2018 Exchange Regulatory Circulars

File number: RG18-050
Date filed: December 27, 2018
Description:

RG18-050 Prearranged Trades

File number: RG18-049
Date filed: December 21, 2018
Description:

RG18-049 Bid-Ask Differentials for TLRY

File number: RG18-048
Date filed: December 20, 2018
Description:

RG18-048 Modification of the Options Regulatory Fee

File number: RG18-047
Date filed: December 6, 2018
Description:

RG18-047 Nomination of Representative Directors for Election at 2019 Annual Meeting

File number: RG18-046
Date filed: December 4, 2018
Description:

RG18-046 Historical Web-Based Surveillance Reports No Longer Available

File number: RG18-045
Date filed: December 3, 2018
Description:

RG18-045 Changes to Contrary Exercise Advice Cut-Off Time for National Day of Mourning - Updated

File number: RG18-044
Date filed: November 20, 2018
Description:

RG18-044 CAT Reporting Requirements Presentation Schedule and Registration Information

File number: RG18-043
Date filed: November 2, 2018
Description:

RG18-043 New Report Cards Hosted on FINRA Report Center

File number: RG18-042
Date filed: October 31, 2018
Description:

RG18-042 Consolidated Audit Trail Industry Member Technical Specifications - Updated

File number: RG18-041
Date filed: October 29, 2018
Description:

RG18-041 Bid-Ask Differentials for TLRY

File number: RG18-040
Date filed: October 26, 2018
Description:

RG18-040 On-Floor and Off-Floor Position Transfers - Effective Date of Recently Approved Changes to Rule 6.49A Delayed Pending SEC Review

File number: RG18-039
Date filed: October 19, 2018
Description:

RG18-039 On-Floor and Off-Floor Position Transfers

File number: RG18-038
Date filed: October 16, 2018
Description:

RG18-038 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Derivatives and Risk Inherent in Settlement Procedure

File number: RG18-037
Date filed: October 16, 2018
Description:

RG18-037 Approved Changes to Modified Opening Procedure for Series Used to Calculate the Exercise or Final Settlement Value of Expiring Volatility Index Derivatives

File number: RG18-036
Date filed: October 8, 2018
Description:

RG18-036 Pending Changes to Modified Opening Procedure for Series Used to Calculate the Exercise or Final Settlement Value of Expiring Volatility Index Derivatives

File number: RG18-035
Date filed: September 25, 2018
Description:

RG 18-035 SEC Staff Issues Guidance on Third-Party Recordkeeping Services

File number: RG18-034
Date filed: September 21, 2018
Description:

RG18-034 Give Up Changes Made by Executing Trading Permit Holders

File number: RG18-033
Date filed: September 20, 2018
Description:

RG18-033 Bid-Ask Differentials for TLRY

File number: RG18-032
Date filed: September 19, 2018
Description:

RG18-032 Securities Industry Essentials Examination

File number: RG18-031
Date filed: September 11, 2018
Description:

RG18-031 Enhancements under Consideration for the Securities Industry Continuing Education Program

File number: RG18-030
Date filed: September 5, 2018
Description:

RG18-030 Consolidated Audit Trail Industry Member Technical Specifications

File number: RG18-029
Date filed: September 5, 2018
Description:

RG18-029 Qualified Contingent Cross Reporting to the Regulatory Division

File number: RG18-028
Date filed: August 24, 2018
Description:

RG18-028 Solicited Transactions

File number: RG18-027
Date filed: August 14, 2018
Description:

RG18-027 FLEX Conversion

File number: RG18-026
Date filed: August 8, 2018
Description:

RG18-026 Consolidated Audit Trail Webcast Alert

File number: RG18-025
Date filed: July 19, 2018
Description:

RG18-025 Mandatory Participation in Disaster Recovery Testing

File number: RG18-024
Date filed: July 12, 2018
Description:

RG18-024 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminders Change in Reminder Method

File number: RG18-023
Date filed: July 11, 2018
Description:

RG18-023 Prearranged Trades

File number: RG18-022
Date filed: July 6, 2018
Description:

RG18-022 Rule Filing Submitted to Amend Definition of Strategy Order and Incorporating Exclusion from Strategy Order Cut-Off Time for Bona Fide Market-Making - Process for Submission of Procedures

File number: RG18-021
Date filed: July 3, 2018
Description:

RG18-021 Position and Exercise Limit Increases for Options on Certain Exchange Traded Funds and Resumption of SPY Position and Exercise Limits

File number: RG18-020
Date filed: July 2, 2018
Description:

RG18-020 Decrease in the Options Regulatory Fee

File number: RG18-019
Date filed: June 19, 2018
Description:

RG18-019 Rule Filing Submitted to Amend Definition of Strategy Order and Incorporate Exclusion from Strategy Order Cut-Off Time for Bona Fide Market-Making Purposes

File number: RG18-018
Date filed: June 15, 2018
Description:

RG18-018 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Derivatives and Risk Inherent in Settlement Procedure

File number: RG18-017
Date filed: June 15, 2018
Description:

RG18-017 Quarterly Rebalancing Appointment Weight Correction

File number: RG18-016
Date filed: June 13, 2018
Description:

RG18-016 New Report Card - Market-Makers Resting in COB

File number: RG18-015
Date filed: May 14, 2018
Description:

RG18-015 Modified HOSS Opening Procedures and Special Opening Quotation and Settlement Methodology for Volatility Index Derivatives and Risk Inherent in Settlement Procedure

File number: RG18-014
Date filed: April 12, 2018
Description:

RG18-014 Bid-Ask Differential, Initial Quote Size, and Continuous Quoting Requirements for SPX Options Trading on the Hybrid Trading Platform CORRECTION TO RG18-012 CHART 1

File number: RG18-013
Date filed: April 10, 2018
Description:

RG18-013 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG18-012
Date filed: April 10, 2018
Description:

RG18-012 Bid-Ask Differential, Initial Quote Size, and Continuous Quoting Requirements for SPX Options Trading on the Hybrid

File number: RG18-011
Date filed: March 28, 2018
Description:

RG18-011 April 2, 2018 Effective Date for Changes to Market-Maker Continuous Electronic Quoting Obligation

File number: RG18-010
Date filed: March 12, 2018
Description:

RG18-010 Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RG18-009
Date filed: March 6, 2018
Description:

RG18-009 Bid-Ask Differentials and Initial Quote Size for SPX Options Trading on the Hybrid Trading Platform

File number: RG18-008
Date filed: March 6, 2018
Description:

RG18-008 Proposed Changes to Market-Maker Continuous Electronic Quoting Obligations

File number: RG18-007
Date filed: March 2, 2018
Description:

RG18-007 Email Notification of Cboe Options and C2 Options Regulatory Circulars

File number: RG18-006
Date filed: February 14, 2018
Description:

RG18-006 Reminder: 2017 Year-End Filing Due March 1, 2018 - Form OE-418 and Attachments

File number: RG18-005
Date filed: February 14, 2018
Description:

RG18-005 Annual Supervision-Related Reporting Pursuant to Cboe/C2 Options Rules 4.24 and 9.8

File number: RG18-004
Date filed: February 14, 2018
Description:

RG18-004 Anti-Money Laundering Compliance Program - Customer Due Diligence Requirements and Filing Requirements for Certain Trading Permit Holders

File number: RG18-003
Date filed: February 14, 2018
Description:

RG18-003 Filing of Annual Audits

File number: RG18-002
Date filed: January 17, 2018
Description:

RG18-002 Quarterly Rebalance of Option Class Tiers and Online Appointment System Reminder

File number: RG18-001
Date filed: January 2, 2018
Description:

RG18-001 Restrictions on Transactions in Banro Corp (BAA)