Notice2026-06469
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rules 5055 (FLEX Equity Options) and 3120 (Position Limits)
Primary source
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Published
April 3, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 64 (Friday, April 3, 2026)</title>
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[Federal Register Volume 91, Number 64 (Friday, April 3, 2026)]
[Notices]
[Pages 17002-17005]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-06469]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-105123; File No. SR-BOX-2026-06]
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing
of Proposed Rule Change To Amend BOX Rules 5055 (FLEX Equity Options)
and 3120 (Position Limits)
March 31, 2026.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 27, 2026, BOX Exchange LLC (``Exchange'') filed with the
Securities and Exchange Commission (``Commission'') the proposed rule
change as described in Items I and II below, which Items have been
prepared by the Exchange. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to amend BOX Rules 5055 (FLEX Equity Options)
and 3120 (Position Limits) in connection with options overlying the
following Exchange-Traded Fund Shares, as applicable: iShares Bitcoin
Trust ETF (``IBIT''), the Grayscale Bitcoin Trust (``GBTC''), the
Grayscale Bitcoin Mini Trust (``BTC''), the Bitwise Bitcoin ETF
(``BITB''), Fidelity Wise Origin Bitcoin Fund (``FBTC''), the
ARK21Shares Bitcoin ETF (``ARKB''), the iShares Ethereum Trust ETF
(``ETHA''), the Fidelity Ethereum Fund (``FETH''), the Bitwise Ethereum
ETF (``ETHW''), the Grayscale Ethereum Trust (``ETHE''), and the
Grayscale Ethereum Mini Trust (``ETH''). The text of the proposed rule
change is available from the principal office of the Exchange and also
on the Exchange's internet website at <a href="https://rules.boxexchange.com/rulefilings">https://rules.boxexchange.com/rulefilings</a>.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of these statements may be examined at
the places specified in Item IV below. The self-regulatory organization
has prepared summaries, set forth in Sections A, B, and C below, of the
most significant aspects of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Exchange proposes to amend BOX Rules 5055 (FLEX Equity Options)
and 3120 (Position Limits) in connection with options overlying the
following Exchange-Traded Fund Shares, as applicable: iShares Bitcoin
Trust ETF, the Grayscale Bitcoin Trust, the Grayscale Bitcoin Mini
Trust, the Bitwise Bitcoin ETF, Fidelity Wise Origin Bitcoin Fund, the
ARK21Shares Bitcoin ETF, the iShares Ethereum Trust ETF, the Fidelity
Ethereum Fund, the Bitwise Ethereum ETF, the Grayscale Ethereum Trust,
and the Grayscale Ethereum Mini Trust (collectively ``the Crypto
Assets''). Each change will be described below. This is a competitive
filing that is based on a proposal
[[Page 17003]]
recently submitted by Nasdaq ISE, LLC (``ISE'').\3\
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\3\ See Securities Exchange Act Release No. 104648 (January 21,
2026) 91 FR 3282 (January 26, 2026) (SR-ISE-2026-01) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Remove
Restrictions on Certain Crypto Assets).
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Background
On November 21, 2024, BOX filed to list options on the iShares
Bitcoin Trust ETF, Grayscale Bitcoin Trust, Grayscale Bitcoin Mini
Trust, and Bitwise Bitcoin ETF.\4\ On November 25, BOX filed to allow
the Exchange to list and trade options on the Fidelity Wise Origin
Bitcoin Fund, and ARK21Shares Bitcoin ETF.\5\ On April 10, 2025, BOX
filed to list options on the iShares Ethereum Trust ETF, the Fidelity
Ethereum Fund, the Bitwise Ethereum ETF, the Grayscale Ethereum Trust,
and the Grayscale Ethereum Mini Trust.\6\
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\4\ See Securities Exchange Act Release No. 101735 (November 25,
2024), 89 FR 95264 (December 2, 2024) (SR-BOX-2024-27) (Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change to
Amend Rules 3120 (Position Limits) and 5020 (Criteria for Underlying
Securities) to Permit Trading of iShares Bitcoin ETF Options); and
101739 (November 25, 2024), 89 FR 95339 (December 2, 2024) (SR-BOX-
2024-28) (Notice of Filing and Immediate Effectiveness of a Proposed
Rule Change to Amend Rules 3120 (Position Limits) and 5020 (Criteria
for Underlying Securities) to Permit Options Trading on Bitcoin
Funds).
\5\ See Securities Exchange Act Release No. 101773 (November 27,
2024), 89 FR 95834 (December 3, 2024) (SR-BOX-2024-29) (Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change to
Amend Rules 3120 (Position Limits) and 5020 (Criteria for Underlying
Securities) to Permit Options Trading on Bitcoin Funds).
\6\ See Securities Exchange Act Release Nos. 102828 (April 11,
2025), 90 FR 16298 (April 17, 2025) (SR-BOX-2025-08) (Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change to
Amend Rules 3120 (Position Limits), 5020 (Criteria for Underlying
Securities), and 5055 (FLEX Equity Options) to List and Trade
Options on the iShares Ethereum Trust); 102837 (April 11, 2025), 90
FR 16229 (April 17, 2025) (SR-BOX-2025-10) (Notice of Filing of
Proposed Rule Change to Amend BOX Rules 3120 (Position Limits), 5020
(Criteria for Underlying Securities), and 5055 (FLEX Equity Options)
to Permit the Listing and Trading of Options on the Fidelity
Ethereum Fund); and 102840 (April 11, 2025), 90 FR 16316 (April 17,
2025) (SR-BOX-2025-09) (Notice of Filing and Immediate Effectiveness
of Proposed Rule Change to Amend Rules 3120 (Position Limits), 5020
(Criteria for Underlying Securities), and 5055 (FLEX Equity Options)
to Permit the Listing and Trading of Options on the Grayscale
Ethereum Trust).
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These aforementioned rule changes permitted BOX to trade the Crypto
Assets subject to a 25,000 contract position and exercise limit and a
restriction on the trading of FLEX Equity Options. On August 15, 2025,
BOX filed to amend the position and exercise limits for options on the
iShares Bitcoin Trust ETF to eliminate the 25,000 contract position and
exercise limits and apply the position and exercise limits in BOX Rules
3120 and 3140 to IBIT options.\7\ On August 15, 2025, BOX filed to
eliminate the 25,000 contract position and exercise limit for options
on the Grayscale Bitcoin Trust, the Grayscale Bitcoin Mini Trust, and
the Bitwise Bitcoin ETF.\8\
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\7\ See Securities Exchange Act Release No. 103747 (August 20,
2025), 90 FR 41442 (August 25, 2025) (SR-BOX-2025-22) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change to Amend
BOX Rule 3120 to Increase the Position and Exercise Limits for the
iShares Bitcoin Trust ETF).
\8\ See Securities Exchange Act Release No. 103748 (August 20,
2025), 90 FR 41420 (August 25, 2025) (SR-BOX-2025-23) (Notice of
Filing and Immediate Effectiveness of Proposed Change to Amend BOX
Rule 3120 to Increase the Position and Exercise Limits for the
Grayscale Bitcoin Mini Trust ETF, the Bitwise Bitcoin ETF, and the
Grayscale Bitcoin Trust ETF).
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Thereafter, on November 17, 2025, BOX filed to permit the trading
of FLEX Equity Options on shares of the iShares Bitcoin Trust ETF
subject to the position and exercise limits set forth in Rule 5055(i),
and those position limits are to be aggregated with positions on the
same non-FLEX underlying ETF for the purpose of calculating the
position and exercise limits set forth in Rule 5055(i).\9\ On November
17, 2025, BOX filed to permit the trading of FLEX Equity Options on
shares of the Grayscale Bitcoin Trust, the Grayscale Bitcoin Mini
Trust, and the Bitwise Bitcoin ETF subject to the position and exercise
limits set forth in Rule 5055(i), aggregating those limits with the
non-FLEX underlying ETF limits.\10\
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\9\ See Securities Exchange Act Release No. 104284 (December 2,
2025), 90 FR 56231 (December 5, 2025) (SR-BOX-2025-29) (Notice of
Filing of Proposed Rule Change to amend BOX Rule 5055 (FLEX Equity
Options) to permit FLEX Equity Options on the iShares Bitcoin Trust
ETF).
\10\ See Securities Exchange Act Release No. 104283 (December 2,
2025), 90 FR 56241 (December 5, 2025) (SR-BOX-2025-30) (Notice of
Filing of Proposed Rule Change to amend BOX Rule 5055 (FLEX Equity
Options) to permit FLEX Equity Options on the Grayscale Bitcoin
Trust, the Grayscale Bitcoin Mini Trust, and the Bitwise Bitcoin
ETF).
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On November 19, 2025, BOX's proposal to permit certain options on
Exchange-Traded Fund Shares that meet certain generic requirements to
be listed as a Commodity-Based Trust was noticed for immediate
effectiveness.\11\ As amended, Rule 5020(h) specifies that BOX may list
and trade interests in a Commodity-Based Trust that meets the generic
criteria of the U.S. securities exchange that is the primary equities
listing market for the Commodity-Based Trust provided the trust holds a
single crypto asset.\12\ Further, a Commodity-Based Trust that meets
the requirements of Rule 5020(h) must also satisfy the following
requirements: (A) the total global supply of the underlying crypto
asset held by the Commodity-Based Trust has an average daily market
value of at least $700 million over the last 12 months; and (B) the
crypto asset held by the Commodity-Based Trust underlies a derivatives
contract that trades on a market with which the Exchange has a
comprehensive surveillance sharing agreement, whether directly or
through common membership in the Intermarket Surveillance Group.
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\11\ See Securities Exchange Act Release No. 104225 (November
19, 2025), 90 FR 53029 (November 24, 2025) (SR-BOX-2025-28) (Notice
of Filing and Immediate Effectiveness of a Proposed Rule Change to
Amend Rule 5020 (Criteria for Underlying Securities) to Adopt
Listing Criteria for Options on Commodity-Based Trust Shares). The
Exchange initially filed SR-BOX-2025-12, a proposed rule change to
amend its listing rules at Rule 5020 (Criteria for Underlying
Securities) to allow the listing and trading of options on interests
in a Commodity-Based Trust on April 25, 2025. On May 7, 2025, the
Exchange filed Amendment No. 1 to the proposed rule change and SR-
BOX-2025-12 was published in the Federal Register on May 15, 2025.
On June 17, 2025, the Securities and Exchange Commission (the
``Commission'') issued an order instituting proceedings and
designated November 11, 2025, as the date by which to issue an order
approving or disapproving SR-BOX-2025-12. The Commission did not act
to either approve or disapprove SR-BOX-2025-12 on or before November
11, 2025, therefore the proposal, as published in the Federal
Register on May 15, 2025, was deemed approved as of November 12,
2025. On November 5, 2025, during the government shutdown, the
Exchange submitted SR-BOX-2025-12, Amendment 2. The Exchange then
proposed SR-BOX-2025-28 to reiterate the changes proposed in SR-BOX-
2025-12, Amendment 2 to codify the proposed rule text in the
Exchange's Rulebook.
\12\ See BOX Rule 5020(h).
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Any option approved pursuant to Rule 5020(h) is subject to the
position limits set forth in Rule 3120, and subject to the exercise
limits set forth in Rule 3140. Further any option approved pursuant to
Rule 5020(h) is not restricted from trading as FLEX Equity Options.
Proposal
The Crypto Assets all qualify for listing pursuant to Rule 5020(h).
As such, similar to other options listed pursuant to Rule 5020(h), the
Crypto Assets should be subject to the position limits set forth in
Rule 3120, and subject to the exercise limits set forth in Rule 3140.
Also, the Fidelity Wise Origin Bitcoin Fund, the ARK21Shares Bitcoin
ETF, the iShares Ethereum Trust, the Grayscale Ethereum Trust ETF, the
Grayscale Ethereum Mini Trust ETF, the Bitwise Ethereum ETF, or the
Fidelity Ethereum Fund should not be restricted from trading as FLEX
Equity Options.
Position Limits
To that end, the Exchange proposes to remove the 25,000 position
and exercise limit restrictions for Fidelity Wise Origin Bitcoin Fund,
the ARK21Shares
[[Page 17004]]
Bitcoin ETF, the iShares Ethereum Trust ETF, the Fidelity Ethereum
Fund, the Bitwise Ethereum ETF, the Grayscale Ethereum Trust, and the
Grayscale Ethereum Mini Trust from IM-3120-2.
Additionally, the Exchange proposes to remove the rule text in Rule
5055(i)(4) which states, position limits for FLEX Equity Options on the
iShares Bitcoin Trust, the Grayscale Bitcoin Trust, the Grayscale
Bitcoin Mini Trust, or the Bitwise Bitcoin ETF shall be subject to the
position limits set forth in Rule 3120, and subject to the exercise
limits set forth in Rule 3140 and shall be aggregated with positions in
Non-FLEX Equity Options on the same underlying ETF for the purpose of
calculating the position limits set forth in Rule 3120, and the
exercise limits set forth in Rule 3140.
Similar to all other options, FLEX Equity Options on the iShares
Bitcoin Trust ETF, the Grayscale Bitcoin Trust, the Grayscale Bitcoin
Mini Trust, and the Bitwise Bitcoin ETF would no longer be aggregated
with positions on the same non-FLEX underlying ETF for the purpose of
calculating the position limits set forth in Rule 3120, and the
exercise limits set forth in Rule 3140. The Exchange notes that similar
to all other options, the iShares Bitcoin Trust ETF, the Grayscale
Bitcoin Trust, the Grayscale Bitcoin Mini Trust, and the Bitwise
Bitcoin ETF would not be subject to position limits for FLEX Equity
Options that are physically settled. The Exchange would also remove
references to Rule 5055(i)(4) at Rules 5055(i)(1) and (j).
FLEX Equity Options
Similar to all other options, the Exchange would permit the
Fidelity Wise Origin Bitcoin Fund, the ARK21Shares Bitcoin ETF, the
iShares Ethereum Trust ETF, the Fidelity Ethereum Fund, the Bitwise
Ethereum ETF, the Grayscale Ethereum Trust, and the Grayscale Ethereum
Mini Trust to trade as FLEX Equity Options. The Exchange proposes to
remove the following text from Rule 5055(e)(2)(i), ``The Exchange will
not authorize for trading a FLEX Equity Option class on the Fidelity
Wise Origin Bitcoin Fund, the ARK 21Shares Bitcoin ETF, the iShares
Ethereum Trust, the Grayscale Ethereum Trust ETF, the Grayscale
Ethereum Mini Trust ETF, the Bitwise Ethereum ETF, or the Fidelity
Ethereum Fund.''
With this proposal, Crypto Assets that qualify to be listed
pursuant to Rule 5020(h) would be treated similar to all other options
for purposes of position and exercise limits and FLEX Equity Option
trading.
Lastly, the Exchange also proposes to make non-substantive
numbering changes within Rule 5055 to conform with the changes proposed
herein.
2. Statutory Basis
The Exchange believes that the proposal is consistent with the
requirements of Section 6(b) of the Securities Exchange Act of 1934
(the ``Act''),\13\ in general, and Section 6(b)(5) of the Act,\14\ in
particular, in that it is designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade, to foster cooperation and coordination with
persons engaged in facilitating transactions in securities, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general to protect investors and the
public interest.
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\13\ 15 U.S.C. 78f(b).
\14\ 15 U.S.C. 78f(b)(5).
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The Exchange's proposal to permit the Crypto Assets, which qualify
for listing pursuant to Rule 5020(h), to be subject to the position
limits set forth in Rule 3120, and subject to the exercise limits set
forth in Rule 3140 similar to all other options is consistent with the
Act as this treatment promotes just and equitable principles of trade.
Further, the Exchange's proposal to permit the Crypto Assets, which
qualify for listing pursuant to Rule 5020(h), to trade as FLEX Equity
Options, similar to all other options is consistent with the Act as
this treatment promotes just and equitable principles of trade.
Lastly, the Exchange believes the proposed non-substantive
numbering changes within Rule 5055 are reasonable, equitable, and not
unfairly discriminatory, as these non-substantive technical amendments
will bring greater clarity to the Rule.
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. In this regard and as indicated
above, the Exchange notes that the rule change being proposed is very
similar in nature to a filing submitted by ISE.\15\
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\15\ See supra, note 3.
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The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange does not
believe that the proposed rule change will impose any burden on intra-
market competition because the Crypto Assets that qualify to be listed
pursuant to Rule 5020(h) would be treated similar to all other options
for purposes of position and exercise limits and FLEX Equity Option
trading. The Exchange does not believe that the proposed rule change
will impose any burden on inter-market competition as the proposal is
not competitive in nature. The Exchange expects that all option
exchanges will adopt substantively similar proposals, such that the
Exchange's proposal would benefit competition. For these reasons, the
Exchange does not believe that the proposed rule change will impose any
burden on competition not necessary or appropriate in furtherance of
the purposes of the Act.
Lastly, the Exchange believes the proposed non-substantive
numbering changes in Rule 5055 do not impose an undue burden on
competition, as these non-substantive amendments will bring greater
clarity to the Rule.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
The Exchange has neither solicited nor received comments on the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \16\ and Rule 19b-4(f)(6) thereunder.\17\
Because the proposed rule change does not: (i) significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act \18\ and Rule 19b-
4(f)(6)(iii) \19\ thereunder.
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\16\ 15 U.S.C. 78s(b)(3)(A)(iii).
\17\ 17 CFR 240.19b-4(f)(6).
\18\ 15 U.S.C. 78s(b)(3)(A)(iii).
\19\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of its
intent to file the proposed rule change, along with a brief
description and text of the proposed rule change, at least five
business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
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[[Page 17005]]
A proposed rule change filed under Rule 19b-4(f)(6) \20\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\21\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission believes
that waving the 30-day operative delay is consistent with the
protection of investors and the public interest because it will allow
the Exchange to immediately list and trade the Crypto Assets in the
same manner as other options that qualify for listing pursuant to
Exchange Rule 6020(h) and does not introduce any novel regulatory
issues. Accordingly, the Commission designates the proposed rule change
to be operative upon filing.\22\
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\20\ 17 CFR 240.19b-4(f)(6).
\21\ 17 CFR 240.19b-4(f)(6)(iii).
\22\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.
IV. Solicitation of Comments
Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:
Electronic Comments
<bullet> Use the Commission's internet comment form (<a href="https://www.sec.gov/rules/sro.shtml">https://www.sec.gov/rules/sro.shtml</a>); or
<bullet> Send an email to <a href="/cdn-cgi/l/email-protection#eb999e878ec6888486868e859f98ab988e88c58c849d"><span class="__cf_email__" data-cfemail="1664637a733b75797b7b737862655665737538717960">[email protected]</span></a>. Please include
file number SR-BOX-2026-06 on the subject line.
Paper Comments
<bullet> Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.
All submissions should refer to file number SR-BOX-2026-06. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (<a href="https://www.sec.gov/rules/sro.shtml">https://www.sec.gov/rules/sro.shtml</a>). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for website viewing and
printing in the Commission's Public Reference Room, 100 F Street NE,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m. Copies of the filing also will be available for
inspection and copying at the principal office of the Exchange. Do not
include personal identifiable information in submissions; you should
submit only information that you wish to make available publicly. We
may redact in part or withhold entirely from publication submitted
material that is obscene or subject to copyright protection. All
submissions should refer to file number SR-BOX-2026-06 and should be
submitted on or before April 24, 2026.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
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\23\ 17 CFR 200.30-3(a)(12), (59).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-06469 Filed 4-2-26; 8:45 am]
BILLING CODE 8011-01-P
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