2009 Exchange Regulatory Circulars

File number: RG09-152
Date filed: December 31, 2009
Description:

RG09-152 Temporary Membership Status and Interim Trading Permit Access Fees Effective January 1, 2010

File number: RG09-151
Date filed: December 30, 2009
Description:

RG09-151 Monthly "Fair Value" Settlement of CME Stock Index Futures and Options

File number: RG09-150
Date filed: December 29, 2009
Description:

RG09-150 Regulatory Circular RG08-160 Restrictions on Transactions in Pilgrim's Pride, Inc. ("PPC")

File number: RG09-149
Date filed: December 29, 2009
Description:

RG09-149 Regulatory Circular RG08-152 Restrictions on Transactions in Impac Mortgage Holdings, Inc. (IMH)

File number: RG09-148
Date filed: December 24, 2009
Description:

RG09-148 Professional Orders

File number: RG09-147
Date filed: December 28, 2009
Description:

RG09-147 2010 Liquidity Provider Transaction Fee Sliding Scale, 2010 Firm Proprietary Transaction Fee Sliding Scale and 2010 Fee Changes

File number: RG09-146
Date filed: December 21, 2009
Description:

RG09-146 Prearranged Trades

File number: RG09-145
Date filed: December 18, 2009
Description:

RG09-145 Bid-Ask Differentials

File number: RG09-144
Date filed: December 15, 2009
Description:

RG09-144 Annual Reporting Pursuant to CBOE Rule 9.8 - Supervision of Accounts

File number: RG09-143
Date filed: December 10, 2009
Description:

RG09-143 Seat Transaction Moratorium

File number: RG09-142
Date filed: December 10, 2009
Description:

RG09-142 Restrictions on Transactions in Fairfax Financial Holdings, Ltd. ("FFH")

File number: RG09-141
Date filed: December 4, 2009
Description:

RG09-141 Alternative Margin Treatment Available for Writing Listed Equity Call Options Against Employee Stock Options

File number: RG09-140
Date filed: December 4, 2009
Description:

RG09-140 CMTA Transfer Options Regulatory Fee Indicator

File number: RG09-139
Date filed: December 3, 2009
Description:

RG09-139 Systematizing Orders & COATS Requirements

File number: RG09-138
Date filed: December 2, 2009
Description:

RG09-138 Restrictions on Transactions in Evotec AG (EVTC/WZR)

File number: RG09-137
Date filed: November 30, 2009
Description:

RG09-137 Seat Transaction Moratorium

File number: RG09-136
Date filed: November 30, 2009
Description:

RG09-136 Temporary Membership Status and Interim Trading Permit Access Fees Effective December 1, 2009

File number: RG09-135
Date filed: November 24, 2009
Description:

RG09-135 Restrictions on Transactions in Altus Pharmaceuticals, Inc. ("ALTU")

File number: RG09-134
Date filed: November 23, 2009
Description:

RG09-134 Linkage Implementation - Final Schedule

File number: RG09-133
Date filed: November 23, 2009
Description:

RG09-133 Gratuities Policy - Rule 4.4

File number: RG09-132
Date filed: November 20, 2009
Description:

RG09-132 Update of RG09-097, Margin Requirements for Leveraged ETFs and Uncovered Options on Leveraged ETFs

File number: RG09-131
Date filed: November 19, 2009
Description:

RG09-131 $1 Strikes in LEAPs

File number: RG09-130
Date filed: November 17, 2009
Description:

RG09-130 Maximum Bid-Ask Differentials

File number: RG09-129
Date filed: November 17, 2009
Description:

RG09-129 Relief from Commodity Pool Operator and Commodity Trading Advisor Registration Requirements for Security Futures Trading

File number: RG09-128
Date filed: November 11, 2009
Description:

RG09-128 Continuing Education Firm Element Advisory

File number: RG09-127
Date filed: November 3, 2009
Description:

RG09-127 Bid-Ask Differentials

File number: RG09-126
Date filed: November 2, 2009
Description:

RG09-126 Restrictions on Transactions in CIT Group, Inc. ("CIT")

File number: RG09-125
Date filed: October 30, 2009
Description:

RG09-125 Temporary Membership Status and Interim Trading Permit Access Fees Effective November 1, 2009

File number: RG09-124
Date filed: October 30, 2009
Description:

RG09-124 Linkage Implementation - New Schedule

File number: RG09-123
Date filed: November 6, 2009
Description:

RG09-123 Proposed Rule Change Regarding Professional Orders

File number: RG09-122
Date filed: October 28, 2009
Description:

RG09-122 Supervision of Electronic Communications and Electronic Storage of Records

File number: RG09-121
Date filed: October 28, 2009
Description:

RG09-121 Penny Pilot Expansion - List of 75 Classes to be Added November 2, 2009

File number: RG09-120
Date filed: October 28, 2009
Description:

RG09-120 Amendment to Marketing Fee Program

File number: RG09-119
Date filed: October 26, 2009
Description:

RG09-119 Restrictions on Transactions in Alianz SE ("AZ")

File number: RG09-118
Date filed: October 26, 2009
Description:

RG09-118 Supervisory Obligations of Members Providing Access to Exchange Systems

File number: RG09-117
Date filed: October 26, 2009
Description:

RG09-117 New Linkage Plan - Prohibition of Trade-Throughs

File number: RG09-116
Date filed: October 23, 2009
Description:

RG09-116 Bid-Ask Differentials

File number: RG09-114
Date filed: October 21, 2009
Description:

RG09-114 FLEX Trade Processing Procedures

File number: RG09-113
Date filed: October 16, 2009
Description:

RG09-113 Linkage Implementation Schedule

File number: RG09-112
Date filed: October 13, 2009
Description:

RG09-112 Penny Pilot Extension and Expansion

File number: RG09-111
Date filed: October 13, 2009
Description:

RG09-111 Restrictions on Transactions in Edge Petroleum Corporation ("EPEX")

File number: RG09-110
Date filed: October 8, 2009
Description:

RG09-110 Options Regulatory Fee for Linkage Orders

File number: RG09-109
Date filed: October 1, 2009
Description:

RG09-109 New M & N Order Marking Procedures in Restricted Series Are Now In Effect

File number: RG09-108
Date filed: September 30, 2009
Description:

RG09-108 Temporary Membership Status and Interim Trading Permit Access Fees Effective October 1, 2009

File number: RG09-107
Date filed: September 30, 2009
Description:

RG09-107 CBOEdirect Version 8.1 System Enhancements

File number: RG09-106
Date filed: October 1, 2009
Description:

RG09-106 Linkage Implementation Schedule

File number: RG09-105
Date filed: September 25, 2009
Description:

RG09-105 Systematizing Orders & COATS Requirements

File number: RG09-104
Date filed: September 25, 2009
Description:

RG09-104 Reissue of RG08-172 regarding Clarification on Regular Expiring Exercise Declaration (EED) Procedures for Noncash-Settled Equity Options

File number: RG09-103
Date filed: September 23, 2009
Description:

RG09-103 Delta-Hedge Exemption for Customer is NOT Currently Available

File number: RG09-102
Date filed: September 21, 2009
Description:

RG09-102 $0.50 Strike Program in Equity Option Classes

File number: RG09-101
Date filed: September 18, 2009
Description:

RG09-101 New M & N Order Marking Procedures in Restricted Series

File number: RG09-100
Date filed: September 10, 2009
Description:

RG09-100 Prearranged Trades

File number: RG09-099
Date filed: September 4, 2009
Description:

RG09-099 RELISTED/RESTRICTED SERIES January 2010 7 El Paso, Corp. (EPY)

File number: RG09-098
Date filed: September 2, 2009
Description:

RG09-098 Restrictions Lifted in Federal National Mortgage Association 2011 LEAPS Option Series ("VRW")

File number: RG09-097
Date filed: August 31, 2009
Description:

RG09-097 Margin Requirements for Leveraged ETFs and Uncovered Options on Leveraged ETFs

File number: RG09-096
Date filed: August 31, 2009
Description:

RG09-096 Temporary Membership Status and Interim Trading Permit Access Fees Effective September 1, 2009

File number: RG09-095
Date filed: August 28, 2009
Description:

RG09-095 Modification to Regulatory Fee

File number: RG09-094
Date filed: August 28, 2009
Description:

RG09-094 RESTRICTED SERIES: TYC, USB, CMI, HON, KCQ, YUM, VIP

File number: RG09-093
Date filed: August 28, 2009
Description:

RG09-093 Changes to Minor Rule Violation Plan - Rule 17.50

File number: RG09-092
Date filed: August 28, 2009
Description:

RG09-092 Violations of Trading Conduct and Decorum Policies

File number: RG09-091
Date filed: August 26, 2009
Description:

RG09-091 Restrictions on Transactions in Community Bancorp ("CBON")

File number: RG09-090
Date filed: August 24, 2009
Description:

RG09-090 Blyth, Inc., (BTH)

File number: RG09-089
Date filed: August 24, 2009
Description:

RG09-089 Modification to Regulatory Fee

File number: RG09-088
Date filed: August 21, 2009
Description:

RG09-088 Amendment to the Options Listing Procedures Plan - Limitations on the Listing of New Series

File number: RG09-087
Date filed: August 18, 2009
Description:

RG09-087 Restrictions on Transactions in Colonial BancGroup ("CNB")

File number: RG09-086
Date filed: August 18, 2009
Description:

RG09-086 Tied Hedge Transactions

File number: RG09-085
Date filed: August 17, 2009
Description:

RG09-085 Allocation of 1-5 Lots to Designated Primary Market-Makers

File number: RG09-084
Date filed: August 14, 2009
Description:

RG09-084 New Option Linkage Implementation

File number: RG09-083
Date filed: August 11, 2009
Description:

RG09-083 Short Sales, Temporary Rule 204T of Regulation SHO Now Permanent

File number: RG09-082
Date filed: August 10, 2009
Description:

RG09-082 Regulatory Circular RG08-128 Restrictions Lifted on Transactions in Semiconductor HLDRS ADJUSTED symbol ("WZP")

File number: RG09-081
Date filed: August 17, 2009
Description:

RG09-081 CBOEdirect Version 8.0 System Modifications

File number: RG09-080
Date filed: August 3, 2009
Description:

RG09-080 Restrictions on Transactions in Nissan Motor Co., Ltd. ('NSANY)"

File number: RG09-079
Date filed: July 31, 2009
Description:

RG09-079 Temporary Membership Status and Interim Trading Permit Access Fees Effective August 1, 2009

File number: RG09-078
Date filed: July 27, 2009
Description:

RG09-078 Restrictions on Transactions in Basin Water Inc. ("BWTR/BQG")

File number: RG09-077
Date filed: July 17, 2009
Description:

RG09-077 Electronic Blue Sheet (EBS) Submissions Following the Option Symbology Initiative Implementation

File number: RG09-076
Date filed: July 14, 2009
Description:

RG09-076 Amendment to Marketing Fee Program

File number: RG09-075
Date filed: July 8, 2009
Description:

RG09-075 Hybrid Quote Lock Timer in OEX and XEO

File number: RG09-073
Date filed: July 2, 2009
Description:

RG09-073 Restrictions on Transactions in Lear Corporation ("LEA")

File number: RG09-072
Date filed: June 30, 2009
Description:

RG09-072 Temporary Membership Status and Interim Trading Permit Access Fees Effective July 1, 2009

File number: RG09-071
Date filed: June 26, 2009
Description:

RG09-071 Restriction Lifted in Blue Nile, Inc. (NILE) Option Series

File number: RG09-070
Date filed: June 29, 2009
Description:

RG09-070 Option Symbology Initiative Complaint Large Option Positions Report (LOPR)

File number: RG09-069
Date filed: June 22, 2009
Description:

RG09-069 Minimum Size Requirement for Quotations in Berkshire Hathaway Class B (BRK'B)

File number: RG09-068
Date filed: June 17, 2009
Description:

RG09-068 Trades Below $1

File number: RG09-067
Date filed: June 16, 2009
Description:

RG09-067 Restrictions on Transactions in Gmarket Inc. ("GMKT")

File number: RG09-066
Date filed: June 4, 2009
Description:

RG09-066 Modification to Regulatory Fee

File number: RG09-065
Date filed: June 2, 2009
Description:

RG09-065 Restrictions on Transactions in Bank United Financial Corporation Class A ("BKUNA")

File number: RG09-064
Date filed: June 1, 2009
Description:

RG09-064 Restrictions on Transactions in General Motors (GM/VGN/WGM)

File number: RG09-063
Date filed: June 1, 2009
Description:

RG09-063 Obvious Error Rule Change

File number: RG09-062
Date filed: May 29, 2009
Description:

RG09-062 Temporary Membership Status and Interim Trading Permit Access Fees Effective June 1, 2009

File number: RG09-061
Date filed: May 28, 2009
Description:

RG09-061 Restrictions on Transactions in TXCO Resources, Inc. (TXCO/QOT)

File number: RG09-060
Date filed: May 26, 2009
Description:

RG09-060 Continuing Education Firm Element Advisory

File number: RG09-059
Date filed: May 13, 2009
Description:

RG09-059 Restrictions on Transactions in Noble International, Ltd. ("NOBL/RQH/KGF")

File number: RG09-058
Date filed: May 11, 2009
Description:

RG09-058 Restrictions on Transactions in Hutchison Telecommunications International Ltd. DISTRIBUTION (HTW KIF HXX UZH)

File number: RG09-057
Date filed: April 30, 2009
Description:

RG09-057 Fee Changes Effective May 1, 2009

File number: RG09-056
Date filed: April 30, 2009
Description:

RG09-056 Temporary Membership Status and Interim Trading Permit Access Fees Effective May 1, 2009

File number: RG09-055
Date filed: April 20, 2009
Description:

RG09-055 Eligible Expiration Date and Exercise Settlement Value for FLEX Options on Volatility Indexes

File number: RG09-054
Date filed: April 17, 2009
Description:

RG09-054 Restrictions on Transactions in Six Flags, Inc. (SIX)

File number: RG09-053
Date filed: April 17, 2009
Description:

RG09-053 Restrictions on Transactions in Libbey Inc. (LBY)

File number: RG09-052
Date filed: April 16, 2009
Description:

RG09-052 Restrictions on Transactions in General Growth Properties Inc. (GGP)

File number: RG09-051
Date filed: April 16, 2009
Description:

RG09-051 Restrictions on Transactions in Abitibibowter Inc. (ABH)

File number: RG09-050
Date filed: April 13, 2009
Description:

RG09-050 S&P 100 Index (OEX) Option and the OEX Short Term Options Exercise Procedures

File number: RG09-049
Date filed: April 9, 2009
Description:

RG09-049 Revised - Blue Nile, Inc. (NILE) - Restricted Series (JWU, JAT, WRG and VTM)

File number: RG09-048
Date filed: April 8, 2009
Description:

RG09-048 Elimination of FLEX Expiration Blackout Period

File number: RG09-047
Date filed: April 3, 2009
Description:

RG09-047 Position Transfer Fee/Data Submission Requirement

File number: RG09-046
Date filed: April 3, 2009
Description:

RG09-046 Requirement to Furnish Information, CBOE Rule 17.2(b)

File number: RG09-045
Date filed: April 3, 2009
Description:

RG09-045 Hitting COB with IOC Orders

File number: RG09-044
Date filed: April 1, 2009
Description:

RG09-044 ORS Order Cancellation Fee

File number: RG09-043
Date filed: March 31, 2009
Description:

RG09-043 Market Maker Quoting Obligations for OEX on Hybrid

File number: RG09-042
Date filed: March 31, 2009
Description:

RG09-042 Temporary Membership Status and Interim Trading Permit Access Fees Effective April 1, 2009

File number: RG09-041
Date filed: March 30, 2009
Description:

RG09-041 Restrictions on Transactions in Energy Partners, Ltd. (EPL)

File number: RG09-040
Date filed: March 30, 2009
Description:

RG09-040 Restrictions on Transactions in Aventine Renewable Energy Holdings, Inc. (AVR)

File number: RG09-039
Date filed: March 26, 2009
Description:

RG09-039 Blue Nile, Inc. (NILE) - Restricted Series (JWU, JAT, WRG and VTM)

File number: RG09-038
Date filed: March 27, 2009
Description:

RG09-038 Simple Auction Liaison (SAL) Order Eligibility in SPX

File number: RG09-037
Date filed: March 23, 2009
Description:

RG09-037 Elimination of FLEX Expiration Blackout Period

File number: RG09-036
Date filed: March 18, 2009
Description:

RG09-036 Expansion of $1 Strike Program

File number: RG09-035
Date filed: March 12, 2009
Description:

RG09-035 Compliance with Section 11(a) of the Securities Exchange Act of 1934 and the Rules Thereunder and the Application of Section 11(a) to the Hybrid System

File number: RG09-034
Date filed: March 4, 2009
Description:

RG09-034 Monthly "Fair Value" Settlement of CME Stock Index Futures and Options

File number: RG09-033
Date filed: March 4, 2009
Description:

RG09-033 Restrictions on Transactions in FirstFed Financial Corp. (FED/YYF/VZG)

File number: RG09-032
Date filed: February 27, 2009
Description:

RG09-032 Temporary Membership Status and Interim Trading Permit Access Fees Effective March 1, 2009

File number: RG09-031
Date filed: February 26, 2009
Description:

RG09-031 Margin and Net Capital Requirements for Mini CBOE Volatility Index Futures

File number: RG09-030
Date filed: February 26, 2009
Description:

RG09-030 Modification to Regulatory Fee ? Frequently Asked Questions

File number: RG09-029
Date filed: February 25, 2009
Description:

RG09-029 Obvious Error Rule Change

File number: RG09-028
Date filed: February 24, 2009
Description:

RG09-028 CBOE Direct 7.2 Enhancements

File number: RG09-027
Date filed: February 19, 2009
Description:

RG09-027 Food on the Trading Floor

File number: RG09-026
Date filed: February 19, 2009
Description:

RG09-026 Violations of Trading Conduct and Decorum Policies

File number: RG09-025
Date filed: February 18, 2009
Description:

RG09-025 ILX Service to be replaced by Thomson One

File number: RG09-024
Date filed: February 17, 2009
Description:

RG09-024 Amendments to CBOE Rule 4.21, Third Party Deposits Prohibited

File number: RG09-023
Date filed: February 17, 2009
Description:

RG09-023 Revised Summary Fine Schedule for Position Limit Violations

File number: RG09-022
Date filed: February 13, 2009
Description:

RG09-022 Reasonability Check on VIX Settlement

File number: RG09-021
Date filed: February 12, 2009
Description:

RG09-021 Modification to Regulatory Fee - Frequently Asked Questions

File number: RG09-020
Date filed: February 12, 2009
Description:

RG09-020 Modification to Regulatory Fee

File number: RG09-019
Date filed: February 13, 2009
Description:

RG09-019 Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008

File number: RG09-018
Date filed: February 11, 2009
Description:

RG09-018 Videotaped Submissions to the Business Conduct Committee

File number: RG09-017
Date filed: February 11, 2009
Description:

RG09-017 Year-End Anti-Money Laundering Filing Year-End Focus Reports Both Due March 2, 2009

File number: RG09-016
Date filed: February 4, 2009
Description:

RG09-016 Restrictions on Transactions in Smurfit-Stone Container Corporation (SSCC)

File number: RG09-015
Date filed: February 4, 2009
Description:

RG09-015 $1 Cabinet Trades & Trades Below $1

File number: RG09-014
Date filed: February 4, 2009
Description:

RG09-014 Elimination of $3 Underlying Price Requirement for Listing of Additional Series

File number: RG09-013
Date filed: February 3, 2009
Description:

RG09-013 Fee Reduction for Certain Orders Executed on AIM

File number: RG09-012
Date filed: January 30, 2009
Description:

RG09-012 Temporary Membership Status and Interim Trading Permit Access Fees Effective February 1, 2009

File number: RG09-011
Date filed: January 30, 2009
Description:

RG09-011 New Options Regulatory Fee - Waived for February 2009

File number: RG09-010
Date filed: January 22, 2009
Description:

RG09-010 Restricted Series - Certain Feb 09 Option Series in the Financial Select Sector SPDR (XLF/XJZ)

File number: RG09-009
Date filed: January 20, 2009
Description:

RG09-009 S&P 100 Index (OEX) Option and the OEX Short Term Options Exercise Procedures

File number: RG09-008
Date filed: January 16, 2009
Description:

RG09-008 Restrictions on Transactions in ArthroCare Corporation (ARTC)

File number: RG09-007
Date filed: January 15, 2009
Description:

RG09-007 Market Maker In-Person Requirements in Hybrid 3.0 Classes (SPX)

File number: RG09-006
Date filed: January 8, 2009
Description:

RG09-006 Summary of 2008 Year-End Regulatory Reporting Requirements

File number: RG09-005
Date filed: January 5, 2009
Description:

RG09-005 Restrictions on Transactions in Fleetwood Enterprises, Inc. (FLE)

File number: RG09-004
Date filed: January 2, 2009
Description:

RG09-004 Restrictions on Transactions in R. H. Donnelly Corp. (RHD/YFH)

File number: RG09-003
Date filed: January 2, 2009
Description:

RG09-003 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20): Annual Requirements for Previous Filers Meeting Certain Conditions

File number: RG09-002
Date filed: January 2, 2009
Description:

RG09-002 FOCUS REPORT (Form X-17A-5) 2008 Year-End Filing Due MARCH 2, 2009

File number: RG09-001
Date filed: January 2, 2009
Description:

RG09-001 Anti-Money Laundering ("AML") Compliance Program (CBOE Rule 4.20)