Cboe Options Exchanges Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

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SR-CBOE-2021-013: February 22, 2021; The Exchange proposes to amend Rule 5.52(d) in connection with a Market-Maker’s electronic volume transacted on the Exchange.
SR-CBOE-2020-117: December 23, 2020; The Exchange proposes to amend certain Rules to accommodate the listing and trading of index options with an index multiplier of one.
SR-CBOE-2020-106 Amendment No. 1: November 30, 2020; The Exchange proposes an amendment to SR-CBOE-2020-106.
SR-CBOE-2020-106: November 16, 2020; The Exchange proposes to amend its Rules regarding the minimum increment for electronic bids and offers, as well as the minimum increment for exercise prices, of certain FLEX Options and clarify in the Rules how the System ranks FLEX Option bids and offers for allocation purposes.
SR-CBOE-2020-075 Amendment No. 2: February 2, 2021; The Exchange proposes a second amendment to SR-CBOE-2020-075.
SR-CBOE-2020-075 Amendment No. 1: October 23, 2020; The Exchange proposes an amendment to SR-CBOE-2020-075.
SR-CBOE-2020-075: August 3, 2020; The Exchange proposes to amend Rule 5.70 and Rule 5.72, as well as Rule 5.33, to make Qualified Contingent Cross (“QCC”) Orders available for FLEX trading.

Approved and Immediately Effective Rule Changes

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SR-CBOE-2021-016: March 1, 2021; The Exchange proposes to amend its Fees Schedule to adopt reduced fees for academics for the sale of historical Intraday Open-Close volume data.
SR-CBOE-2021-015: March 1, 2021; The Exchange proposes to update its Fees Schedule in connection with the Exchange’s plans to list and trade options on the Mini-RUT Index (“MRUT” or “Mini-RUT”).
SR-CBOE-2021-014: February 25, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-012: February 22, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-011: February 19, 2021; The Exchange proposes to amend an Exchange Rule relating to Inactive Nominees.
SR-CBOE-2021-010: January 25, 2021; The Exchange proposes to establish a policy relating to billing errors.
SR-CBOE-2021-008: January 19, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-007: January 15, 2021; The Exchange proposes to amend the CAT compliance rule to be consistent with a conditional exemption granted by the SEC from certain allocation reporting requirements.
SR-CBOE-2021-006: January 14, 2021; The Exchange proposes a rule change to amend the definition of “current market value” for purposes of calculating margin requirements for ETF options designated by the Exchange, including SPY.
SR-CBOE-2021-005: January 11, 2021; The Exchange proposes a rule change to adopt an automated process pursuant to which an option will open if it is open for trading on another exchange after a specified amount of time.
SR-CBOE-2021-004: January 14, 2021; The Exchange proposes to amend Rule 5.24.
SR-CBOE-2021-002: January 4, 2021; The Exchange proposes to amend the Silexx trading platform Fees Schedule.
SR-CBOE-2021-001: January 4, 2021; The Exchange proposes to amend its Fees Schedule with respect to expiring fee waivers and incentive programs.