Exchange. Bulletin. April 20, 2012 Volume 40, Number 16 TRADING PERMIT INFORMATION FOR 04/12/2012 THROUGH 04/18/2012
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1 Exchange April 20, 2012 Volume 40, Number 16 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange Trading Permit Holders. To satisfy this requirement, a copy of the Exchange Bulletin, including the Regulatory Bulletin, is delivered by or by hard copy free of charge to all effective Trading Permit Holders on a weekly basis. Trading Permit Holders are encouraged to receive the Exchange and Regulatory Bulletin and Information Circulars via . subscriptions may be obtained by Trading Permit Holders by submitting your name, firm if applicable, address, and phone number, to registration@cboe.com. If you do sign up for delivery, please remember to inform the Registration Services Department of address changes. Subscriptions by Trading Permit Holders for hard copy delivery may be obtained by submitting your name, firm if any, mailing address and telephone number to: Chicago Board Options Exchange, Registration Services Department, 400 South LaSalle, Chicago, Illinois 60605, Attention: Bulletin Subscriptions. Copyright 2012 Chicago Board Options Exchange, Incorporated TRADING PERMIT INFORMATION FOR 04/12/2012 THROUGH 04/18/2012 TRADING PERMIT APPLICATIONS RECEIVED FOR WHICH BULLETIN PUBLICATION IS REQUIRED TPH Organization Applicants BFSK LLC David L. Burkemper, Nominee Jeffrey K. Falkner, Nominee Michael A. Favia, Nominee David A. Scatena, Nominee 440 S. LaSalle St., Suite 3600 Chicago, IL Burkemper, David L. - Member Falkner, Jeffery K. - Member Kernan, I. Patrick - Managing Member WSP Commodity Trading LLC - Managing Member Patzik, Gary B. - Managing Member Wolfson, Jeffrey A. - Managing Member Scatena, David A. - Member TERMINATIONS Individuals Nominee: Termination Date Ted M Piotrowski (PIO) 4/13/12 Ronin Capital LLC James R. Perkins (LJP) 4/13/12 Ronin Capital LLC
2 Page 2 April 20, 2012 Volume 40, Number 16 Chicago Board Options Exchange RESEARCH CIRCULARS The following Research Circulars were distributed between April 18 and April 19, If you wish to read the entire document, please refer to the CBOE website at and click on the Trading Tools Tab. New listings and series information is also available in the Trading Tools section of the website. For questions regarding information discussed in a Research Circular, please call The Options Clearing Corporation at OPTIONS. Research Circular #RS April 18, 2012 Ecopetrol S.A. ( EC ) CONTRACT ADJUSTMENT FOR EXTRAORDINARY CASH DIVIDEND Ex-Date: April 19, 2012 Research Circular #RS April 18, 2012 TIM Participacoes S.A. ( TSU ) CONTRACT ADJUSTMENT FOR COMPLEMENTARY CASH DIVIDEND Ex-Date: April 19, 2012 Research Circular #RS April 19, 2012 Advance America, Cash Advance Centers, Inc. ( AEA ) Proposed Merger with Grupo Elektra S.A. de C.V. Research Circular #RS April 19, 2012 China Real Estate Information Corporation ( CRIC ) Proposed Merger with E-House (China) Holdings Limited ( EJ ) Research Circular #RS April 19, 2012 Midas, Inc. ( MDS ) Tender Offer by Gearshift Merger Corp.
3 April 20, 2012 Volume RB23, Number 16 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Trading Permit Holders. The weekly Regulatory Bulletin is delivered to all effective Trading Permit Holders to satisfy this requirement. Copyright 2012 Chicago Board Options Exchange, Incorporated. REGULATORY CIRCULARS Regulatory Circular RG DATE: April 13, 2012 TO: FROM: RE: Trading Permit Holders Business Development Operational Systems Settings on Volatility Index Product Settlement Days This circular updates Regulatory Circular RG The only change is to adjust the SPX OEPWs on volatility index product final settlement days. All other opening settings remain unchanged and are provided below for convenience. On the days when CBOE option series opening prices are used to determine the exercise settlement value for volatility index products, CBOE will modify certain operational systems settings for the option classes used to determine the exercise settlement value for that trading day only. 1 On all other trading days, these operational settings will return to the standard levels as detailed in regulatory circulars referenced below. 1 See CBOE Rule 24.9(a)(5). The exercise settlement final value for volatility index products is determined on the Wednesday that is thirty days prior to the third Friday of the calendar month immediately following the month in which the applicable volatility index product expires. If the third Friday of the month subsequent to expiration of the applicable volatility index product is a CBOE holiday, the exercise settlement value shall be calculated on the business day that is thirty days prior to the CBOE business day immediately preceding that Friday. April 20, 2012 Volume RB23, Number 16 1
4 Opening Process For CBOE Volatility Index (VIX Index) settlements (no change): On VIX Index final settlement days, the SPX options class will continue to use the modified Hybrid Opening System (HOSS) process (for a description of modified HOSS process, see RG Description of Procedures for the Modified HOSS Opening on Volatility Index Options and Futures Contract Settlement Days). See also CBOE Regulatory Circular RG (Cut-Off Time for Submission of Strategy Orders for Participation in SPX Modified HOSS Opening Procedure). On all other trading days, SPX options will continue to use the regular HOSS process. For all other volatility index settlements (new): On all other volatility index final settlement days, option classes that are used to determine the exercise settlement value will use the regular HOSS process. See generally CFE Information Circular IC12-04 (Volatility Index Futures and Security Futures Settlement). On all other trading days, the option classes will continue to use the Hybrid Agency Liaison Opening (HAL-O) process (for a description of the HAL-O process, see Regulatory Circular RG08-101). Pre-Open Reasonability Checks Currently limit orders entered pre-open that are overly marketable when compared to the previous days closing price are routed to the firm s designated booth order management terminal (see RG12-047). Market Maker (M) origin and Away Market Maker (N) origin orders are excluded from these pre-open reasonability checks. On the final settlement days for volatility index products, orders routed prior to the opening in option classes that are used to determine the final monthly settlement value price will not be subject to the pre-open reasonability check. The reasonability check will be reactivated shortly after the opening. Opening Exchange Prescribed Width (OEPW) Under the opening process, options series will not open if the opening price is not within an acceptable price range. The calculation for the acceptable price range will be the midpoint of the highest quote bid and lowest quote offer plus/minus half of the OEPW. The OEPW settings will be set as follows: SPX Non-SPX Volatility Index Products Bid Price Final Settlement Non-Final Final Non-Final Day Settlement Days Settlement Day Settlement Days > = * * * * * April 20, 2012 Volume RB23, Number 16 2
5 Questions regarding this circular may be directed to: Anthony Montesano (312) , or CBOE Help Desk at (866) or Regulatory Circular RG To: From: Trading Permit Holders and TPH Organizations Regulatory Services Division Date: April 13, 2012 Re: Continuing Education Firm Element Advisory The Securities Industry/Regulatory Council on Continuing Education ( Council ) publishes a Firm Element Advisory ( FEA ), as a guide for Trading Permit Holders and TPH Organizations to utilize when developing their continuing education Firm Element Training for covered registered persons and their supervisors. The Council has updated the FEA for firms to use in identifying topics to include in their Firm Element Training. Topics added to the FEA since the prior publications have been identified as such. FEA topics are not exhaustive and are intended for consideration for inclusion in training plans by firms. Each firm should consider whether a FEA topic is relevant, bearing in mind the specific nature of their business, clients, products and services. The updated FEA, as well as previous editions, can be accessed on the Council's website at Questions concerning this Regulatory Circular may be directed to the Regulatory Interpretations and Guidance Line at Replaces Regulatory Circular RG April 20, 2012 Volume RB23, Number 16 3
6 Regulatory Circular RG DATE: April 16, 2012 FROM: RE: Market Operations Department Restrictions on Transactions in Reddy Ice Holdings, Inc. ( RDDY ) Effective April 16, 2012, Reddy Ice Holdings, Inc. ( RDDY ) underlying symbol will change to RDDYQ. Trading in ( RDDY ) will commence on the Other OTC market under the symbol RDDYQ. Trading on the CBOE in existing series of RDDYQ options will be subject to the following restrictions. Only closing transactions may be affected in any series of RDDYQ options except for (i) opening transactions by Market-Makers executed to accommodate closing transactions of other market participants and (ii) opening transactions by CBOE TPH organizations to facilitate the closing transactions of public customers executed as crosses pursuant to and in accordance with CBOE Rule 6.74(b) or (d). The execution of opening transactions in RDDYQ options, except as permitted above, and/or the misrepresentation as to whether an order is opening or closing, will constitute a violation of CBOE rules, and may result in disciplinary action. TPH organizations should ensure that they have appropriate procedures in place to prevent their customers from entering opening orders in this restricted option class. In addition, transactions in contravention of this restriction may be subject to nullification pursuant to Exchange Rule There are no restrictions in place with respect to the exercise of RDDYQ options. Any questions regarding this circular may be directed to Kerry Winters at (312) or the Regulatory Interpretations and Guidance team by telephone at (312) or by at RegInterps@cboe.com. CBOE restricted class memos can be accessed from CBOE.org at the following web address: April 20, 2012 Volume RB23, Number 16 4
7 BUSINESS CONDUCT COMMITTEE DECISIONS At its meeting on April 4, 2012 the Business Conduct Committee ( BCC ) resolved the following disciplinary matters by accepting four Offers of Settlement and two Letters of Consent, in which the Respondents and Subjects, respectively, consent to stipulations of facts and findings as detailed below without admitting or denying that Exchange Rules had been violated. In the Matter of Maryann Tesinsky, File No (Offer of Settlement, Decision issued April 12, 2012). Maryann Tesinsky, a former Associated Person of Electronic Brokerage Systems, LLC, a CBSX Permit Holder, was censured and fined $75,000. In addition, the BCC ordered an undertaking for Tesinsky to attend and successfully complete an Ethics course acceptable to the Office of Enforcement within 90 days from the issuance of the Decision. Tesinsky failed to: (i) execute the stock component of a QCT at or near the same time as related to the option component time of execution for at least 2,785 QCT orders, (ii) properly document numerous order tickets by failing to identify the option component as prescribed by the Exchange; (iii) produce documents on a timely basis in response to numerous Exchange requests for such documents, thereby impeding and delaying the Exchange s investigation and (iv) establish and maintain adequate supervisory procedures to ensure that EBS personnel complied with the conduct as described above. (CBOE Rules 4.1, 4.2, 15.1, 17.2(b), 52.7 and Section 17(a) of the Act Rule 17a-3 and Regulation NMS under the Act and Rule 611(d)). In the Matter of Coastal Trade Securities, L.L.C., File No (Offer of Settlement, Decision issued April 12, 2012). Coastal Trade Securities, L.L.C., a CBSX Permit Holder, was censured and fined $25,000 for the following conduct: failed to: (i) obtain and review outside brokerage account statements for 283 of 954 accounts disclosed by 77 associated persons, or 30%; (ii) evidence the date of review for personal brokerage account statements that were evidenced to have been reviewed; and (iii) failed to evidence review of approximately 10 personal brokerage account statements and (iv) have an adequate aggregation unit plan that met all of the requirements set forth in Rule 200(f). (CBOE Rules 4.2, 4.18, 15.1 and Section 15(f) of the Act and Section 17(a) of the Act and Rules 17a-3 and 17a-4 thereunder; and Regulation SHO of the Act and Rule 200(f)). In the Matter of Andrew W. Smyth Jr. and Sparta Group of Chicago, L.P. File No (Offer of Settlement, Decision issued April 12, 2012). Sparta Group of Chicago, L.P., a TPH organization and Andrew W. Smyth Jr., a Trading Permit Holder and nominee of Sparta, were each censured and jointly and severally fined $50,000. In addition, the BCC ordered that Smyth be suspended for two consecutive weeks from holding an Exchange Trading Permit and from association with any Exchange Trading Permit Holder or TPH organization, provided that during this suspension, Smyth may enter closing options orders only from off of the Exchange floor within the limits of CBOE Rule 8.7. Smyth caused several market quotations in VIX option series to be unduly changed by making the last reported bids and/or offers that did not reflect the true state of the market of those series. As a result of the above last reported bids and/or offers, the net liquidating equity in Smyth's Market-Maker account was increased. In addition, Sparta failed to establish and maintain adequate supervisory procedures to prevent its nominee from engaging in the conduct described above. (CBOE Rules 4.1, 4.2, 4.7 and 8.7(a)). In the Matter of Jag Trading, LLC and Craig Bauer; File No (Offer of Settlement, Decision issued April 12, 2012). April 20, 2012 Volume RB23, Number 16 5
8 Jag Trading, a CBSX Permit Holder and Craig Bauer an Associated Person of Jag and its Managing Member, were each censured and jointly and severally fined $10,000 for the following conduct. Jag Trading entered numerous buy and sell orders that traded against each other, resulting in 33 transactions with no change in beneficial ownership and that Jag Trading and Bauer failed to have adequate supervisory procedures in place to detect and prevent Jag Trading s transactions with no change in beneficial ownership. (CBOE Rules 4.1 and 4.2). In the Matter of Diligentia Capital, LLC; File No (Letter of Consent, Decision issued April 12, 2012). Diligentia Capital, LLC, a CBOE Trading Permit Holder, was censured and fined $30,000 for the following conduct. Diligentia effected numerous transactions through the use of orders resulting in the receipt of preferential market-maker treatment where Diligentia was not entitled to such treatment. In addition, Diligentia electronically submitted orders to trade with the electronic book, without an appointment in the subject class and Diligentia failed to adequately supervise to ensure compliance for the conduct described above. (CBOE Rules 4.2, 6.45B, 8.1 and 8.3 and Federal Reserve Board Regulation X). In the Matter of MNR Executions, LLC; File No (Letter of Consent, Decision issued April 12, 2012). MNR Executions, LLC, a CBOE Trading Permit Holder, was censured and fined $5,000 for the following conduct. MNR failed to notify its customers prior to the execution of three orders processed through the AON-AIM mechanism. i (CBOE Rules 4.1 and 6.74B.02). i Pursuant to Exchange Rule 6.74B.02 required that prior to entering Agency Orders into the Auction on behalf of customers, Initiating Trading Permit Holders must deliver to the customer a written notification informing the customer that his order may be executed using the Exchange's Auction. The written notification must disclose the terms and conditions contained in this Rule 6.74B and be in a form approved by the Exchange. April 20, 2012 Volume RB23, Number 16 6
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