Federal Register #SRC22026013

Regulatory Rule Change Notice: Statutory Disqualification Procedures for Cboe C2 Exchange

This notice concerns a regulatory rule change proposed by Cboe C2 Exchange, Inc. and published by the Securities and Exchange Commission (SEC). - Government Buyer: - Securities and Exchange Commission (SEC) - Cboe C2 Exchange, Inc. (as the regulated entity) - OEMs and Vendors: - Consolidated Audit Trail, LLC (CAT LLC) is referenced for fee payments - Products/Services Requested: - No products or services are being procured; this is a regulatory update - Notable Requirements: - The rule change updates procedures for Trading Permit Holders (TPHs) and associated persons subject to statutory disqualification - Aligns Cboe C2 Exchange's rules with FINRA, Nasdaq, IEX, and NYSE standards - Streamlines eligibility proceedings and clarifies application requirements - Incorporates procedures from the Statutory Disqualification Circular (SD Circular) - References CAT fees payable to CAT LLC - Public comments are invited on the proposed rule change

Description

This notice announces a proposed rule change filed by Cboe C2 Exchange, Inc. that has been made effective immediately. The rule change involves amendments to the Exchange's rules concerning Trading Permit Holders and associated persons who are or become subject to statutory disqualification. The amendments aim to harmonize the Exchange's rules with those of the Financial Industry Regulatory Authority (FINRA) and other industry standards, streamlining regulatory compliance and better protecting investors and the public interest.

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