CBOE Legal and Regulatory Information

CBOE Corporate Documents and Rules

C2

C2 Legal & Regulatory

CBOE Rule Filings

Circulars

Regulatory Circulars
Information Circulars

Compliance Highlights

Exchange & Regulatory Bulletins

Regulatory Independence Policies

CBOE Holdings Regulatory Independence Policy for Non-Regulatory Group Personnel
CBOE Holdings Regulatory Independence Policy for Regulatory Group Personnel

Regulation SHO

National Market System Plans

View various NMS Plans

Disciplinary Information

Disciplinary Actions
Disciplinary Process Information for Customers
Disciplinary Process Information for Members

Arbitration

Click here for various types of arbitration documents such as guidelines for initiating an arbitration claim, claim forms, answer forms, uniform submission agreements, arbitration procedures and rules, lawyer referral services, and more.

Comment Letters

CBOE Comment Letters
Select SEC Letters to CBOE and SEC Releases

Departmental Overviews

Click here for an overview of the following Departments: Designated Primary Market-Maker (DPM) Administration, Information Access and Development, Market Quality Assurance, Market Regulation, Member Firm Regulation, Membership, Regulated Entities, Regulatory Liaison, and Regulatory Planning and Strategy.

Comment/Complaint Forms

Click here to access CBOE's Member and/or Investor Comment/Complaint Forms.

If you need assistance, please e-mail the appropriate parties in the Contact CBOE form.

Options involve risk and are not suitable for all investors. Prior to buying or selling an option, a person must receive a copy of Characteristics and Risks of Standardized Options (ODD). Copies of the ODD are available from your broker, by calling 1-888-OPTIONS, or from The Options Clearing Corporation, One North Wacker Drive, Suite 500, Chicago, Illinois 60606. The information on this website is provided solely for general education and information purposes and therefore should not be considered complete, precise, or current. Many of the matters discussed are subject to detailed rules, regulations, and statutory provisions which should be referred to for additional detail and are subject to changes that may not be reflected in the website information. No statement within the website should be construed as a recommendation to buy or sell a security or to provide investment advice. The inclusion of non-CBOE advertisements on the website should not be construed as an endorsement or an indication of the value of any product, service, or website. The Terms and Conditions govern use of this website and use of this website will be deemed acceptance of those Terms and Conditions.