Exchange. Bulletin. January 20, 2012 Volume 40, Number 3 TRADING PERMIT INFORMATION FOR 01/12/2012 THROUGH 01/18/2012
|
|
- Evelyn Atkins
- 5 years ago
- Views:
Transcription
1 Exchange January 20, 2012 Volume 40, Number 3 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incpated ( 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 Regulaty Bulletin, is delivered by 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 Regulaty Bulletin and Infmation 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 f delivery, please remember to infm the Registration Services Department of address changes. Subscriptions by Trading Permit Holders f 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, Incpated TRADING PERMIT INFORMATION FOR 01/12/2012 THROUGH 01/18/2012 TRADING PERMIT APPLICATIONS RECEIVED FOR WHICH BULLETIN PUBLICATION IS REQUIRE Individual Applicant Brian M. Hagemann CMZ Trading LLC th Ave. Elmwood Park, IL TERMINATION Individual Nominee: Termination Date Brian A. Zielinski (BZN) 1/18/12 Ronin Capital LLC EFFECTIVE TRADING PERMIT HOLDERS Individuals Nominees: Effective Date John T Boyle (JTB) 1/12/12 Newedge USA LLC Type of Business to be Conducted: Flo Broker Ranjit Sood (RON) 1/17/12 Belvedere Trading LLC Type of Business to be Conducted: Market Maker
2 Page 2 January 20, 2012 Volume 40, Number 3 Chicago Board Options Exchange RESEARCH CIRCULARS The following Research Circulars were distributed between January 13 and January 20, 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 infmation is also available in the Trading Tools section of the website. F questions regarding infmation discussed in a Research Circular, please call The Options Clearing Cpation at OPTIONS. Research Circular #RS January 13, Only Stes ("NDN") Merger COMPLETED with Number Holdings, Inc. Research Circular #RS January 17, 2012 SonoSite, Inc. ( SONO ) Tender Offer by Salmon Acquisition Cpation Research Circular #RS January 17, 2012 Inhibitex, Inc. ( INHX ) Tender Offer by Inta Acquisition Cpation Research Circular #RS January 17, 2012 Pharmasset, Inc. ( VRUS ): Merger Completed -- Cash Settlement Research Circular #RS January 18, 2012 Cantel Medical Cp. ( CMN ) 3-f-2 Stock Split Ex-Distribution Date: February 2, 2012 Research Circular #RS January 18, 2012 Hanmi Financial Cpation ( HAFCD/HAFC1 ) Underlying Symbol Change to HAFC Effective Date: January 18, 2012 Research Circular #RS January 18, 2012 Trident Microsystems, Inc. ( TRID ) Change in Marketplace and Underlying Symbol Change/Option Symbol Change to TRIDQ Research Circular #RS January 19, 2012 Eastman Kodak Company ( EK ) Change in Marketplace and Underlying Symbol Change/Option Symbol Change to EKDKQ Research Circular #C2-RS January 19, 2012 Eastman Kodak Company ( EK ) Change in Marketplace and Underlying Symbol Change/Option Symbol Change to EKDKQ Research Circular #RS January 19, 2012 PharMerica Cpation ( PMC ) Tender Offer FURTHER EXTENDED by Philadelphia Acquisition Sub, Inc. Research Circular #RS January 19, 2012 Permit Holders SuccessFacts, Inc. ( SFSF ) Tender Offer EXTENDED by Saturn Expansion Cpation Research Circular #RS January 19, 2012 China Sunergy Co., Ltd. ( CSUND/CSUN1 ) ADS Symbol Change to CSUN Effective Date: January 20, 2012 Research Circular #RS January 20, 2012 *****UPDATE*****UPDATE*****UPDATE***** Telephone and Data Systems, Inc. ( TDS ) Share Consolidation Anticipated Effective Date: January 24, 2012 Research Circular #RS January 18, 2012 Monster Beverage Cpation ( MNST ) 2-f-1 Stock Split Ex-Distribution Date: February 16, 2012
3 January 20, 2012 Volume RB23, Number 3 The Bylaws and Rules of Chicago Board Options Exchange, Incpated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Trading Permit Holders. The weekly Regulaty Bulletin is delivered to all effective Trading Permit Holders to satisfy this requirement. Copyright 2012 Chicago Board Options Exchange, Incpated. Regulaty Circular RG REGULATORY CIRCULARS DATE: January 13, 2012 To: Trading Permit Holders From: Business Development RE: SPX Operational Systems Settings This circular updates RG Effective Tuesday January 17, 2012, CBOE will adjust the Opening Exchange Prescribed Width (OEPW) in SPX, SPXW and SPQ. OEPWs f all other classes will remain at their current levels. SPX series will not open if the opening price is not within an acceptable price range. The calculation f 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 will be based on the table below: Opening Exchange Prescribed Width Bid Price SPX, SPXW, SPXQ > = Questions regarding this circular may be directed to: Deen Scholla , schollad@cboe.com; CBOE Help Desk at (866) helpdesk@cboe.com January 20, 2012 Volume RB23, Number 3 1
4 Regulaty Circular RG DATE: January 18, 2012 TO: FROM: RE: Trading Permit Holders Market Operations Department Restrictions on Transactions in Trident Microsystems, Inc. ( TRID ) Effective January 19, 2012, NASDAQ will delist Trident Microsystems Inc (TRID). Trading in Trident Microsystems, Inc. will commence on the Other OTC market under the symbol TRIDQ. Trading on the CBOE in existing series of TRIDQ options will be subject to the following restrictions. Only closing transactions may be affected in any series of TRIDQ options except f (i) opening transactions by Market-Makers executed to accommodate closing transactions of other market participants and (ii) opening transactions by CBOE TPH ganizations to facilitate the closing transactions of public customers executed as crosses pursuant to and in accdance with CBOE Rule 6.74(b) (d). The execution of opening transactions in TRIDQ options, except as permitted above, and/ the misrepresentation as to whether an der is opening closing, will constitute a violation of CBOE rules, and may result in disciplinary action. TPH ganizations should ensure that they have appropriate procedures in place to prevent their customers from entering opening ders 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 TRIDQ options. Any questions regarding this circular may be directed to Kerry Winters at (312) Regulaty Services Division at (312) (312) CBOE restricted class memos can be accessed from CBOE.g at the following web address: January 20, 2012 Volume RB23, Number 3 2
5 Regulaty Circular RG DATE: January 19, 2012 TO: FROM: RE: Trading Permit Holders Market Operations Department Restrictions on Transactions in Eastman Kodak Company ( EKDKQ ) Effective January 19, 2012, NYSE has delisted Eastman Kodak Company ( EK ). Eastman Kodak Company will commence on the Other OTC market under the symbol EKDKQ. Trading on the CBOE in existing series of EKDKQ options will be subject to the following restrictions. Only closing transactions may be affected in any series of EKDKQ options except f (i) opening transactions by Market-Makers executed to accommodate closing transactions of other market participants and (ii) opening transactions by CBOE TPH ganizations to facilitate the closing transactions of public customers executed as crosses pursuant to and in accdance with CBOE Rule 6.74(b) (d). The execution of opening transactions in EKDKQ options, except as permitted above, and/ the misrepresentation as to whether an der is opening closing, will constitute a violation of CBOE rules, and may result in disciplinary action. TPH ganizations should ensure that they have appropriate procedures in place to prevent their customers from entering opening ders 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 EKDKQ options. Any questions regarding this circular may be directed to Kerry Winters at (312) Regulaty Services Division at (312) (312) CBOE restricted class memos can be accessed from CBOE.g at the following web address: January 20, 2012 Volume RB23, Number 3 3
6 R U L E C H A N G E S APPROVED RULE CHANGE(S) The Securities and Exchange Commission ( SEC ) has approved the following change(s) to Exchange rules pursuant to Section 19(b) of the Securities Exchange Act of 1934 (the Act ). Below, any additions to rule text are underlined and any deletions are [bracketed]. Copies are available on the CBOE public website at The effective date of the rule change is the date of approval unless otherwise noted. SR-CBOE Credit Options Margin Pilot Program On January 17, 2012, the SEC approved Rule Change File No. SR-CBOE on an accelerated basis. The rule filing decouples CBOE s Credit Options Margin Pilot Program from FINRA s program, extends the Credit Options Margin Pilot Program through January 17, 2013 and adopts alternative tables to the existing margin tables that may be used by Trading Permit Holders to compute the required margins. Any questions regarding the rule change may be directed to Jenny Klebes, Legal Division, at The rule text is shown below and the rule filing is available at Rule 12.3 Margin Requirements RULE 12.3 (a) (k) No changes. (l) Credit Options. (1) Risk Moniting Procedures and Guidelines Trading Permit Holders are required to monit the risk of customer and broker-dealer accounts with exposure to Credit Options and must implement and maintain a comprehensive written risk analysis methodology f assessing the potential risk to the Trading Permit Holder s capital over a specified range of possible market movements over a specified time period. F purposes of complying with this rule, Trading Permit Holders must employ the risk moniting procedures and guidelines set fth below in sub-paragraphs (i) through (viii) of this Rule 12.3(l)(1). The Trading Permit Holder must review, in accdance with the Trading Permit Holder s written procedures, at reasonable periodic intervals, the Trading Permit Holder s credit extension activities f consistency with the risk moniting procedures and guidelines set fth in this Rule 12.3(l)(1), and must determine whether the data necessary to apply the risk moniting procedures and guidelines is accessible on a timely basis and infmation systems are available to adequately capture, monit, analyze and rept relevant data, including: (i) obtaining and reviewing the required account documentation and financial infmation necessary f assessing the amount of credit to be extended to customers and broker-dealers; (ii) assessing the determination, review and approval of credit limits to each customer and broker-dealer, and across all customers and broker-dealers, engaging in Credit Option transactions; (iii) moniting credit risk exposure to the Trading Permit Holder from Credit Options, including the type, scope and frequency of repting to seni management; (iv) the use of stress testing of accounts containing Credit Option contracts in der to monit market risk exposure from individual accounts and in the aggregate; (v) managing the impact of credit extended related to Credit Option contracts on the Trading Permit Holder s overall risk exposure; (vi) determining the need to collect margin from a particular customer brokerdealer in addition to the amount required by this Rule 12.3(l), including whether such January 20, 2012 Volume RB23, Number 3 4
7 determination was based upon the credit wthiness of the customer broker-dealer and/ the risk of the specific Credit Option contracts; (vii) moniting the credit exposure resulting from concentrated positions within both individual accounts and across all accounts containing Credit Option contracts: and (viii) maintaining sufficient margin in each customer and broker-dealer account to protect against the default of the largest individual exposure in the account as measured by computing the largest maximum possible loss. (2) Requiring Additional Margin. Trading Permit Holders shall, based on the risk moniting procedures and guidelines required above, determine whether the margin required by this Rule 12.3(l) is adequate with respect to their customer and broker-dealer accounts and, where appropriate, increase such requirements. (3) Margin Account --Credit Default Options. (i) The initial and maintenance margin required on a Credit Default Option carried long in a customer broker-dealer s account is a percentage of the option s cash settlement amount (as defined in Rule 29.1) accding to the table below. Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* f the Reference Entity Underlying the Credit Default Option 1 Year 1 Year / 3 Years 3 7 Years 7 Years % 1% 2% 3.5% % 2.5% 3.5% 5% % 5% 7.5% 10% % 7.5% 10% 12.5% 700 & above 7.5% 10% 12.5% 15% * Over LIBOR, in basis points. (ii) Alternative Table. As an alternative to the table under paragraph (l)(3)(i) above, Trading Permit Holders may use the table below. Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* f the Reference Entity to to to to to to to January 20, 2012 Volume RB23, Number 3 5
8 Underlying the Credit Default Option %.75% 1.00% 1.50% 2.00% 2.75% 3.50% 4.25% 5.00% % 1.75% 2.50% 3.00% 3.50% 4.25% 5.00% 7.50% 10.00% % 3.75% 5.00% 6.25% 7.50% 8.75% 10.00% 11.25% 12.50% % 5.00% 6.25% 7.50% 8.00% 10.00% 11.25% 12.50% 13.75% % 6.25% 7.50% 8.75% 10.00% 11.25% 13.75% 15.00% 17.50% 700 & above 7.50% 8.75% 10.00% 11.25% 12.50% 13.75% 15.00% 20.00% 25.00% [(ii)] (iii) The initial and maintenance margin required on any Credit Default Option carried sht in a customer broker-dealer s account is a percentage of the option s cash settlement amount (as defined in Rule 29.1) accding to the table below. Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* f the Reference Entity Underlying the Credit Default Option 1 Year 1 Year / 3 Years 3 7 Years 7 Years % 2% 4% 7% % 5% 7% 10% % 10% 15% 20% % 15% 20% 25% 700 & above 15% 20% 25% 30% * Over LIBOR, in basis points. (iv) Alternative Table. As an alternative to the table under paragraph (l)(3)(iii) above, Trading Permit Holders may use the table below. January 20, 2012 Volume RB23, Number 3 6
9 Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* f the Reference Entity Underlying the Credit Default Option to to to to to to to % 1.50% 2.00% 3.00% 4.00% 5.50% 7.00% 8.50% 10.00% % 3.50% 5.00% 6.00% 7.00% 8.50% 10.00% 15.00% 20.00% % 7.50% 10.00% 12.50% 15.00% 17.50% 20.00% 22.50% 25.00% % 10.00% 12.50% 15.00% 16.00% 20.00% 22.50% 25.00% 27.50% % 12.50% 15.00% 17.50% 20.00% 22.50% 27.50% 30.00% 35.00% 700 & above 15.00% 17.50% 20.00% 22.50% 25.00% 27.50% 30.00% 40.00% 50.00% * Over LIBOR, in basis points. [(iii)] (v) Debt Security Offset. If an account is sht a Credit Default Option and also has a sht position in a debt security issued by the Reference Entity underlying the option, and the principal amount of the debt security is equal to: the cash settlement amount of the option multiplied by 1.33, no margin is required on the Credit Default Option. (4) Margin Account - Credit Default Basket Options. (i) The initial and maintenance margin required on a Credit Default Basket Option carried long in a customer broker-dealer s account is a percentage of the option s cash settlement amount (as defined in Rule 29.1) accding to the table below. In the case of a Single Payout Credit Default Basket Option, the cash settlement amount to be used is the one that is the highest among the basket components, and in the case of a Multiple Payout Credit Default Basket Option, the cash settlement amount to be used is 50% of the sum of each basket component s cash settlement amount. January 20, 2012 Volume RB23, Number 3 7
10 Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* of the Basket Component Reference Entities 1 Year 1 Year / 3 Years 3 to 5 Years 5 7 Years 7 Years %.5% 1% 2% 2.5% % 1.5% 2% 2.5% 3.5% 500 & above 1.5% 2.5% 5% 6% 7.5% * Over LIBOR, in basis points. (ii) Alternative Table. As an alterative to the table under paragraph (l)(4)(i) above, Trading Permit Holders may use the table below. Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* of the Basket Component Reference Entities 1 Year 1 Year / 2 Years 2 3 Years 3 4 Years 4 5 Years 5 6 Years 6 7 Years 7 8 Years 8 9 Years 9 Years %.5%.5%.75%.1% 1.5% 2% 2.25% 2.5% 2.5% % 1.25% 1.5% 1.75% 2% 2.25% 2.5% 3% 3.5% 3.5% 500 & above 1.5% 2% 2.5% 3.75% 5% 5.5% 6% 6.5% 7% 7.5% [(ii)] (iii) The initial and maintenance margin required on a Credit Default Basket Option carried sht in a customer broker-dealer s account is a percentage of the option s cash settlement amount (as defined in Rule 29.1) accding to the table below. In the case of a Single Payout Credit Default Basket Option, the cash settlement amount to be used is the one that is the highest among the basket components, and in the case of a Multiple Payout Credit Default Basket Option, the cash settlement amount to be used is 50% of the sum of each basket component s cash settlement amount. January 20, 2012 Volume RB23, Number 3 8
11 Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* of the Basket Component Reference Entities 1 Year 1 Year / 3 Years 3 to 5 Years 5 7 Years 7 Years % 1% 2% 4% 5% % 3% 4% 5% 7% 500 & above 3% 5% 10% 12% 15% * Over LIBOR, in basis points. (iv) Alternative Table. As an alternative to the table under paragraph (l)(4)(iii) above, Trading Permit Holders may use the table below. Length of Time Until Expiration of the Option Average Credit Default Swap ( CDS ) Spread* of the Basket Component Reference Entities 1 Year 1 Year / 2 Years 2 3 Years 3 4 Years 4 5 Years 5 6 Years 6 7 Years 7 8 Years 8 9 Years 9 Years % 1% 1% 1.5% 2% 3% 4% 4.5% 5% 5% % 2.5% 3% 3.5% 4% 4.5% 5% 6% 7% 7% 500 & above 3% 4% 5% 7.5% 10% 11% 12% 13% 14% 15% (5) Spreads. If an account is sht a Credit Option and is also long a Credit Option with the same underlying Reference Obligation(s), and the long option is paid f in full, and the long option does not expire befe the sht option, no margin is required. (6) Credit Option margin requirements may be satisfied by a deposit of cash marginable securities. (7) Concentrations. If, across all accounts, the maximum exposure in Credit Option contracts overlying any single Reference Entity exceeds the Trading Permit Holder s tentative net capital, the Trading Permit Holder must deduct from net capital an amount equal to the aggregate January 20, 2012 Volume RB23, Number 3 9
12 margin requirement f all such accounts on the Credit Option contracts (including Credit Default Basket Options having the subject Reference Entity as a component) overlying such single Reference Entity, as specified in this Rule 12.3(l). This deduction from net capital may be reduced by the amount of excess margin held in [all] such customer and broker-dealer accounts. (8) Cash Account --Credit Default Options. A Credit Default Option carried sht in a customer s account is deemed a covered position, and eligible f the cash account, provided any one of the following either is held in the account at the time the option is written is received into the account promptly thereafter: (i) cash cash equivalents equal to 100% of the cash settlement amount as defined in Rule 29.1; (ii) an escrow agreement. The escrow agreement must certify that the bank holds f the account of the customer as security f the agreement (A) cash, (B) cash equivalents, (C) one me qualified equity securities, (D) a combination thereof having an aggregate market value of not less than 100% of the cash settlement amount as defined in Rule 29.1 and that the bank will promptly pay the TPH ganization the cash settlement amount in the event of a Credit Event as defined in Rule (9) Cash Account - Credit Default Basket Options. A Credit Default Basket Option carried sht in a customer s account is deemed a covered position, and eligible f the cash account, provided any one of the following either is held in the account at the time the option is written is received into the account promptly thereafter: (i) F Multiple Payout Credit Default Basket Options, cash cash equivalents equal to 50% of the sum of each Basket Component s cash settlement amount as defined in Rule 29.1; (ii) F Single Payout Credit Default Basket Options, cash cash equivalents equal to 100% of the Basket Component cash settlement amount as defined in Rule 29.1 that is the highest; (iii) an escrow agreement. The escrow agreement must certify that the bank holds f the account of the customer as security f the agreement (A) cash, (B) cash equivalents, (C) one me qualified equity securities, (D) a combination thereof having an aggregate market value of not less than 100% of the sum of each Basket Component s cash settlement amount as defined in Rule 29.1 in the case of Multiple Payout Credit Default Basket Option 100% of the Basket Component cash settlement amount as defined in Rule 29.1 that is the highest in the case of a Single Payout Credit Default Basket Option and that the bank will promptly pay the TPH ganization the cash settlement amount in the event of a Credit Event as defined in Rule (10) Duration of the Credit Option Margin Pilot Program. The Credit Option Margin Pilot Program shall be through January 17, [2012]2013. * * * * * EFFECTIVE-ON-FILING RULE CHANGE(S) The following rule filing(s) was submitted to the SEC effective on filing, and may have taken effect pursuant to Section 19(b)(3) of the Act. The rule filing(s) will remain in effect barring further action by the SEC within 60 days after publication in the Federal Register. Below, any additions to rule text are underlined and any deletions are [bracketed]. Copies are available on the CBOE public website at January 20, 2012 Volume RB23, Number 3 10
13 SR-CBOE Fees Schedule On January 17, 2012, the Exchange filed Rule Change File No. SR-CBOE , which filing proposes to amend the CBOE Fees Schedule f Any questions regarding the rule change may be directed to Jeff Dritz, Legal Division, at The rule filing is available at SR-CBOE Hybrid 3.0 Class Appointments On January 17, 2012, the Exchange filed Rule Change File No. SR-CBOE , which filing proposes to amend CBOE Rules to permit the appointment of one me Lead Market-Makers Supplemental Market-Makers f the purposes of participating in modified opening rotations and/ other opening rotations in Hybrid 3.0 classes. Any questions regarding the rule change may be directed to Jennifer Lamie, Legal Division, at The rule text is shown below and the rule filing is available at Rule Lead Market-Makers and Supplemental Market-Makers in Hybrid 3.0 Classes RULE The Exchange may appoint, in an option class f which a DPM has not been appointed, one me Market-Makers in good standing [with an appointment in an option class f which a DPM has not been appointed] as Lead Market-Makers ( LMMs ) and Supplemental Market-Makers ( SMMs ) to participate in the modified opening rotation described in Interpretation [.02 to Rule 24.13].01 to Rule 6.2B, [including participating] to participate in other opening rotations using the Exchange s [Rapid] Hybrid Opening System described in Rule 6.2B, and/ to determine a fmula f generating automatically updated market quotations during the trading day as described in paragraph (d) below. * * * * * SR-CBOE Fees Schedule On January 19, 2012, the Exchange filed Rule Change File No. SR-CBOE , which filing proposes to amend the CBOE Fees Schedule to eliminate the requirement that firms continue to pay AIM Execution Fees after reaching the firm Fee Cap. Any questions regarding the rule change may be directed to Jeff Dritz, Legal Division, at The rule filing is available at January 20, 2012 Volume RB23, Number 3 11
TRADING PERMIT INFORMATION FOR 11/17/2011 THROUGH
Exchange November 25, 2011 Volume 39, Number 47 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTRADING PERMIT INFORMATION FOR 08/11/2011 THROUGH
Exchange August 19, 2011 Volume 39, Number 33 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 12/13/2012 through 12/19/2012
December 21, 2012 Volume 40, Number 51 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationExchange. Bulletin. April 20, 2012 Volume 40, Number 16 TRADING PERMIT INFORMATION FOR 04/12/2012 THROUGH 04/18/2012
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
More informationTrading Permit Information for 4/4/2013 through 4/10/2013
April 12, 2013 Volume 41, Number 15 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 12/5/2013 THROUGH 12/11/2013
December 13, 2013 Volume 41, Number 50 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTRADING PERMIT INFORMATION FOR 09/15/2011 THROUGH 09/21/2011 TRADING PERMIT APPLICATIONS RECEIVED FOR WHICH BULLETIN PUBLICATION IS REQUIRED
Exchange September 23, 2011 Volume 39, Number 38 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 11/21/2013 through 11/27/2013
November 29, 2013 Volume 41, Number 48 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 8/29/2013 through 9/04/2013
September 6, 2013 Volume 41, Number 36 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 1/10/2012 through 1/16/2013
January 18, 2013 Volume 41, Number 03 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 5/30/2013 through 6/05/2013
June 07, 2013 Volume 41, Number 23 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange Trading
More informationTrading Permit Information for 6/27/2013 through 7/3/2013
July 5, 2013 Volume 41, Number 27 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange Trading
More informationTRADING PERMIT INFORMATION FOR 02/03/2011 THROUGH
Exchange February 11, 2011 Volume 39, Number 06 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 8/8/2013 through 8/14/2013
August 16, 2013 Volume 41, Number 33 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationExchange. Bulletin. February 10, 2012 Volume 40, Number 6 TRADING PERMIT INFORMATION FOR 02/02/2012 THROUGH 02/08/2012 TERMINATIONS
Exchange February 10, 2012 Volume 40, Number 6 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationExchange. Bulletin. December 3, 2010 Volume 38, Number 49 TRADING PERMIT INFORMATION FOR 11/25/2010 THROUGH 12/1/2010
Exchange December 3, 2010 Volume 38, Number 49 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationExchange. Bulletin. January 21, 2011 Volume 39, Number 03 TRADING PERMIT INFORMATION FOR 01/13/2011 THROUGH 01/19/2011
Exchange January 21, 2011 Volume 39, Number 03 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationExchange. Bulletin. June 22, 2012 Volume 40, Number 25 TRADING PERMIT INFORMATION FOR 06/14/2012 THROUGH 06/20/2012 EFFECTIVE TRADING PERMIT HOLDERS
Exchange June 22, 2012 Volume 40, Number 25 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationTrading Permit Information for 10/31/2013 THROUGH 11/6/2013
November 8, 2013 Volume 41, Number 45 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationExchange Bulletin. September 21, 2012 Volume 40, Number 38 TRADING PERMIT INFORMATION FOR 09/13/2012 THROUGH 09/19/2012
Exchange Bulletin September 21, 2012 Volume 40, Number 38 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 8/1/2013 through 8/7/2013
August 09, 2013 Volume 41, Number 32 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 1/31/2013 through 2/06/2013
February 08, 2013 Volume 41, Number 06 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTRADING PERMIT INFORMATION FOR 09/01/2011 THROUGH 09/07/2011 TRADING PERMIT APPLICATIONS RECEIVED FOR WHICH BULLETIN PUBLICATION IS REQUIRED
Exchange September 09, 2011 Volume 39, Number 36 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 4/11/2013 through 4/17/2013
April 19, 2013 Volume 41, Number 16 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationTrading Permit Information for 3/21/2013 through 3/27/2013
March 28, 2013 Volume 41, Number 13 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationRegulatory Circular RG15-133
Regulatory Circular RG15-133 Date: September 29, 2015 To: All Volatility Index Derivatives Market Participants From: Regulatory Services Division Research and Product Development Department Re: Modified
More informationExchange. Bulletin. November 26, 2010 Volume 38, Number 48 TRADING PERMIT INFORMATION FOR 11/18/10 THROUGH 11/24/10
Exchange November 26, 2010 Volume 38, Number 48 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationSEAT MARKET QUOTES AS OF FRIDAY, November 13, 2009 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange November 13, 2009 Volume 37, Number 46 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationRegulatory Circular RG15-022
Regulatory Circular RG15-022 Date: July 22, 2015 To: All Volatility Index Derivatives Market Participants From: Research and Product Development Department CFE Regulation Re: Modified HOSS Opening Procedures
More informationExchange. Bulletin. January 13, 2012 Volume 40, Number 2 TRADING PERMIT INFORMATION FOR 01/05/2012 THROUGH 01/11/2012
Exchange January 13, 2012 Volume 40, Number 2 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationExchange. Bulletin. February 3, 2012 Volume 40, Number 5 TRADING PERMIT INFORMATION FOR 01/26/2012 THROUGH 02/01/2012 EFFECTIVE TRADING PERMIT HOLDERS
Exchange February 3, 2012 Volume 40, Number 5 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationSEAT MARKET QUOTES AS OF FRIDAY, SEPTEMBER 25, 2009 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange September 25, 2009 Volume 37, Number 39 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationTrading Permit Information for 11/14/2013 through 11/20/2013
November 22, 2013 Volume 41, Number 47 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationRegulatory Circular RG14-015
Regulatory Circular RG14-015 Date: April 15, 2014 To: All Volatility Index Derivatives Market Participants From: Regulatory Services Division Research and Product Development Department RE: Modified HOSS
More informationAugust 21, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE
Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 August 21, 2015 Re: CBOE Futures Exchange, LLC Rule Certification
More informationExchange Bulletin. August 17, 2012 Volume 40, Number 33 TRADING PERMIT INFORMATION FOR 08/09/2012 THROUGH 08/15/2012 EFFECTIVE TRADING PERMIT HOLDERS
Exchange Bulletin August 17, 2012 Volume 40, Number 33 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationSEAT MARKET QUOTES AS OF Friday, April 20, 2007 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange April 20, 2007 Volume 35, Number 16 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationTRADING PERMIT INFORMATION FOR 11/04/10 THROUGH 11/10/10 TRADING PERMIT APPLICATIONS RECEIVED TERMINATIONS FOR WHICH BULLETIN PUBLICATION IS REQUIRED
Exchange November 12, 2010 Volume 38, Number 46 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Information for 12/20/2012 through 12/26/2012
December 28, 2012 Volume 40, Number 52 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationExchange Bulletin. July 27, 2012 Volume 40, Number 30 TRADING PERMIT INFORMATION FOR 07/19/2012 THROUGH 07/25/2012
Exchange Bulletin July 27, 2012 Volume 40, Number 30 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationRegulatory Circular RG17-002
Regulatory Circular RG17-002 Date: February 6, 2017 To: Volatility Index Derivatives Market Participants From: Regulatory Division Research and Product Development Department Re: Modified HOSS Opening
More informationExchange. Bulletin. April 29, 2011 Volume 39, Number 17 TRADING PERMIT INFORMATION FOR 04/21/2011 THROUGH 04/27/2011
Exchange April 29, 2011 Volume 39, Number 17 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationTrading Permit Information for 2/7/2013 through 2/13/2013
February 15, 2013 Volume 41, Number 07 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationExchange. Bulletin. July 2, 2010 Volume 38, Number 27 TRADING PERMIT INFORMATION FOR 6/24/10 THROUGH 6/30/10
Exchange July 2, 2010 Volume 38, Number 27 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationExchange Bulletin. September 7, 2012 Volume 40, Number 36 TRADING PERMIT INFORMATION FOR 08/30/2012 THROUGH 09/05/2012
Exchange Bulletin September 7, 2012 Volume 40, Number 36 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationExchange Bulletin. July 6, 2012 Volume 40, Number 27 TRADING PERMIT INFORMATION FOR 06/28/2012 THROUGH 07/04/2012
Exchange Bulletin July 6, 2012 Volume 40, Number 27 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationTrading Permit Information for 3/28/2013 through 4/3/2013
April 5, 2013 Volume 41, Number 14 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange Trading
More informationSeptember 12, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE Dear Mr. Kirkpatrick:
September 12, 2017 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationSEAT MARKET QUOTES AS OF FRIDAY, JUNE 23, 2006 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP
Exchange June 23, 2006 Volume 34, Number 25 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationExchange. Bulletin. May 18, 2012 Volume 40, Number 20 TRADING PERMIT INFORMATION FOR 05/10/2012 THROUGH 05/16/2012
Exchange May 18, 2012 Volume 40, Number 20 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice
More informationDescription. Contact Information. Signature. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C Form 19b-4. Page 1 of * 41
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 41 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
More informationTRADING PERMIT INFORMATION FOR 12/01/2011 THROUGH 12/07/2011 TRADING PERMIT APPLICATIONS RECEIVED FOR WHICH BULLETIN PUBLICATION IS REQUIRED
Exchange December 9, 2011 Volume 39, Number 49 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationSEAT MARKET QUOTES AS OF Friday, July 20, 2007 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange July 20, 2007 Volume 35, Number 29 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationSEAT MARKET QUOTES AS OF FRIDAY, FEBRUARY 24, 2006 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP
February 24, 2006 Volume 34, Number 8 Exchange Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationMay 22, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE
May 22, 2015 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationTrading Permit Information for 2/28/2013 through 3/06/2013
March 08, 2013 Volume 41, Number 10 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationJanuary 5, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE
January 5, 2015 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the Act ) 1, and
This document is scheduled to be published in the Federal Register on 04/27/2018 and available online at https://federalregister.gov/d/2018-08848, and on FDsys.gov 8011-01p SECURITIES AND EXCHANGE COMMISSION
More informationTRADING PERMIT INFORMATION FOR 9/30/10 THROUGH 10/6/10 TERMINATIONS
Exchange October 8, 2010 Volume 38, Number 41 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationMARKET QUOTES AS OF FRIDAY,
Exchange May 23, 2008 Volume 36, Number 21 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationCboe C2 Exchange, Inc.
Cboe C2 Exchange, Inc. Rules of Cboe C2 Exchange, Inc. (Updated as of ) 1 Table of Contents Chapter 1 Definitions 1.1 Definitions Chapter 2 Administration 2.1 Participant Fees 2.2 Exchange s Costs of Defending
More informationTrading Permit Information for 3/14/2013 through 3/20/2013
March 22, 2013 Volume 41, Number 12 The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide notice to Exchange
More informationApril 16, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE
April 16, 2015 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationExchange. Bulletin. March 14, 2008 Volume 36, Number 11. SEAT MARKET QUOTES AS OF FRIDAY, March 14, 2008 CBOE MEMBERSHIP SALES AND TRANSFERS
Exchange March 14, 2008 Volume 36, Number 11 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationSEAT MARKET QUOTES AS OF FRIDAY, MARCH 11, 2005
March 11, 2005 Volume 33, Number 10 Exchange Bulletin The Constitution and Rules of the Chicago Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationTrading Permit Holders and Trading Permit Holder Applicants
Regulatory Circular RG12-014 Date: January 12, 2012 To: From: Re: Trading Permit Holders and Trading Permit Holder Applicants Registration Services Department Trading Permit Holder Application and Other
More informationCboe Futures Exchange, LLC. Policies and Procedures Section of Rulebook *
Cboe Futures Exchange, LLC Policies and Procedures Section of Rulebook * Revised as of April 25, 2018 * Capitalized terms used and not otherwise defined herein have the meanings assigned to them in the
More informationExchange. Bulletin. January 14, 2011 Volume 39, Number 02 TRADING PERMIT INFORMATION FOR 01/06/2011 THROUGH 01/12/2011
Exchange January 14, 2011 Volume 39, Number 02 Bulletin The Bylaws and Rules of Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationFederal Register / Vol. 73, No. 75 / Thursday, April 17, 2008 / Notices
20985 between the hours of 10 a.m. and 3 p.m. Copies of such filing will also be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without
More informationSelf-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule
This document is scheduled to be published in the Federal Register on 08/26/2014 and available online at http://federalregister.gov/a/2014-20209, and on FDsys.gov SECURITIES AND EXCHANGE COMMISSION [Release
More informationSEAT MARKET QUOTES AS OF Friday, May 25, 2007 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange May 25, 2007 Volume 35, Number 21 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationSection 19(b)(3)(A) * Section 19(b)(3)(B) * Section 19(b)(2) * Rule. 19b-4(f)(1) 19b-4(f)(2) (Title *) Assistant Secretary
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 27 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
More informationSEAT MARKET QUOTES AS OF FRIDAY, JUNE 23, 2006 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP
Exchange June 30, 2006 Volume 34, Number 26 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationRegulatory Bulletin Issue RG04-01 Supplement to the Options Disclosure Document Regulatory Services
Date: February 1, 2005 Regulatory Circular RG05-15 To: Membership From: Legal Division Re: 2004 Regulatory Circulars Exchange policy provides that communications to Exchange members of a regulatory nature
More informationNotice to Members. Short Sale Requirements. Executive Summary. Questions/Further Information
Notice to Members JULY 2007 SUGGESTED ROUTING Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training KEY TOPICS IM-5100 IM-6130 Rule 3360 Rule
More informationNotice to Members. Equity Option Hedge Exemption. Executive Summary. Questions/Further Information APRIL 2003
Notice to Members APRIL 2003 SUGGESTED ROUTING Institutional Equity Option Hedge Exemption NASD Expands Equity Option Hedge Exemption Legal & Compliance Options Senior Management Trading Training KEY TOPICS
More informationRegulatory Notice 08-57
Regulatory Notice 08-74 Regulation M FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M Effective Date: December 15, 2008 Executive Summary FINRA is issuing this Notice to
More informationSection 19(b)(3)(B) Rule. 19b-4(f)(1) 19b-4(f)(2) Rudolph. Vice President and Counsel. Richard RUdolph,
OMB APPROVAL OMB Number: 3235-0045 Expires: June 30, 2007 Estimated average burden hours per response...38 Page 1 of 25 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 19b-4 File No. SR
More informationThe changes below will be operative near the end of December, The exchange will announce the specific date in an Options Trader Alert * * * * *
Proposed new language is underlined; proposed deletions are in brackets. NASDAQ OMX PHLX Rules Rules of the Exchange Rule 110. Bids and Offers [Precedence] Manner Bids and offers may be made simultaneously,
More informationCBOE Futures Exchange, LLC Rule Certification Submission Number CFE
February 19, 2016 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationSEAT MARKET QUOTES AS OF FRIDAY, November 27, 2009 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange November 27, 2009 Volume 37, Number 48 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationDescription. Contact Information. Signature. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C Form 19b-4. Page 1 of * 11
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 11 SECURITIES AND EXCHANGE COMMISSION File
More informationSEAT MARKET QUOTES AS OF FRIDAY, NOVEMBER 11, 2005 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP
November 11, 2005 Volume 33, Number 45 Exchange Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationSEAT MARKET QUOTES AS OF FRIDAY, NOVEMBER 24, 2006 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP
Exchange November 24, 2006 Volume 34, Number 47 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationSEAT MARKET QUOTES AS OF FRIDAY, May 9, 2008 CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATE CBOT FULL MEMBERSHIP (WITHOUT STOCK)
Exchange May 9, 2008 Volume 36, Number 19 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to provide
More informationApril 24, CBOE Futures Exchange, LLC Rule Certification Submission Number CFE
April 24, 2015 Christopher J. Kirkpatrick Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, N.W. Washington, D.C. 20581 Re: CBOE Futures Exchange, LLC Rule Certification
More informationDescription. Contact Information. Signature. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C Form 19b-4. Page 1 of * 52
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 52 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
More informationSEAT MARKET QUOTES AS OF FRIDAY, OCTOBER 10, 2003
October 17, 2003 Volume 31, Number 42 Exchange Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationInc. (the Exchange or Cboe Options ) filed with the Securities and Exchange
This document is scheduled to be published in the Federal Register on 05/21/2018 and available online at https://federalregister.gov/d/2018-10708, and on FDsys.gov 8011-01 SECURITIES AND EXCHANGE COMMISSION
More informationIn accordance with the revised rule, the Equity and Index Options Procedure Committees have determined the following:
Regulatory Circular RG06-49 Date: To: Members, Member Firms, and Order Providers From: Equity and Index Options Procedure Committees Re: Participation Entitlements Applicable to Crossing Orders in Open
More informationExchange-Traded Fund Innovator IBD 50 ETF
Regulatory Bulletin RB-17-177 To: Subject: ETP HOLDERS INNOVATOR IBD 50 ETF Compliance and supervisory personnel should note that, among other things, this Information Bulletin discusses the need to deliver
More informationMARKET QUOTES AS OF FRIDAY,
Exchange March 20, 2009 Volume 37, Number 12 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange to
More informationPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the Act ), 1 and Rule
This document is scheduled to be published in the Federal Register on 03/10/2015 and available online at http://federalregister.gov/a/2015-05476, and on FDsys.gov 8011-01p SECURITIES AND EXCHANGE COMMISSION
More informationDescription. Contact Information. Signature. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C Form 19b-4. Page 1 of * 16
OMB APPROVAL Required fields are shown with yellow backgrounds and asterisks. OMB Number: 3235-0045 Estimated average burden hours per response...38 Page 1 of * 16 SECURITIES AND EXCHANGE COMMISSION WASHINGTON,
More informationINFORMATION CIRCULAR: EXCHANGE TRADED CONCEPTS TRUST
INFORMATION CIRCULAR: EXCHANGE TRADED CONCEPTS TRUST TO: FROM: Head Traders, Technical Contacts, Compliance Officers, Heads of ETF Trading, Structured Products Traders NASDAQ / BX / PHLX Listing Qualifications
More informationEDGA & EDGX STOCK EXCHANGES
EDGA & EDGX STOCK EXCHANGES Regulatory Information Circular Circular Number: 2010-458 Contact: Jeff Rosenstrock Date: July 16, 2010 Telephone: (201) 942-8295 Subject: Teucrium Corn Fund Background Information
More informationMARKET QUOTES AS OF FRIDAY,
Exchange November 21, 2008 Volume 36, Number 47 Bulletin The Constitution and Rules of the Chicago Board Options Exchange, Incorporated ( Exchange ), in certain specific instances, require the Exchange
More informationSEC APPROVES AMENDMENTS TO NYSE AND CBOE MARGIN RULES THAT SUBSTANTIALLY EXPAND PORTFOLIO MARGINING
SEC APPROVES AMENDMENTS TO NYSE AND CBOE MARGIN RULES THAT SUBSTANTIALLY EXPAND PORTFOLIO MARGINING Washington, DC January 3, 2007 On December 12, 2006, the Securities and Exchange Commission (the SEC
More informationImpact Shares Sustainable Development Goals Global Equity ETF
Cboe BZX Exchange, Inc. Information Circular 18-148 Cboe BYX Exchange, Inc. Information Circular 18-148 Cboe EDGA Exchange, Inc. Information Circular 18-148 Cboe EDGX Exchange, Inc. Information Circular
More informationSummary Prospectus. Investment Objective Brandes Value NextShares ( Value NextShares or the Fund ) seeks long term capital appreciation.
Summary Prospectus Ticker Symbol: BVNSC February 15, 2018 Before you invest, you may want to review the Fund s Prospectus, which contains more information about the Fund and its risks. You can find the
More information