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-2021-046: August 6, 2021; The Exchange proposes to permit complex orders with all ratios and their legs to trade in pennies.
SR-CBOE-2021-041 Amendment No. 2: September 22, 2021; The Exchange proposes a second amendment to SR-CBOE-2021-041.
SR-CBOE-2021-041: July 23, 2021; The Exchange proposes to amend certain Rules to accommodate the listing and trading of Micro FLEX Index Options and to make other clarifying and nonsubstantive changes.
SR-CBOE-2021-029 Amendment No. 1: July 27, 2021; The Exchange proposes an amendment to SR-CBOE-2021-029.
SR-CBOE-2021-029: April 21, 2021; The Exchange proposes to increase position limits for options on certain exchange-traded funds (“ETFs”) and exchange-traded notes (“ETNs”).

Approved and Immediately Effective Rule Changes

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SR-CBOE-2021-055: September 22, 2021; The Exchange proposes to amend Rule 4.13 to allow it to list up to 12 standard monthly expirations for certain index options.
SR-CBOE-2021-054: September 16, 2021; The Exchange proposes to make certain corrections and other clarifying changes to the Rules.
SR-CBOE-2021-053: September 9, 2021; The Exchange proposes to amend Rule 5.5(c) and Rule 5.6(d) in connection with Time-in-Force instructions available for bulk messages.
SR-CBOE-2021-052: September 2, 2021; The Exchange proposes to amend Rule 5.32 in connection with participation entitlements.
SR-CBOE-2021-051: September 2, 2021; The Exchange proposes to amend Rule 5.52 in connection with the minimum initial quote size requirement for Market-Makers.
SR-CBOE-2021-050: September 1, 2021; The Exchange proposes to amend its Fees Schedule with respect to its Lead Market-Maker Incentive Programs.
SR-CBOE-2021-049: August 17, 2021; The Exchange proposes to amend its Fees Schedule with respect to its strategy fee cap.
SR-CBOE-2021-048: August 12, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-047: August 10, 2021; The Exchange proposes to make nonsubstantive changes to the complex order rule to clarify certain items and harmonize with C2 and EDGX.
SR-CBOE-2021-045: August 3, 2021; The Exchange proposes to amend Rule 13.15, which governs the Exchange’s Minor Rule Violation Plan, in connection with certain minor rule violations, applicable fines, as well as other clarifying, nonsubstantive changes.
SR-CBOE-2021-044: August 2, 2021; The Exchange proposes to amend its Fees Schedule relating to the Options Regulatory Fee.
SR-CBOE-2021-043: July 22, 2021; The Exchange proposes to amend Rules 3.31, 3.34 and 3.33.
SR-CBOE-2021-042: July 16, 2021; The Exchange proposes to enhance and clarify its Price Adjust process and modify the bulk message fat finger check.
SR-CBOE-2021-040: July 8, 2021; The Exchange proposes to amend its rules relating to trading halts during the Global Trading Hours session.
SR-CBOE-2021-039: July 1, 2021; The Exchange proposes to amend the Fees Schedule with respect to certain fees related to Qualified Contingent Cross orders and the Clearing Trading Permit Holder (“TPH”) Fee Cap.
SR-CBOE-2021-038: June 1, 2021; The Exchange proposes to amend its Fees Schedule relating to the sale of historical Intraday Open-Close volume data.
SR-CBOE-2021-037: June 1, 2021; The Exchange proposes to amend its Fees Schedule to adopt a new Floor Broker incentive program and to make a clarifying change to the definition of facilitation orders.
SR-CBOE-2021-036: May 25, 2021; The Exchange proposes to amend its Rules in connection with the number of legs of a complex order that may be entered on a single order ticket at the time of systemization.
SR-CBOE-2021-035: May 21, 2021; The Exchange proposes to amend the Silexx trading platform Fees Schedule.
SR-CBOE-2021-034: May 20, 2021; The Exchange proposes to amend Rule 3.54 and Rule 3.10.
SR-CBOE-2021-031: April 22, 2021; The Exchange proposes to extend the operation of its Flexible Exchange Options (“FLEX Options”) pilot program regarding permissible exercise settlement values for FLEX Index Options.
SR-CBOE-2021-030: April 21, 2021; The Exchange proposes to adopt a Consolidated Audit Trail (CAT) Fee Schedule.
SR-CBOE-2021-028: April 21, 2021; The Exchange proposes to amend Rule 4.5(d) to allow Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on the Invesco QQQ Trust (“QQQ”).
SR-CBOE-2021-027: April 16, 2021; The Exchange proposes to extend the operation of its SPXPM pilot program.
SR-CBOE-2021-026: April 16, 2021; The Exchange proposes to renew an existing pilot program until November 1, 2021.
SR-CBOE-2021-025 Amendment No. 1: June 8, 2021; The Exchange proposes an amendment to SR-CBOE-2021-025.
SR-CBOE-2021-025: April 14, 2021; The Exchange proposes to amend Rule 5.37 and Rule 5.38 in connection with allocations at the conclusion of the Exchange’s Automated Improvement Mechanism (“AIM”) and Complex AIM (“C-AIM”) auctions.
SR-CBOE-2021-024: April 12, 2021; The Exchange proposes to amend its automated price improvement auction rule.
SR-CBOE-2021-023 Amendment No. 1: July 28, 2021; The Exchange proposes an amendment to SR-CBOE-2021-023.
SR-CBOE-2021-023: April 16, 2021; The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CBOE-2021-022: April 5, 2021; The Exchange proposes to amend its rules relating to categories of registration and respective qualification examinations required for TPHs and associated persons.
SR-CBOE-2021-021: April 1, 2021; The Exchange proposes to amend its Fees Schedule to adopt reduced permit fees for new Floor Brokers.
SR-CBOE-2021-020 Amendment No. 1: July 9, 2021; The Exchange proposes an amendment to SR-CBOE-2021-020.
SR-CBOE-2021-020: March 24, 2021; The Exchange proposes to adopt Rule 6.10.
SR-CBOE-2021-019: March 19, 2021; The Exchange proposes to amend its Rules in connection with limiting the number of strikes listed for Short Term Options Series which are available for quoting and trading on the Exchange.
SR-CBOE-2021-018: March 17, 2021; The Exchange proposes to amend Rule 5.34 in connection with its fat finger check in connection with Multi-Class Spread Orders.
SR-CBOE-2021-017: March 12, 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-2021-013: 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-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.