CBOE Legal and Regulatory Information

CBOE Corporate Documents and Rules

C2 Legal & Regulatory

CBOE Rule Filings

Circulars

Regulatory Circulars
Information Circulars

Compliance Highlights

Exchange & Regulatory Bulletins

Regulatory Data Formats

Regulatory Independence Policies

CBOE Holdings Regulatory Independence Policy for Non-Regulatory Group Personnel
CBOE Holdings Regulatory Independence Policy for Regulatory Group Personnel

Regulation SHO

National Market System Plans

View various NMS Plans

Disciplinary Information

Disciplinary Actions
Disciplinary Process Information for Customers
Disciplinary Process Information for Members

Arbitration

Click here for various types of arbitration documents such as guidelines for initiating an arbitration claim, claim forms, answer forms, uniform submission agreements, arbitration procedures and rules, lawyer referral services, and more.

Comment Letters

CBOE Comment Letters
Select SEC Letters to CBOE and SEC Releases

Departmental Overviews

Click here for an overview of the following Departments: Designated Primary Market-Maker (DPM) Administration, Information Access and Development, Market Quality Assurance, Market Regulation, Member Firm Regulation, Membership, Regulated Entities, Regulatory Liaison, and Regulatory Planning and Strategy.

Comment/Complaint Forms

Click here to access CBOE's Member and/or Investor Comment/Complaint Forms.

If you need assistance, please e-mail the appropriate parties in the Contact CBOE form.