Federal Register #SR-CBOE-2026-038

SEC Notice: Cboe Exchange Proposed Rule Change on Statutory Disqualification Procedures

This notice announces a proposed rule change by Cboe Exchange, Inc. and does not involve procurement of products or services. - Government buyer: - Securities and Exchange Commission (SEC) - Organizations mentioned: - Cboe Exchange, Inc. - Financial Industry Regulatory Authority, Inc. (FINRA) - Purpose of notice: - Amend Cboe's rules for trading permit holders and associated persons subject to statutory disqualification - Align Cboe's procedures with FINRA and other industry standards for regulatory harmonization - Introduce a Statutory Disqualification Circular outlining eligibility and referencing FINRA processes - Specify distinctions unique to Cboe's operations - No products, services, OEMs, or vendors are being requested or procured - No contract value, line items, or period of performance specified - Main location: SEC headquarters, Washington, DC

Description

The Securities and Exchange Commission (SEC) has filed a notice regarding a proposed rule change by Cboe Exchange, Inc. to amend its rules concerning trading permit holders and associated persons who are or become subject to a statutory disqualification. The proposed amendments aim to conform the Exchange's rules with those of the Financial Industry Regulatory Authority (FINRA) and other industry standards, streamlining the administration of statutory disqualification procedures. The rule change includes the introduction of a Statutory Disqualification Circular outlining eligibility procedures and aims to harmonize regulatory compliance for dual members. The rule change is effective immediately upon filing.

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