exchange & regulatory bulletin - cboe.com · peter v. rogus qcm 1/14/03 edward p. mcfadden iii...

CLASS BID OFFER LAST SALE AMOUNT LAST SALE DATECBOE/FULL $151,000.00 $188,000.00 $170,000.00 January 7, 2003CBOE/OTP $250.00 $40,000.00 $166,000.00 November 21, 2002CBOT/FULL $320,100.00 $339,000.00 $338,000.00 January 8, 2003

ExchangeBulletin

January 24, 2003 Volume 31, Number 4The Constitution and Rules of the Chicago Board Options Exchange, Incorporated (“Exchange”), in certain specific instances, requirethe Exchange to provide notice to the Exchange membership. To satisfy this requirement, a complimentary copy of the ExchangeBulletin, including the Regulatory Bulletin, is delivered to all effective members on a weekly basis.

Additional subscriptions may be obtained by submitting your name, firm, mailing address, e-mail address and telephone number to:Chicago Board Options Exchange, Accounting Department, 400 South LaSalle, Chicago, Illinois 60605, Attention: Bulletin Subscrip-tions. The cost of an annual subscription (July 1 through June 30) is $200 ($100 after January 1) for hard copy delivery or $100 ($50after January 1) for e-mail delivery, payable in advance. Non-members are welcome to subscribe.

It’s easy to stay informed about issues at CBOE! CBOE Members can now receive informational and news notices via-email or fax. Tosign up, simply e-mail your name and desired e-mail address or fax number to: [email protected] or contact Doug Luzzi at 312-786-7105.

Members are required to report any address or telephone number changes to the Membership Department at (312) 786-7449 pursuantto Exchange Rule 3.7(b).

For more current Seat Market Quotes, call (312) 786-7456 or refer to the CBOE Membership website at cboe.com. Members may obtainaccess to the Membership website by calling the Membership Department at (312) 786-7449.

SEAT MARKET QUOTES AS OF FRIDAY, JANUARY 17, 2003

OPTION TRADING PERMIT LEASE POOL AS OF FRIDAY, JANUARY 17, 2003Highest Bid: No Bid Highest Monthly Rate: $1,000.00OTPs Available: Twenty Lowest Monthly Rate: $1,000.00Last Lease: $1,000.00 on November 6, 2002

MEMBERSHIP INFORMATION FOR 1/9/03 THROUGH 1/15/03

MEMBERSHIP APPLICATIONS RECEIVED FORWHICH A POSTING PERIOD IS REQUIRED

Individual Membership Applicants Date Posted

Holden K. Hodgson, Nominee 1/10/03PTR, Incorporated1617 N. Hudson, #2RChicago, IL 60614

MEMBERSHIP LEASES

New Leases Effective Date

Lessor: W. Scott Schwanke 1/9/03Lessee: Ronin Capital, LLC

Kathryn A. Ryan, NOMINEERate: 7/8% Term: Monthly

Lessor: Beverly R. Braverman, Ltd. 1/10/03Lessee: Blue Capital Group, LLC

Nicholas J. Cassano, NOMINEERate: 1 1/4% Term: Monthly

Lessor: Ruth I. Kahn 1/13/03Lessee: Lakeshore Securities, LP

Randall P. Kalkis, NOMINEERate: 1 1/4% Term: Monthly

Lessor: AC Capital Investments 1/13/03Lessee: Ronin Capital, LLC

Rachel W. Or, NOMINEERate: 1 1/8% Term: Monthly

Lessor: Seats Exchange, Inc. 1/14/03Lessee: Tahoe Trading, LLC

Ted M. Piotrowski, NOMINEERate: 1 1/8% Term: Monthly

Lessor: Drysdale Holdings, L.L.C. 1/14/03Lessee: Prime Markets Group, LLC

Jason M. Kreuzer, NOMINEERate: 1 1/8% Term: Monthly

Lessor: Malachi J. Flanagan 1/15/03Lessee: Thomas A. Hamilton, Jr.,Rate: 3/4 % Term: Monthly

Terminated Leases Termination Date

Lessor: Beverly R. Braverman, Ltd. 1/10/03Lessee: CTC, LLC

Lessor: Ruth I. Kahn 1/13/03Lessee: Futrex Trading, LLC

Lessor: BOTTA Capital Management, LLC 1/13/03Lessee: Botta Trading-Scorpious DPM, LLC

Michael J. Edwards (HZR), NOMINEE

Effective Date

January 24, 2003 Volume 31, Number 4 Chicago Board Options Exchange

Lessor: Craig Karsen 1/13/03Lessee: Ronin Capital, LLC

Rachel W. Or (ROR), NOMINEE

Lessor: Seats Exchange, Inc. 1/14/03Lessee: BOTTA Capital Management, LLC

Scott I. Bauer (SIB), NOMINEE

Lessor: Drysdale Holdings, LLC 1/14/03Lessee: StoneHedge Securities, LLC

Lessor: Malachi J. Flanagan 1/15/03Lessee: G-Bar, Limited Partnership

Thomas A. Hamilton Jr. (HMI), NOMINEE

OPTION TRADING PERMIT LEASES

New OTP Leases Termination Date

Lessor: Ronin Capital, LLC 1/9/03Lessee: HGI, Inc.

Douglas S. Komen (KUG), NOMINEERate: $47.62 Term: Daily

Terminated OTP Leases Termination Date

Lessor: Ronin Capital, LLC 1/10/03Lessee: HGI, Inc.

Douglas S. Komen (KUG), NOMINEE

Lessor: Option Funding Group, LP 1/10/03Lessee: Bear Hunter Structured Products LLC

MEMBERSHIP TERMINATIONS

Individual Members

CBT Registered For: Termination Date

B. Michael Kelly (KLX) 1/9/03Morgan Stanley & Co., Inc.440 S. LaSalle - 38th FloorChicago, IL 60605

Nina V. Milovac (NIN) 1/15/03BOG Milovac, LLC440 S. LaSalle – Ste. 620Chicago, IL 60605

Todd R. Anderson (CFD) 1/15/03BOG Anderson, LLC5612 N. NewarkChicago, IL 60631

James J. Humes Jr. (JIM) 1/15/03Rockridge Trading, LLC440 S. LaSalle – Ste. 3100Chicago, IL 60604

Lessor(s): Termination Date

Craig Karsen 1/13/03309 Central Ave.Highland Park, IL 60035

Nominee(s) / Inactive Nominee(s): Termination Date

Thomas F. Walsh (TWL) 1/9/03Morgan Stanley & Co., Inc.8508 W. 165th PlaceTinley Park, IL 60477

Termination DateDora L. Morano-Koop (DRA) 1/9/03Morgan Stanley & Co., Inc.440 S. LaSalle – Ste. 3800Chicago, IL 60605

Joseph Sellitto (JOE) 1/9/03Morgan Stanley & Co., Inc.440 S. LaSalle – Ste. 37Chicago, IL 60605

Jeffrey T. Bull (JTB) 1/10/03Tahoe Trading, LLC440 S. LaSalle – Ste. 3100Chicago, IL 60605

Douglas S. Komen (KUG) 1/10/03HGI, Inc.141 W. Jackson, Ste. 1880Chicago, IL 60604

Michael J. Edwards (HZR) 1/13/03Botta Trading-Scorpious DPM, LLC440 S. LaSalle – Ste. 3400Chicago, IL 60605

Reid Grainger (RDD) 1/13/03Grace Trading, LLC440 S. LaSalle - Ste. 2500Chicago, IL 60605

Terrance G. Lyons (LTR) 1/13/03Timber Hill, LLC440 S. LaSalle, Ste. 2601Chicago, IL 60605

Scott I. Bauer (SIB) 1/14/03BOTTA Capital Management, LLC5881 RFD, Teal LaneLong Grove, IL 60047

Mark Severin (CEV) 1/14/03Prime Markets Group, LLC333 S. Waiola Ave.LaGrange Park, IL 60525

Member Organizations

CBT Registered For: Termination Date

BOG Milovac, LLC. 1/15/03440 S. LaSalle – Ste. 620Chicago, IL 60605

EFFECTIVE MEMBERSHIPS

Individual Members

Nominee(s) / Inactive Nominee(s): Effective Date

Douglas S. Komen (KUG) 1/9/03HGI, Inc.141 W. Jackson, Ste. 1880Chicago, IL 60604Type of Business to be Conducted: Floor Broker / Market Maker

Vinko Sajn (VNK) 1/9/03SLK-Hull Derivatives, LLC311 S. Wacker – Ste. 1400Chicago, IL 60606Type of Business to be Conducted: Floor Broker / Market Maker

Termination Date


Philip W. Giordano (PGI) 1/10/03Tahoe Trading, LLC440 S. LaSalle, Ste. #3100Chicago, IL 60604Type of Business to be Conducted: Market Maker

Joshua Hinterlong (SHG) 1/13/03Grace Trading, LLC440 S. LaSalle, Ste. 2500Chicago, IL 60605Type of Business to be Conducted: Market Maker

Matthew Andrews (MTA) 1/13/03BOTTA Capital Management, LLC440 S. LaSalle, Ste. #3400Chicago, IL 60605Type of Business to be Conducted: Market Maker

Andrew M. Woods (WDZ) 1/13/03Bear Wagner Specialists, LLC440 S. LaSalle, #2500Chicago, IL 60605Type of Business to be Conducted: Market Maker

Patricia A. Konieczka (TSH) 1/15/03BOTTA Capital Management, LLC440 S. LaSalle St., Ste. 3400Chicago, IL 60605Type of Business to be Conducted: Market Maker

Richard F. Sterioti (RXR) 1/15/03Tanstaafl Research & Trading, LLC2279 Glouceston LaneNaperville, IL 60564Type of Business to be Conducted: Market Maker

Member Organizations

Correction to Bulletin Dated: 1/17/03

Lessee(s): Effective Date

Deere Park Equities, L.L.C. 1/2/03Attn: Douglas Gerrard601 S. LaSalle - Fl #2Chicago, IL 60605

JOINT ACCOUNTS

New Participants Acronym Effective Date

Vinko Sajn QBD 1/9/03

Vinko Sajn QLL 1/9/03

Cari M. Nicklaus QNQ 1/10/03

Cari M. Nicklaus QIA 1/10/03

Joshua Hinterlong QDW 1/13/03

Andrew M. Woods QBW 1/13/03

Matthew Andrews QLX 1/13/03

Matthew Andrews QUZ 1/13/03

Matthew Andrews QBL 1/13/03

Thomas W. Pruter QFM 1/14/03

Jason M. Kreuzer QFM 1/14/03

Peter V. Rogus QCM 1/14/03

Edward P. McFadden III QCM 1/14/03

Terminated Participants Acronym Termination Date

Matthew W. Kingsbury QRQ 1/9/03

Matthew W. Kingsbury QFW 1/9/03

Matthew W. Kingsbury QJP 1/9/03

Matthew W. Kingsbury QFY 1/9/03

Jeffrey T. Bull QTV 1/10/03

Michael J. Edwards QBJ 1/13/03

Michael J. Edwards QBL 1/13/03

Michael J. Edwards QEK 1/13/03

Michael J. Edwards QKM 1/13/03

Michael J. Edwards QLX 1/13/03

Michael J. Edwards QME 1/13/03

Michael J. Edwards QNK 1/13/03

Michael J. Edwards QSK 1/13/03

Michael J. Edwards QTK 1/13/03

Michael J. Edwards QYK 1/13/03

Terrance G. Lyons QTH 1/13/03

Ted M. Piotrowski QHO 1/14/03

Scott I. Bauer QET 1/14/03

Scott I. Bauer QLX 1/14/03

Scott I. Bauer QME 1/14/03

Scott I. Bauer QNK 1/14/03

Scott I. Bauer QQW 1/14/03

Scott I. Bauer QXN 1/14/03

Scott I. Bauer QYX 1/14/03

Ted M. Piotrowski QBY 1/14/03

Ted M. Piotrowski QRX 1/14/03

Ted M. Piotrowski QFE 1/14/03

Ted M. Piotrowski QHO 1/14/03

Mark Severin QFM 1/14/03

Mark Severin QSV 1/14/03

Terminated Accounts Acronym Termination Date

Adam S. Stolberg QOZ 1/10/03

Reid Grainger QDW 1/13/03

Effective Date Effective Date


CHANGES IN MEMBERSHIP STATUS

Individual Members Effective Date

Matthew W. Kingsbury 1/9/03From: CBT Registered For Equitec Proprietary Markets, LLC;

Floor Broker/Market MakerTo: CBT Registered For Equitec Structured Products, LLC;

Floor Broker/Market Maker

Jason M. Kreuzer 1/14/03From: Nominee For StoneHedge Securities, LLC; Floor Broker/

Market MakerTo: Nominee For Prime Markets Group, LLC; Floor Broker/

Market Maker

Ted M. Piotrowski 1/14/03From: Nominee For TD Options, LLC; Floor Broker/Market MakerTo: Nominee For Tahoe Trading, LLC; Market Maker

Thomas W. Pruter 1/14/03From: Lessor/Nominee for StoneHedge Securities, LLC; Market

Maker/Floor BorkerTo: Lessor/Nominee For Prime Markets Group, LLC; Market

Maker/Floor Broker

Douglas R. Walker 1/15/03From: Nominee For StoneHedge Securities, LLC; Floor Broker/

Market MakerTo: CBT Registered For StoneHedge Securities, LLC; Floor

Broker/Market Maker

Thomas A. Hamilton Jr. 1/15/03From: Nominee For G-Bar Limited Partnership; Market MakerTo: Lessee; Market Maker

Member Organizations Effective Date

HGI, Inc. 1/9/03From: Member Organization Affiliated with Registered For;

Associated with a Market Maker/Floor BrokerTo: Member Organization Affiliated with Registered For/Lessee;

Associated with a Market Maker/Floor Broker

Bear Hunter Structured Products, LLC 1/10/03From: Lessee/Member Organization Affiliated with a Registered

For; Associated with a Market MakerTo: Member Organization Affiliated with a Registered For;

Associated with a Market Maker

RCI, Limited Partnership 1/13/03From: Lessor/LesseeTo: Lessor

BOTTA Capital Management, LLC 1/13/03From: Lessor/Lessee/Member Organization Affiliated with

Registered For; Associated with a Market MakerTo: Lessor/Lessee/Member Organization Affiliated with

Registered For/Owner; Associated with a Market Maker

MEMBER ADDRESS CHANGES

Individual Members Effective Date

Eric L. Winiecke 1/9/03428 W. Walnut StreetHinsdale, IL 60521

James P. Buckley 1/14/03175 W. Jackson - Ste. 470Chicago, IL 60604

Justin J. Biebel 1/14/03175 W. Jackson - Ste. 470Chicago, IL 60604

Eric A. Conlon 1/14/03175 W. Jackson Blvd., Ste. #470Chicago, IL 60604

John R. Connolly 1/14/03175 W. Jackson Blvd., Ste. #470Chicago, IL 60604

David T. Crowder 1/14/03175 W. Jackson Blvd., Ste. #470Chicago, IL 60604

Scott R. Evans 1/14/03175 W. Jackson - Ste. 470Chicago, IL 60604

Brian M. Garriotte 1/14/03175 W. Jackson - Ste. 470Chicago, IL 60604

Thomas M. Lang 1/14/03175 W. Jackson Blvd., Ste. 470Chicago, IL 60604

Bryan J. Luby 1/14/03175 W. Jackson Blvd., Ste. 470Chicago, IL 60604

William L. Patterson 1/14/03175 W. Jackson, Suite 470Chicago, IL 60604

Franz F. Paul 1/14/03175 W. Jackson - Ste. 470Chicago, IL 60604

Daniel T. Shively 1/14/03175 W. Jackson Blvd., Suite 470Chicago, IL 60604

Michael W. Thompson 1/14/03175 W. Jackson Blvd., Suite 470Chicago, IL 60604


POSITION LIMIT CIRCULARSPursuant to Exchange Rule 4.11, the Exchange issued the below listed Position Limit Circulars between January 13 and January 21, 2003. Thecomplete circulars are available from the Department of Market Regulation, in the data information bins on the 2nd Floor of the Exchange, and on theCBOE website at cboe.com under the “Market Data” tab.

To receive regular updates of the position limit list via fax, contact Candice Nickrand at (312) 786-7730. Questions concerning position and exerciselimits may be directed to the Department of Market Regulation to Joanna Fields at (312) 786-7128 or Michael Felty at (312) 786-7504.

RESEARCH CIRCULARSThe following Research Circulars were distributed between January 14 and January 17, 2003. If you wish to read the entire document, pleaserefer to the CBOE website at www.cboe.com and click on the “Trading Tools” Tab. New listings and series information is also available in theTrading Tools section of the website. For questions regarding information discussed in a Research Circular, please call The Options ClearingCorporation at 1-888-OPTIONS.

POSITION LIMITSFor a complete list of all applicable limits, check 2nd Floor Data Information Bins or contact the Department of Market Regulation. If you wish toreceive regular updates of the position limit list, please contact Candice Nickrand at (312) 786-7730 of the Department of Market Regulation.

Position Limit Circular PL03-04January 13, 2003Equity Option Classes which Qualify for a Higher TierPosition and Exercise Limit

Position Limit Circular PL03-05January 13, 2003Revision to Research Circular #RS02-639Murphy Oil Corporation (“MUR”)2-for-1 Stock SplitEx-Date December 31, 2002

Position Limit Circular PL03-06January 13, 2003Daimler-Chrysler AG (“DCX”), Kerr-McGee Corp. (“KMG”)and Packaging Corporation of America’s (“PKG”)Position and Exercise Limits were scheduled to be decreased andnow qualify to remain at the same contract limit.

Position Limit Circular PL03-07January 13, 2003ASE Test Limited (“ASTSF/QDQ”), Diebold, Incorporated (“DBD”),Oakley Inc. (“OO”) and Whole Foods Markets, Inc.’s (“WFMI/FMQ”)Position and Exercise Limits were scheduled to be decreased andnow qualify to remain at the same contract limit.

Position Limit Circular PL03-08January 21, 2003Unhedged Position and Exercise Limit ReviewEffective January 21, 2003

Research Circular #RS03-012January 14, 2003Inhale Therapeutic Systems, Inc. (“INHL/QNX”)Name and Underlying Symbol Change to: Nektar Therapeutics(“NKTR”)Effective Date: January 15, 2003

Research Circular #RS03-020January 16, 2003Ariba, Inc. (“ARBA/IRU”)Underlying Symbol Change to “ARBAE”Effective Date: January 17, 2003

Research Circular #RS03-022January 17, 2003IMS Health Incorporated (“RX/KNG/ZNW”):Partial Exchange Offer

RegulatoryBulletin

January 24, 2003 Volume RB14, Number 4

The Constitution and Rules of the Chicago Board Options Exchange, Incorporated(“Exchange”), in certain specific instances, require the Exchange to provide notice to themembership. The weekly Regulatory Bulletin is delivered to all effective members tosatisfy this requirement.

RegulatoryCirculars

Regulatory Circular RG03-04

From: Legal Division

Re: 2002 Regulatory Circulars

Regulatory Circular RG03-04 is a list of Regulatory Circulars issued by the CBOE in 2002.The list is enclosed with this issue of the Regulatory Bulletin.


Date: January 10, 2003

To: All Designated Primary Market-Makers

From: Department of Market Monitoring/Regulatory Services Division

Re: Limit Order Display Requirements

As you were previously advised in various written communications from the Exchange,Phase III of the progressive reduction of the limit order-handling standard (the requirementthat a DPM execute, display or book at least 95% of certain eligible limit orders immedi-ately but not later than 30-seconds under normal market conditions1), is scheduled to takeeffect January 20, 2003. Although CBOE members have shown steady improvement incomplying with the performance standards to date, it still appears that it would be difficultfor most DPMs to meet the requirement to book 95% in 30-seconds or less.

As a result, the Exchange is developing an enhancement to the PAR workstation that willresult in the automatic booking of eligible limit orders residing on PAR after a des-ignated amount of time not to exceed 30 seconds. This project will be completed byApril 2003. In conjunction with this effort, the Exchange also requested from the SEC anextension of time in moving to the 95% in 30-seconds or less standard. The SEC hasgranted this request. As such, the requirement to handle at least 95% of certaineligible limit orders within 60-seconds or less under normal market conditions willremain in effect until April 18, 2003. DPMs will continue to be subject to disciplinaryaction for failure to meet this standard.

1Eligible limit orders were defined by the BCC to include orders routed electronically through the CBOE’sOrder Routing System (“ORS”) that middle the disseminated quote at the time of entry in ORS that arerouted to Live Ammo or the DPM floor broker workstation (PAR terminal). Although all limit orders shouldbe executed or booked promptly, limit orders subject to the standard do not include orders a) in excess of100 contracts, b) that would lock/cross the NBBO if booked, c) received on PAR prior to the opening oftrading and for 5 minutes following the opening of trading (whether at the beginning of a trading day orafter a halt), d) entered during the last 5 minutes of trading or e) for which the DPM enters an order withthe same terms to another exchange for execution. Contingency, broker-dealer and non-electronic or-ders are also excluded, as well as orders entered during unusual market conditions.

RB2 January 24, 2003, Volume RB14, Number 4

Regulatory Circularscontinued

Regulatory Circular RG03-03 continued

The Exchange, in the near future, will begin providing each DPM with updates of their limitorder display performance as measured against the 95% in 30-seconds or less standard.These updates will be provided strictly on an informational basis in an effort to give youadvance notice of whether it appears the DPM will meet the reduced standard and toenable you to take the necessary steps to ensure that the DPM is in compliance with thereduced standard upon its effective date of April 21, 2003.

Should you have any questions concerning this memorandum or wish to discuss yourDPMs performance with respect to limit order display requirements, please contact KarenCharleston at 786-7724.


To: Members

From: Stock Selection Committee

Date: January 14, 2003

Re: Adding New Series of Option Contracts

Due to questions from members as to when CBOE may add additional series of optioncontracts on equity option classes, the Stock Selection Committee thought it would behelpful to describe some of the criteria under CBOE Rule 5.4 for adding new series ofoption contracts.

Maintenance Criteria. Pursuant to Rule 5.4, Interpretation .01, CBOE cannot add newseries of option contracts on an equity option class whenever any of the following occur1:

• Price. The market price per share of the underlying security closed below $3 inthe primary market in which it is traded on the previous trading day.

• Float. There are fewer than 6.3 million shares of the underlying security held bypersons other than those required to report their security holdings under Section16(a) of the Exchange Act.

• Holders. There are fewer than 1,600 holders of the underlying security.• Volume. The trading volume (in all markets in which the underlying security is

traded) was less than 1.8 million shares in the preceding 12 months.

$3 Price Requirement. Provided none of the limitations listed above occur, and no otherrestrictions under CBOE Rules prevent the listing of new series (see footnotes), CBOEcan add additional series on an intra-day or next-day basis, or following expiration, whenthe market price per share of the underlying security is at or above $3 as follows:

• For Intra-day Series Additions, to add new series the underlying security mustclose at or above $3 on the previous trading day in the primary market in whichthe security is traded, and the last reported trade in the primary market must be ator above $3 at the time CBOE determined to add these additional series.

• For Next-Day and Expiration Series Additions, to add new series the underly-ing security must close at or above $3 in the primary market in which the under-lying security is traded on the last trading day before the series are added.

1Two other limitations in Rule 5.4 not listed below for adding new option series are that the issuer hasfailed to make timely reports as required by the Exchange Act, and that the issue has been delisted or isno longer designated an NMS security.

January 24, 2003, Volume RB14, Number 4 RB3

Regulatory Circularscontinued

Regulatory Circular RG03-05 continued

One exception to the $3 price requirement is that CBOE can add a new series even thoughthe market price of the underlying security is below $3 provided that at least one otheroptions exchange trades the series to be added, and at the time the other options ex-change added the series, it met the $3 price requirement.

If a member wishes to add a new series of option contracts for an underlying security thatmeets the above criteria, members should contact the Market Services Department at ext.7351.2

2Please note that under Rule 5.5, the Exchange due to unusual market conditions may add new series ofoptions on an individual stock until five business days prior to expiration.

Rule Changes,Interpretationsand Policies

PROPOSED RULE CHANGESPursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, as amended (“theAct”), and Rule 19b-4 thereunder, the Exchange has filed the following proposed rulechange with the Securities and Exchange Commission (“SEC”). A copy of the rulechange filing is available from the Legal Division. Members may submit written com-ments to the Legal Division.

The effective date of a proposed rule change will be the date of approval by the SEC,unless otherwise noted.

SR-CBOE-2003-01 In-House Administration of Continuing Education for Regis-tered Persons

On January 8, 2003, the Exchange filed Rule Change File No. SR-CBOE-2003-01,which proposes to amend Rule 9.3A, Continuing Education for Registered Persons topermit member firms to administer in-house the Regulatory Element of the ContinuingEducation Program to their registered persons.

Any questions regarding the proposed rule change may be directed to Jaime Galvan,Legal Division, at 312-786-7058. The text of the proposed rule amendments is set forthbelow. Proposed new language is underlined, deleted language is [stricken through].A copy of the filing is available from the Legal Division.

Rule 9.3A. Continuing Education for Registered Persons

(a) No Change.

(b) In-house Delivery of Regulatory Element - Member organizations willbe permitted to administer the Regulatory Element of the Continuing Educa-tion program to their registered persons by instituting a firm program accept-able to the Exchange. The following procedures are required:

(1) Senior Officer or Partner in Charge – The member organization hasdesignated a senior officer or partner to be responsible for the firm’sdelivery of the Regulatory Element of the Continuing Education pro-gram.

(2) Site Requirements – The location of all delivery sites will be under thecontrol of the member organization. Delivery of Regulatory Elementcontinuing education will take place in an environment conducive totraining (i.e., a training facility, conference room or other area dedi-cated to this type of purpose would be appropriate. Inappropriate lo-cations would include a personal office or any location that is not orcannot be secured from traffic and interruptions). Where multiple de-livery terminals are placed in a room, adequate separation betweenterminals will be maintained.


(3) Technology Requirements – The communication links and firm deliv-ery computer hardware must comply with standards defined by theExchange or its designated vendor.

(4) Supervision – The member organization’s written supervisory proce-dures must contain the procedures implemented to comply with therequirements of its delivery of Regulatory Element continuing educa-tion. The member organization’s written supervisory procedures mustidentify the senior officer or partner designated pursuant to paragraph(b)(1) above and contain a list of individuals authorized by the mem-ber to serve as a proctor. Member organization locations for deliveryof Regulatory Element continuing education will be specifically listedin the member’s written supervisory procedures.

(5) Proctors – All sessions will be proctored by an authorized personduring the entire Regulatory Element continuing education session.Proctors must be present in the session room or must be able to viewthe person(s) sitting for Regulatory Element continuing educationthrough a window or by video monitor. The individual responsible forproctoring at each administration will sign a certification that requiredprocedures have been followed, that no material from Regulatory El-ement continuing education has been reproduced, and that no candi-date received any assistance to complete the session. Such certifi-cation may be a part of the sign-in log required under paragraph (b)(6)below. Individuals serving as proctors must be individuals registeredwith the Exchange as “proctors” and supervised by the designatedsenior officer/partner for purposes of member organization deliveryof Regulatory Element continuing education. Proctors will check andverify the identification of all individuals taking Regulatory Elementcontinuing education.

(6) Administration – All appointments will be scheduled in advance usingthe procedures and software specified by the Exchange, its agent ordesignated vendor to communicate with the Proctor system and theNASD’s CRD System. The member/proctor will conduct each ses-sion in accordance with the administrative and appointment schedul-ing procedures required by the Exchange or its designated vendor.A sign-in log will be maintained at the delivery facility. Logs will con-tain the date of each session, the name and social security numberof the individual taking the session, that required identification waschecked, the sign-in time, the sign-out time, and the name of theindividual proctoring the session. Such logs are required to be re-tained pursuant to Securities Exchange Act of 1934 Rules 17a-3 and17a-4. No material will be permitted to be utilized for the session normay any session-related material be removed. Delivery sites will bemade available for inspection by the SROs. Before commencing in-firm delivery of the Regulatory Element continuing education, mem-bers are required to file with their Designated Examining Authority(“DEA”), a letter of attestation (as specified below) signed by a seniorofficer or partner, attesting to the establishment of required proce-dures addressing senior officer or partner in-charge, supervision, site,technology, proctors, and administrative requirements.

Rule Changes,Interpretations andPolicies continued

SR-CBOE-2003-1 continued


Rule Changes,Interpretations andPolicies continued Letter of Attestation for In-Firm Delivery of Regulatory Element Continuing

Education

[Name of member or member organization] has established proceduresfor delivering Regulatory Element continuing education on its premises. Ihave determined that these procedures are reasonably designed to com-ply with SRO requirements pertaining to in-firm delivery of Regulatory Ele-ment continuing education, including that such procedures have been imple-mented to comply with senior officer or partner in-charge, supervision, site,technology, proctors, and administrative requirements.

Signature

Printed name

Title [Must be signed by a Principal Executive Officer (or ExecutiveRepresentative) of the firm]

Date

(7) Annual Representation – Each member organization will be requiredto represent to the Exchange, annually, that they have continued tomaintain, and reasonably believe that they have complied with, all re-quired procedures outlined in paragraphs (b)(1)-(b)(6) above for theprevious year. Such attestation must be signed by a senior officer orpartner.

(8) Definition of Senior Officer/Partner – For purposes of paragraph (b) ofthis rule, “senior officer or partner” means the chief executive officer ormanaging partner or either (A) any other officer or partner who is amember of the member organization’s executive or management com-mittee or its equivalent committee or group or (B) if the member orga-nization has no such committee or group, any officer or partner havingsenior executive or management responsibility who reports directly tothe chief executive officer or managing partner. If, in the case of amember organization, its chief executive officer or managing partnerdoes not sign the attestation, a copy of the attestation shall be pro-vided to the chief executive officer or managing partner.

[(b)](c) Firm Element No change.

…Interpretations and Policies:

.01 - .05 No change.

SR-CBOE-2003-02 Reporting Requirements for Registered Persons

On January 8, 2003, the Exchange filed Rule Change File No. SR-CBOE-2003-02,which proposes to amend the Exchange Rules 3.6A and 9.4 to bring the outside busi-ness affiliation reporting requirements of registered persons of CBOE members in linewith those of the other major securities exchanges.



Rule Changes,Interpretations andPolicies continued


Any questions regarding the proposed rule change may be directed to Jaime Galvan,Legal Division, at 312-786-7058. The text of the proposed rule amendments is setforth below. Proposed new language is underlined, deleted language is [strickenthrough]. A copy of the filing is available from the Legal Division.

Membership

Rule 3.6A. Qualification and Registration of Certain AssociatedPersons

(a) Financial/Operations Principal. Each individual member or member orga-nization subject to Exchange Act Rule 15c3-1 shall designate a Financial/Operations Principal. The duties of a Financial/Operations Principal shallinclude taking appropriate actions to assure that the member complies withapplicable financial and operational requirements under the Rules and theExchange Act, including but not limited to those requirements relating to thesubmission of financial reports and the maintenance of books and records.Each Financial/Operations Principal is required to have successfully com-pleted the Financial and Operations Principal Examination (Series 27 Exam).Each Financial/Operations Principal designated by a member shall be regis-tered in that capacity with the Exchange in a form and manner prescribed bythe Exchange. A Financial/Operations Principal of a member may be a full-time employee [of the member, or with the prior written approval of the Ex-change, may be] a part-time employee or independent contractor of the mem-ber. Member firms for which the Exchange is the Designated ExaminingAuthority (“DEA”) must provide prompt written notice to the Exchange’s De-partment of Financial and Sales Practice Compliance for each person desig-nated as a Financial/Operations Principal reporting whether such person is afull-time employee, part-time employee, independent contractor or has anyoutside business affiliations.

(b) No change.

…Interpretations and Policies:

.01 - .03 No change.

******Doing Business with the Public

Rule 9.4. Other Affiliations of Registered [Representatives] Associ-ated Persons

(a) No person associated with a member in any registered capacity shall beemployed by, or accept compensation from, any other person or entity as aresult of any business activity, other than a passive investment, outside thescope of his/her relationship with his/her employer firm, unless the personhas provided prompt written notice to the member and has received priorwritten consent of the member.

(b) Except with the prior written consent of the member and [express] promptwritten notice to [permission of] the Exchange, every Registered Options Prin-cipal, Sales Supervisor, and Financial/Operations Principal registered with amember for which the Exchange is the Designated Examining Authority (“DEA”)[and Registered Representative] shall devote his/her entire time during busi-ness hours to the business of the member organization employing [him] orcompensating him/her.[ or to the business of its affiliates which are engagedin the transaction of business as a broker or dealer in securities or commodi-ties or in such other businesses as have been approved by the Exchange.]


ArbitrationAwards

ARBITRATION AWARDSPursuant to Exchange Rule 18.31, Arbitration Awards, for claims filed after September 1,1989, are publicly available, provided that the name of a public customer is withheld uponthe written request of the customer. Upon written request, copies of Awards are availablefrom the Arbitration Department.

Summaries of all Awards are published in the Regulatory Bulletin. In addition, all Awardsare provided to the Securities Arbitration Commentator. Awards involving public custom-ers are reported to the Central Registration Depository (CRD). Questions regarding arbi-tration may be directed to the Arbitration Department at 312-786-7070 or 312-786-7461.

Case Name: Scott & Stringfellow, Inc. v. Joseph S. Sullivan

Case Number: 02NM002

Date Received: July 26, 2002

Summary of Issues: Failure to Execute

Amount in Dispute: $6,300.00

Award: $0

Date Issued: December 20, 2002

Date: January 14, 2003 Regulatory Circular RG03-04 To: Membership From: Legal Division Re: 2002 Regulatory Circulars

Regulatory Circular #

Subject

Issued By

Regulatory Bulletin

Issue RG02-01 Delisting Option Classes

Allocation Committee 1-18-02

RG02-02 Inter-Exchange Procedures in Volatile Markets For First Quarter 2002

Market Operations 1-18-02

RG02-03 Limit Order Handling

Regulatory/Legal Divisions

1-25-02

RG02-04 Focus Report (Form X-17A-5)

Financial and Sales Practice Compliance

1-25-02

RG02-05 Product Delisting

Office of the Chairman 1-25-02

RG02-06 Restrictions on Transactions in Enron Corporation (ENE)


RG02-07 Semi-Annual Position and Exercise Limit Review

Market Regulation 2-1-02

RG02-08 2001 Regulatory Circulars

Legal 2-1-02

RG02-09 Restrictions on Transactions in Global Crossing, (GX)


Exchange policy provides that communications to Exchange members of a regulatory nature will bedesignated Regulatory Circulars, approved by the Legal Division, and published in the Regulatory Bulletin. For the convenience of the membership, the following is a list of Regulatory Circulars thatwere issued during 2002. Any questions regarding a specific circular may be directed to the Exchange department or committee that issued the notice. Regulatory Bulletins from 1998 to the present are available on the MembershipSite at http://www/cboe.com.

2002 REGULATORY CIRCULARS

http://www/cboe.com

RG02-10 New RAES Series Guidelines for XEO

Index Floor Procedure Committee

2-8-02

RG02-11 Morning Trade Checking Attendance Schedule

Clearing Procedures Committee

3-1-02

RG02-12 Water Bottles on the Floor

Floor Officials and Facilities Committees

3-1-02

RG02-13 SPX Combination Orders

Regulatory/Legal Divisions 3-1-02

RG02-14 New Vendor Service

Systems Operations/Trading Systems Support

3-15-02

RG02-15 Option Trading Permit Lease Pool Procedures

Membership

3-22-02

RG02-16 New Prefix for SPX Combo Orders

SPX Floor Procedure Committee

3-29-02

RG02-17 Restrictions on Transactions in A.C.L.N. LTD. (ASW)


RG02-18 Delisting Option Classes


RG02-19 Monthly “Fair Value” Settlement of CME Stock Index Futures and Options and Quarterly Closing Rotation

Research and Planning 4-19-02

RG02-20 Inter-Exchange Procedures in Volatile Markets for Second Quarter 2002


RG02-21 How Firm Quote Rule Applies to Orders Received on PAR Terminals in DPM Crowds

Legal 4-26-02

RG02-22 PAR Routing Policy

Trading Operations 5-3-02

RG02-23 Automated Book Priority (ABP) Usage


RG02-24 DPM /Crowd Choice on RAES Size


RG02-25 Firm OCC Clearing Number Removed from PAR




RG02-27 How Firm Quote Rule Applies To Orders Received on DPM PAR Terminals

Legal/Regulatory Services Divisions

5-3-02

RG02-28 Position and Exercise Limits


RG02-29 DPM Clerk Administrative and Operational Policies

Market Monitoring 5-3-02

RG02-30 Obligations of Screen Based Trading (SBT) Lead Market Maker’s (LMMs) and Designated Primary Market Maker’s (DPMs)

Index Market Development/Market Performance/MTS Appointments Committees

5-3-02

RG02-31 Minimum Increment for Bids and Offers on Spread, Straddle and Combination Orders in SPX Options


5-24-02

RG02-32 Broker-Dealer Orders for Options on QQQ on RAES

Index Market Performance Committee

5-31-02

RG02-33 Gratuities Policy – Rule 4.4

Office of the Secretary 6-7-02

RG02-34 Proprietary Autoquote Systems

MTS Appointments Committee

6-7-02

RG02-35 Removal of Unreliable Quotes from NBBO

Legal 6-7-02

RG02-36 Restrictions on Transactions in Adelphia Communications Corp. (ADU)


RG02-37 Ability to Refresh Quote when DPM is in the Process of Effecting a Transaction

Legal/Regulatory Services Division

6-21-02

RG02-38 Restrictions on Transactions in Madge Networks NV (VKM)


RG02-39 Monthly “Fair Value Settlement of CME Stock Index Futures and Options and Quarterly Closing Rotation

Research & Planning 6-21-02

RG02-40 Use of External Speakers on Electronic Devices

Equity Floor Procedure Committee

6-21-02

RG02-41 Alerting Customers to Adjustments to Option Contracts

Regulatory Services 6-21-02

RG02-42 Void

RG02-43 Void

RG02-44 Restrictions on Transactions in Certain HOLDR Options (IGD, HLL, HGL, MYA, OBH, OBK, PRH, PSH, VWH, OHZ & OYC)


RG02-45 CFTC Registration Requirements For Trading Security Futures


7-5-02

RG02-46 Time at Which Expiring AM-Settled Index Options are Considered Exercised, Assigned or Purged


RG02-47 Changes to Automatic Step-Up Policy


7-5-02

RG02-48 Responsibilities of Financial and Operations Principals


RG02-49 Limit Order Handling

Regulatory Services/Legal Divisions

7-12-02



RG02-51 Firm Quote Size for Broker Dealer Orders


7-12-02

RG02-52 AutoQuote Triggered Ebook Execution (“Trigger”)


7-19-02

RG02-53 Terminated Option Market-Maker Broker-Dealers


RG02-54 Inter-Exchange Procedures in Volatile Markets For Third Quarter 2002


RG02-55 Firm Quote Size for BD Orders


7-19-02

RG02-56 Void

RG02-57 Firm Quote for Broker Dealer Orders


7-26-02

RG02-58 Expansion of Products that May Participate in the Broker-Dealer Orders on RAES Pilot Program


7-26-02

RG02-59 Self-Serve Quote Reporting




RG02-61 Large Order Utility (LOU)


RG02-62 Order Origin Code Requirements


RG02-63 Restrictions on Transactions in Worldcom Inc. – Worldcom Group (LDQ)


RG02-64 Restrictions on Transactions in Worldcom Inc. – MCI Group (FQN)

Market Operations

8-9-02

RG02-65 Repeal of Restriction on Floor Brokers from Trading in Crowd of Affiliated DPMs

Modified Trading System Appointments Committee

8-16-02

RG02-66 Integration of CBOE Registrations into Web CRD

Regulatory Services

8-23-02

RG02-67 Restrictions on Transactions in Conseco Inc. (CNC)


RG02-68 Restrictions on Transactions in U.S. Airways Group, (U)


RG02-69 Anti-Money Laundering Programs

Regulatory Services

8-30-02

RG02-70 2002 Constitution and Rules (Paperbook) Regulatory Bulletin

Office of the Secretary

9-6-02

RG02-71 Option Trading Permit Lease Pool Procedures

Membership 9-27-02

RG02-72 Electronically Generated and Communicated Orders


9-27-02

RG02-73 Monthly “Fair Value” Settlement of CME Stock Index Futures and Options and Quarterly Closing Rotation

Research and Planning 9-27-02

RG02-74 Restrictions on Transactions in Akamai Technologies, Inc. (RUG)


RG02-75 Restrictions on Transactions in Certain SunMicro Inc. Options (SUQ)


RG02-76 CFTC No-Action Letter Concerning Commodity Pool Operator and Commodity Trading Advisor Registration Requirements

Legal 10-11-02



RG02-78 Position Limit Violations


RG02-79 Food Service

Facilities 10-18-02

RG02-80 Membership Application and Other Membership Fees

Membership 10-18-02

RG02-81 Inter-Exchange Procedures in Volatile Markets For Fourth Quarter 2002


RG02-82 2002 Annual Election Process


RG02-83 OneChicago Guarantee Forms

OneChicago LLC/Membership

10-25-02

RG02-84 Regulation of Headsets


10-25-02

RG02-85 Void


Office of the Chairman

11-1-02

RG02-87 Restrictions on Transactions in HPL Technologies (QHP)

Market Operations

11-1-02

RG02-88 No Restrictions on Transactions in Certain SunMicro Inc. Options (SUQ)

Market Operations

11-1-02

RG02-89 RAES for Broker Dealer Orders in Equity Classes


RG02-90 Annual Audit Requirement

Regulatory Services

11-8-02

RG02-91 Implications of Trading Security Futures Contracts for Market-Makers that Operate Under an Exemption From Net Capital Requirements


RG02-92 Use of Communication/Computer Systems in Trading Crowds

Equity Floor Procedure/Index Floor Procedure/SPX Floor Procedure Committees

11-15-02

RG02-93 Changes to the Unbundling and 15-Second Rules (RG00-27 Revised)


11-15-02

RG02-94 Restrictions on Transactions in CMGI, Inc. (VCK)

Market Operations

11-15-02

RG02-95 Electioneering (RG01-137 Revised)

Election Committee 11-22-02

RG02-96 Campaign Materials (RG01-164 Reissued)


RG02-97 Circumvention of In-Person Requirements

Market Quality Assurance/Regulatory Services

11-22-02

RG02-98 SEC Approval of Rule Filing Relating to CBOT Exercisers Approved for CBOT Membership Pursuant to Expedited Procedures

Legal 11-29-02

RG02-99 RAES Log On Requirements

Equity Market Development/Market Performance Committees

11-29-02

RG02-100 Restrictions on Transactions in Genzyme Biosurgery (GZBX/TQG)

Market Operations

11-29-02

RG02-101 Violations of Trading Conduct and Decoum Policies

Floor Officials Committee 11-29-02

RG02-102 Trade Match Input Cutoff Changes

Trading Systems Support 12-6-02

RG02-103 RAES for BD Orders in Equity Classes – Next 25 Symbols


RG02-104 Marking of Market-Maker Order Tickets


RG02-105 Morning Trade Checking Schedule

Trade Processing 12-6-02

RG02-106 Equity Option Post Telephone Policy


RG02-107 Permissible Maturity of FLEX Index Options


12-13-02

RG02-108 Gratuities Policy (RG02-33 Reissued)


RG02-109 Use of CBOE Autoquote System as a Backup

MTS Committee 12-20-02

RG02-110 IShares S&P 500 Fund (IVV) Margin Accounts – Writing Index Options on a Covered Basis and Eligibility for Covered Writing Approval Level

Department of Financial and Sales Prractice Compliance

12-20-02

RG02-111 Chicago Board Options Exchange’s Commencement of Quote Width Surveillance


RG02-112 UAL Corporation (UAL Options


RG02-113 CFTC No-Action Letter Concerning Commodity Pool Operator and Commodity Trading Advisor Registration Requirements (RG02-76 Revised)

Legal 12-27-02

RG02-114 Restrictions on Transactions in Kmart Corp. (KM)


RG02-115 Restrictions on Transactions in Certain Advocent Corporation Options (QVX)


RG02-116 Restrictions on Transactions in Leap Wireless Intl Inc. (LWIN)


RG02-117 Trigger Trades

Regulatory Services/Legal Divisions

01-03-03

RG02-118 Monthly “Fair Value” Settlement of CME Stock Index Futures and Options and Year End Closing Rotation

Research & Planning 01-03-03

RG02-119 Education Program For Market Linkage

Trading Operations

01-03-03

RG02-120 RAES for Broker-Dealer Orders in Top 250 Equity Classes


Information Circular IC03-06 Date: January 14, 2003 To: Membership From: Legal Division Re: 2002 Information Circulars Following is a list of the Information Circulars issued by the Exchange during 2002. Any questions with regard to a specific circular may be directed to the department or committee that issued the notice.

2002 INFORMATION CIRCULARS

Circular

Subject

Issued By

Date

Issued IC02-01 Memo from Mark Duffy to CBOE Members

Mark Duffy 01-01-02

IC02-02 2002 Committee Structure – A Preface

Mark Duffy 01-02-02

IC02-03 Fee Reductions for the Quarter Beginning 1/1/02


IC02-04 Clearing Firm Acronym Change


IC02-05 2002 Committees

Mark Duffy 01-04-02

IC02-06 CBOEdirect

Bill Brodsky 01-08-02

IC02-07 Pulse Phase 3 Rollout


IC02-08 One Chicago, L.L.C. LMM Applications

Market Quality Assurance 01-08-02

IC02-09 Allocation of Option Classes




IC02-11 Memo from Mark Duffy to CBOE Lessors

Mark Duffy 01-14-02

IC02-12 Member Firm Operations Committee, Clearing Procedures Committee, Financial Regulatory Committee for 2002

Mark Duffy 01-16-02

IC02-13 Information Circulars Issued in 2000 and 2001

Legal 01-23-02



IC02-15 2002 Committees

Mark Duffy 02-04-02





IC02-18 2002 Committees: Arbitration and Appeals Committee

Mark Duffy 02-12-02



IC02-20 Membership Meeting: February 25 and March 4, 2002


IC02-21 Elimination of Section 31 (b) Fees from Index Options Transactions

Legal 02-20-02

IC02-22 Elimination of Section 31(b) Fees from Index Options Transactions

Legal 02-22-02

IC02-23 Open Interest Newsletter

Public Relations 02-25-02

IC02-24 Transfer of Option Classes


IC02-25 Transfer of Option Classes






IC02-28 LEAP Conversion Schedule for All Cycles


IC02-29 Reallocation of Option Classes




IC02-31 Membership Vote Regarding Proposed Governance Changes

Board of Directors 03-14-02

IC02-32 Board Adopted Revisions Regarding Membership Votes and Committee Procedures


IC02-33 TNT Version 4.00




IC02-35 iSpreads – Spread Order Facility

Business Development 03-19-02



IC02-37 William Brodsky Letter to Membership Regarding Competitive Initiatives

Corporate Communications 03-22-02

IC02-38 Membership Vote Regarding Proposed Governance Changes


IC02-39 RAES Block for Manual Quotes and Step-Up From AQ


IC02-40 Dynamic Quote with Size Functionality








IC02-44 CBOE BuyWrite Monthly Index (BXM)

Business Development 04-11-02



IC02-46 Bring Your Child to Work Day

Ed Joyce 04-19-02

IC02-47 New Vendor Service Systems Operations/Trading Systems Support

04-10-02

IC02-48 Fee Changes


IC02-49 Board Meeting Update

Chairman 05-09-02

IC02-50 DPM Seat Ownership Requirement

DPM Administration Department

05-10-02

IC02-51 Membership Meeting

Membership 05-13-02

IC02-52 Exchange Governance Structure

William Brodsky

05-14-02



IC02-54 Open Interest






IC02-57 OEX Exercise Advice Box and Time Clock


05-24-02

IC02-58 TNT Version 4.00


IC02-59 MNX Customer Fees Reduction and Firm Facilitation Rates Clarification

Financial Planning 05-31-02

IC02-60 RAES Block for Locked and Inverted Markets


IC02-61 Membership Meeting – Tuesday, June 11, 2002 – Schedule of Membership Meetings for the Year




IC02-63 Security Modifications

Security 06-07-02

IC02-64 Telecomm Service Center Move

Telecommunications 06-10-02

IC02-65 Allocation of Option Class


IC02-66 Fiscal 2003 Fee Changes and Prospective Fee Reduction Program

Financial Planning Committee

06-17-02

IC02-67 Large Trader Reporting System For Security Futures Products

Intermarket Surveillance Group (ISG), American Stock Exchange (AMEX), Chicago Mercantile Exchange (CME), Island Futures Exchange, L.L.C. (IFX), Nasdaq Liffe Markets, L.L.C. (NQLX), OneChicago, L.L.C. (ONE), Philadelphia Stock Exchange (PHLX)

05-22-02



06-19-02

IC02-69 Governance Update

Floor Directors

06-19-02

IC02-70 Electronic Access Firm Proposal

Membership Committee

06-20-02


Allocation Committee

06-28-02

IC02-72 Relocation of DPMs and Trading Crowds on CBOE



Public Relations

07-01-02



IC02-75 Voluntary Delisting of Option Classes




IC02-77 LOU Rollout

Trading Operations

07-22-02

IC02-78 NASDAQ – Elimination of Bid Tick and UPC Indicators


08-15-02

IC02-79 Changes to PAR Functionality


IC02-80 Governance Recommendations

Bill Brodsky, Mark Duffy

07-16-02



IC02-82 Governance Recommendations of the Board of Directors

Bill Brodsky, Mark Duffy 07-22-02

IC02-83 Letter to Members

Bill Brodsky 07-31-02

IC02-84A New SEMS Workstation Install


IC02-84B New SEMS Workstation Install


IC02-85 Reduced Costs Passed Through for Tethered Market-Maker Handheld Terminal (MMHH) Electrical Services

Floor Procedure Committee 08-05-02

IC02-86 New RAES Access Fee in Certain Products Effective 8-1-02

Floor Procedure Committee 08-05-02

IC02-87 New Member Market-Maker (N origin Code) Transaction Fee Increase Suspended

Financial Planning 08-05-02

IC02-88 PAR Buy-Side Reporting


IC02-89 Membership Voting Results Hotline


IC02-90 Special Membership Meeting – August 15, 2002




IC02-92 Election Certificate


IC02-93 Selection of Nominees for the Board of Directors, Nominating Committee and MTS Appointments Committee

Nominating Committee 08-16-02

IC02-94 Vote Governance Recommendations


IC02-95 Partnership with John B. Drake School – Back to School Supply Drive


IC02-96 Invitation to Meet with Nominating Committee

Chairman of Nominating Committee

08-19-02

IC02-97 Great America Tickets on Sale

Accounting 08-20-02



IC02-99 Nominating Committee Meetings


IC02-100 Persons Who Have Submitted Their Names to Fill Vacancies on the Board of Directors, the Nominating Committee and the MTS Committee






IC02-103 Membership Vote on Electronic Access Firm Proposal


IC02-104 Commerative September 11th Ceremonies




IC02-106 Relocation of DPMs and Trading Crowds on CBOE






IC02-109 Krispy Kreme Party Invitation


IC02-110 Nominating Committee Meetings – Revised Schedule






IC02-113 Relocation of DPM’s and Trading Crowds on CBOE


IC02-114 Membership Subcommittee on Electronic Access

Membership Subcommittee 9-30-02







IC02-118 CBOE – Cincinnati Stock Exchange Affiliation History and Relationship

Mark Duffy

10-8-02



IC02-120 Candidates for the Board of Directors, the Nominating Committee and the MTS Appointments Committee


IC02-121 Reallocation of Option Class




IC02-123 Membership Voting Results Hotline


IC02-124 Annual Member’s Meeting


10-10-02

IC02-125 Visitor’s Gallery

CBOE Security

10-16-02

IC02-126 Building Evacuation Drill

Floor Officials

10-16-02

IC02-127 Election Certificate (EAF Vote)


IC02-128 Letters to Members

Public Relations

10-18-02


Public Relations

10-18-02

IC02-130 OneChicago Launch of Security Futures Trading

Business Development Division

10-30-02



10-31-02

IC02-132 Void

IC02-133 ILX and Reuters – How to Call Up Single Stock Futures


11-8-02

IC02-134 Annual Holiday Food Drive


11-06-02

IC02-135 Void



11-7-02

IC02-137 “Warm Some Hearts” Coat Drive – Drake Elementary School


IC02-138 Membership Meeting Cancellation


IC02-139 RAES Login Screen Changes


IC02-140 SEC Approval of Rule Filing Concerning Governance of the Exchange

Legal 11-13-02



IC02-142 Annual Election Meeting




IC02-144 Stock Futures Available at OneChicago






IC02-147 Equities Non-Customer RAES Access Fee Effective November 21, 2002

Financial Planning Committee

11-21-02

IC02-148 Annual Election Certificate


IC02-149 Compliance with Final Judgment Agreed to With the Department of Justice

Legal 11-25-02

IC02-150 Additional Stock Futures Available at OneChicago

Corporate Communications

11-27-02



IC02-152 Vice Chair


IC02-153 NASD Trading Activity Fee

Legal 12-4-02

IC02-154 Membership Meetings


IC02-155 Family Day

Bill Brodsky/Ed Joyce 12-11-02

IC02-156 Holiday Gifts

Floor Officials Committee 12-13-02





IC02-159 Vice Chairman

Bill Brodsky/Board of Directors

12-23-02



IC02-161 Special Meeting of the Members to Consider Petitions

Executive Committee 12-31-02

exchange & regulatory bulletin - cboe.com · peter v. rogus qcm 1/14/03 edward p. mcfadden iii...

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