CBOE Proposes Rule Changes Regarding Registration and Qualification Requirements


On September 22, the Securities and Exchange Commission released a notice of proposed rule changes submitted by the Chicago Board Options Exchange (CBOE). The CBOE proposes to amend its qualification, registration and continuing education requirements for individual Trading Permit Holders and individual associated persons.

The proposed amendments expand the CBOE’s registration and qualification requirements to include additional types of individual Trading Permit Holders and individual associated persons. Under the proposed amendments, the CBOE will require additional Trading Permit Holders and associated persons to submit appropriate application for registration online through the Central Registration Depository system (Web CRD), which is operated by the Financial Industry Regulatory Authority, complete any qualification examinations and submit any required registration and examination fees.

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