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-2021-068: November 15, 2021; The Exchange proposes to adopt a modified global trading hours holiday schedule.
SR-CBOE-2021-046 Amendment No. 1: November 1, 2021; The Exchange proposes an amendment to SR-CBOE-2021-046.
SR-CBOE-2021-046: August 6, 2021; The Exchange proposes to permit complex orders with all ratios and their legs to trade in pennies.

Approved and Immediately Effective Rule Changes

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SR-CBOE-2021-071: November 26, 2021; Proposal to adopt a Curb Trading Hours session
SR-CBOE-2021-070: November 24, 2021; The Exchange proposes a rule change to extend the temporary remote inspection relief for Trading Permit Holder’s office inspections for calendar years 2020 and 2021 to include calendar year 2022.
SR-CBOE-2021-069: November 19, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-067: November 10, 2021; The Exchange proposes a rule change that adopts a held order instruction, which must be included for an order entrusted to a Floor Broker not be considered “not held” (as is the default).
SR-CBOE-2021-066: November 5, 2021; The Exchange proposes to amend Rule 5.34.
SR-CBOE-2021-065: November 1, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CBOE-2021-064: October 29, 2021; The Exchange proposes to extend the operation of its FLEX Options pilot program regarding permissible exercise settlement values for FLEX Index Options through May 2, 2022.
SR-CBOE-2021-063: October 25, 2021; The Exchange proposes to renew its Nonstandard Expirations Pilot Program until May 2, 2022.
SR-CBOE-2021-062: October 25, 2021; The Exchange proposes to extend the operation of its SPXPM pilot program.
SR-CBOE-2021-061: October 21, 2021; The Exchange proposes to extend the length of its current global trading hours session.
SR-CBOE-2021-060: October 13, 2021; The Exchange proposes to extend the pilot period related to the market-wide circuit breaker in Rule 5.22.
SR-CBOE-2021-059: October 8, 2021; The Exchange proposes to amend Rule 5.54 and Rule 5.55 in connection with a DPM and LMM obligation to submit opening quotes for the RTH session in index options.
SR-CBOE-2021-058: October 7, 2021; The Exchange proposes to amend its Fees Schedule with respect to its Lead Market-Maker Incentive Programs.
SR-CBOE-2021-057: October 1, 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 IWM.
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-2021-041 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-2021-040: 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-2021-029 Amendment No. 3: October 25, 2021; The Exchange proposes a third amendment to SR-CBOE-2021-029.
SR-CBOE-2021-029 Amendment No. 2: October 8, 2021; The Exchange proposes a second amendment to SR-CBOE-2021-029.
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”).
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.