Corporate & Financial Weekly Digest

Corporate & Financial Weekly Digest

Tag Archives: TPHs

CBOE Proposes Amendments to Rule 6.49A to Eliminate On-Floor Position Transfers Procedures

Posted in Broker-Dealer
CBOE Exchange, Inc. (CBOE) recently filed a proposal to amend its Rule 6.49A to delete the provisions therein related to on-floor position transfers and amend the provision regarding presidential exemptions. Generally, CBOE Rule 6.49(a) requires that transactions of option contracts listed on the exchange for a premium in excess of $1.00 to be effected on… Continue Reading

CBOE Proposes Changes to Its Processes and Rules Concerning Investigative and Disciplinary Matters

Posted in Broker-Dealer
CBOE Exchange, Inc. (CBOE) has proposed amendments to Chapter 17 of the CBOE Options Rules regarding investigative and disciplinary matters involving CBOE Trading Permit Holders (TPHs) and their associated persons. In particular, the amendments reflect updates to CBOE’s rules and processes related to: complaints and investigations; expedited proceedings; the issuance of charges (and answers thereto);… Continue Reading