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This document details the proposed changes to the Chicago Board Options Exchange's Fees Schedule and policies regarding the rental of trading floor booths by Trading Permit Holder organizations.

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How to fill out Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy

01

Obtain a copy of the Notice of Filing form.

02

Provide the name of the exchange and the specific proposed rule change.

03

Fill in the date the rule change is being filed.

04

Describe the current fees and policies related to exchange trading floor booth usage.

05

Clearly articulate the proposed changes to the fees and policies.

06

Include a rationale for the proposed changes, explaining how they benefit the exchange or its participants.

07

Specify the effective date of the proposed rule change.

08

Ensure all required signatures are obtained from authorized personnel.

09

Submit the completed Notice of Filing form to the appropriate regulatory authority.

Who needs Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

01

Members of the exchange who utilize trading floor booths.

02

Exchange management and regulatory compliance teams.

03

Potential new members who may be interested in trading floor usage.

04

Regulators overseeing exchange operations.

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What is Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

The Notice of Filing and Immediate Effectiveness is a formal submission to regulatory authorities regarding proposed changes to rules governing trading floor booth fees and associated policies. It is designed to inform stakeholders of the proposal and allow for immediate implementation under certain conditions.

Who is required to file Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

Typically, exchanges and other trading venues that operate trading floors are required to file this notice when they propose changes to booth fees or related policies. This includes the exchanges' regulatory departments responsible for such filings.

How to fill out Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

To fill out the notice, one must include sections detailing the proposed changes, the rationale behind them, any impact on market participants, and the intended effective date of the changes. Specific forms or templates may be provided by the regulatory body overseeing the filing.

What is the purpose of Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

The purpose of the notice is to ensure transparency in the rule-changing process, to comply with regulatory requirements, and to provide relevant stakeholders with timely information about changes that may affect trading operations and financial obligations.

What information must be reported on Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Trading Floor Booth Fees and Policy?

The notice must report detailed information including the specific changes to the fees, the rationale for these changes, any anticipated effects on market behavior or participants, the date the changes will take effect, and compliance with existing laws and regulations.

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