dec. 1, 2017 | Order Approving a Proposed Rule Change Creating an Electronic-Only Order Type |
| 34-81862 | Oct. 12, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Creation of an Electronic-Only Order Type
Comments due: November 8, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-063 | ||
| 34-81827 | Oct. 5, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule
Comments due: November 2, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-062 | ||
| 34-81714 | Sep. 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Exchange to Publish End-of-Day Indicative Values in SPX After the Close of Regular Trading Hours in SPX
Comments due: October 20, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-061 | ||
| 34-81613 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Correct an Inadvertent Marking Error in the Fees Schedule
Comments due: October 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-060 | ||
| 34-81614 | Sep. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: October 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-059 | ||
| 34-81586 | Sep. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the On-Floor Lead Market-Maker Program
Comments due: October 10, 2017 |
| SR-CBOE-2017-058 | ||
| 34-81516 | Aug. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.25, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: September 28, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-057 | ||
| 34-82770 | Feb. 23, 2018 | 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 Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain Exchange Traded Products
Comments due: 21 days after publication in the Federal Register |
| 34-82168 | Nov. 29, 2017 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Amended, to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain Exchange Traded Products
Comments due: December 26, 2017 Rebuttal comments due: January 9, 2018 |
| 34-81853 | Oct. 11, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain ETFs |
| 34-81483 | Aug. 25, 2017 | Notice of Filing of a Proposed Rule Change to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain ETFs
Comments due: September 21, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CBOE-2017-056 | ||
| 34-81262 | Jul. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 6.1, Days and Hours of Business, to Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes
Comments due: August 25, 2017 |
| SR-CBOE-2017-055 | ||
| 34-81170 | Jul. 19, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule
Comments due: August 15, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-054 | ||
| 34-81085 | Jul. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.47A, Automated Improvement Mechanism
Comments due: August 2, 2017 |
| SR-CBOE-2017-052 | ||
| 34-81118 | Jul. 11, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the CBOE Fees Schedule Concerning LVCX Fees
Comments due: August 7, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-051 | ||
| 34-81083 | Jul. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Credit Option Margin Pilot Program Through July 18, 2018
Comments due: August 2, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-050 | ||
| 34-81017 | Jun. 26, 2017 | 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 21, 2017 Additional Materials: Exhibit 3 |
| SR-CBOE-2017-049 | ||
| 34-81010 | Jun. 23, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.56 (Compression Forums)
Comments due: July 20, 2017 |
| SR-CBOE-2017-048 | ||
| 34-80913 | Jun. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 5.5
Comments due: July 10, 2017 |
| SR-CBOE-2017-047 | ||
| 34-80925 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-045 | ||
| 34-80883 | Jun. 8, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program
Comments due: July 5, 2017 |
| SR-CBOE-2017-044 | ||
| 34-81175 | Jul. 20, 2017 | Order Granting Approval of Proposed Rule Change Relating to Disaster Recovery |
| 34-80857 | Jun. 5, 2017 | Notice of Filing of a Proposed Rule Change Relating to Disaster Recovery
Comments due: June 30, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-043 | ||
| 34-81500 | Aug. 30, 2017 | Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80832 Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31 |
| 34-81164 | Jul. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule - Fee Dispute Resolution |
| 34-80832 | Jun. 1, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule - Fee Dispute Resolution
Comments due: June 28, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CBOE-2017-042 | ||
| 34-80760 | May 24, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Reports of Executed Orders
Comments due: June 21, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-041 | ||
| 34-82524 | Jan. 17, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-82135 | Nov. 21, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81499 | Aug. 30, 2017 | Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-81145 | Jul. 14, 2017 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT Additional File Nos.: SR-BatsBZX-2017-37, SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017 -20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE-2017-23, SR- NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30 |
| 34-80797 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CBOE-2017-040 | ||
| 34-82503 | Jan. 16, 2018 | Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| 34-82273 | Dec. 11, 2017 | Notice of Filing of Amendment No. 2 to the Proposed Rule Change to Amend the Schedule of Fees and Assessments 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: January 5, 2018 Additional Materials: Exhibit 4, Exhibit 5 Comments received are available for this proposal. |
| 34-82272 | Dec. 11, 2017 | Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: January 5, 2018 Additional Materials: Appendix, Exhibit 5 Comments received are available for this proposal. |
| 34-82049 | Nov. 9, 2017 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37 |
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017 Rebuttal comments due: August 11, 2017 Additional File Nos.: SR-C2-2017-017, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16 Comments received are available for this proposal. |
| 34-80785 | May 26, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Comments due: June 22, 2017 Additional Materials: Exhibit 5, Appendix Comments received are available for this proposal. |
| SR-CBOE-2017-039 | ||
| 34-80671 | May 15, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: June 9, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-038 | ||
| 34-80644 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: June 6, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-036 | ||
| 34-80654 | May 11, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quoting Bandwidth Allowance
Comments due: June 7, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-035 | ||
| 34-80595 | May 4, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression Forums
Comments due: May 31, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-034 | ||
| 34-80510 | Apr. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.7
Comments due: May 18, 2017 |
| SR-CBOE-2017-033 | ||
| 34-80462 | Apr. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 11, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-032 | ||
| 34-80443 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program
Comments due: May 9, 2017 |
| SR-CBOE-2017-031 | ||
| 34-80439 | Apr. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections
Comments due: May 9, 2017 |
| SR-CBOE-2017-030 | ||
| 34-80470 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-029 | ||
| 34-80738 | May 22, 2017 | Order Approving a Proposed Rule Change Relating to the Exposure Periods of the Automated Improvement Mechanism and the Solicitation Auction Mechanism |
| 34-80421 | Apr. 10, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism
Comments due: May 5, 2017 |
| SR-CBOE-2017-028 | ||
| 34-80472 | Apr. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: May 12, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-026 | ||
| 34-80387 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew Nonstandard Expirations Pilot Program
Comments due: May 3, 2017 |
| SR-CBOE-2017-025 | ||
| 34-80386 | Apr. 6, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the SPXPM Pilot Program
Comments due: May 3, 2017 |
| SR-CBOE-2017-024 | ||
| 34-80328 | Mar. 29, 2017 | Notice of Filing of a Proposed Rule Change Relating to Reporting Duties
Comments due: April 25, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CBOE-2017-023 | ||
| 34-80422 | Apr. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Obsolete References in the Fees Schedule
Comments due: May 5, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-022 | ||
| 34-80286 | Mar. 21, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MDX Fees Schedule
Comments due: April 17, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-021 | ||
| 34-80264 | Mar. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders
Comments due: April 12, 2017 |
| SR-CBOE-2017-019 | ||
| 34-80926 | Jun. 14, 2017 | Notice of Withdrawal of Proposed Rule Change Related to Complex Orders |
| 34-80609 | May 5, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Complex Orders
See also: Notice: Rel. No. 34-80279 |
| 34-80279 | Mar. 20, 2017 | Notice of Filing of a Proposed Rule Change Related to Complex Orders
Comments due: April 14, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-018 | ||
| 34-80152 | Mar. 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism
Comments due: March 30, 2017 |
| SR-CBOE-2017-017 | ||
| 34-80523 | Apr. 25, 2017 | Order Approving a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation |
| 34-80167 | Mar. 7, 2017 | Notice of Filing of a Proposed Rule Change to Amend the Bylaws and Certificate of Incorporation
Comments due: April 3, 2017 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-CBOE-2017-016 | ||
| 34-80181 | Mar. 8, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections
Comments due: 21 days after publication in the Federal Register |
| SR-CBOE-2017-015 | ||
| 34-80086 | Feb. 22, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: March 20, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-014 | ||
| 34-80385 | Apr. 6, 2017 | Order Approving Proposed Rule Change Related to Rule 24.9(e) |
| 34-80037 | Feb. 14, 2017 | Notice of Filing of a Proposed Rule Change Related to Rule 24.9(e)
Comments due: March 14, 2017 |
| SR-CBOE-2017-012 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79950 | Feb. 2, 2017 | Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail
Comments due: March 1, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-011 | ||
| 34-80003 | Feb. 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: March 8, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-010 | ||
| 34-81065 | Jun. 30, 2017 | Notice of Withdrawal of a Proposed Rule Change Related to Unusual Market Conditions and the Duty to Systemize Non-Electronic Orders Prior to Representation |
| 34-80854 | Jun. 2, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Related to Unusual Market Conditions and the Duty to Systemize Non-Electronic Orders Prior to Representation
Comments due: June 29, 2017 Rebuttal comments due: July 13, 2017 |
| 34-80481 | Apr. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Unusual Market Conditions and the Requirement to Systemize Non-Electronic Orders Prior to Representation |
| 34-80123 | Feb. 28, 2017 | Notice of Filing of a Proposed Rule Change Related to Unusual Market Conditions
Comments due: March 27, 2017 |
| SR-CBOE-2017-008 | ||
| 34-79906 | Jan. 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 27, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-009 | ||
| 34-79981 | Feb. 7, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocation and Priority Rules
Comments due: March 6, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-007 | ||
| 34-79873 | Jan. 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 21, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-004 | ||
| 34-79808 | Jan. 17, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 14, 2017 Additional Materials: Exhibit 5 |
| SR-CBOE-2017-003 | ||
| 34-79816 | Jan. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule
Comments due: February 15, 2017 Additional Materials: Exhibit 5 |