Federal Register #2026-11570

SEC Approval of Cboe Exchange Fingerprinting Plan for Regulatory Compliance

This notice announces the SEC's approval of a new fingerprinting plan for Cboe Exchange and its affiliated exchanges. - Government Buyer: - Securities and Exchange Commission (SEC) - OEMs and Vendors: - Cboe Exchange, Inc. - Cboe 2 Exchange, Inc. - Cboe BZX Exchange, Inc. - Cboe EDGX Exchange, Inc. - Cboe EDGA Exchange, Inc. - Cboe BYX Exchange, Inc. - Financial Industry Regulatory Authority, Inc. (FINRA) - FBI-approved private channeler (not named) - Products/Services Requested: - No procurement of products or services; this is a regulatory compliance plan - Establishes procedures for fingerprinting partners, directors, officers, and employees of the exchanges and their members - Utilizes an FBI-approved private channeler for exchange personnel fingerprint processing - Maintains arrangements with FINRA for member personnel fingerprint submissions - Unique or Notable Requirements: - Ensures compliance with Section 17(f)(2) of the Securities Exchange Act - Designed to protect investors and maintain market integrity - Replaces previous fingerprinting process with updated procedures - No contract opportunity or solicitation for goods/services is present in this notice

Description

This notice announces the declaration of effectiveness of the fingerprint plan submitted by Cboe Exchange, Inc., and related exchanges, as part of their self-regulatory organization responsibilities. The plan facilitates compliance with Section 17(f)(2) of the Securities Exchange Act by providing a program for fingerprinting partners, directors, officers, and employees of the exchanges and their members. The plan includes partnering with an FBI-approved private channeler for fingerprint processing and maintaining arrangements with FINRA for member personnel fingerprint submissions. The Commission finds the plan consistent with the public interest and investor protection.

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