Cboe EDGA U.S. Equities Exchange Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

File number: SR-CboeEDGA-2020-005 Amendment No. 1
Date filed: May 20, 2020
Description:

The Exchange proposes an amendment to SR-CboeEDGA-2020-005.

File number: SR-CboeEDGA-2020-005
Date filed: February 28, 2020
Description:

The Exchange proposes to amend EDGA Rule 11.8(e), which describes the handling of MidPoint Discretionary Orders entered on the Exchange.

File number: SR-CboeEDGA-2020-003
Date filed: January 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to reflect updated industry member deadlines in accordance with master plan, incorporate certain reporting requirements currently required in OATS, and eliminate reporting requirements related to PII in accordance with proposed CAT Plan exemption request.

Approved and Immediately Effective Rule Changes

File number: SR-CboeEDGA-2020-016
Date filed: June 3, 2020
Description:

The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.

File number: SR-CboeEDGA-2020-015
Date filed: May 22, 2020
Description:

The Exchange proposes to allow Members and Clearing Members to establish or adjust the risk settings set forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a risk group identifier basis.

File number: SR-CboeEDGA-2020-014
Date filed: May 8, 2020
Description:

The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.

File number: SR-CboeEDGA-2020-013
Date filed: May 7, 2020
Description:

The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.

File number: SR-CboeEDGA-2020-012
Date filed: April 16, 2020
Description:

The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.10.

File number: SR-CboeEDGA-2020-011
Date filed: April 6, 2020
Description:

The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.

File number: SR-CboeEDGA-2020-010
Date filed: March 31, 2020
Description:

The Exchange proposed to amend Rule 14.11(b)(2) to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions.

File number: SR-CboeEDGA-2020-009
Date filed: March 18, 2020
Description:

The Exchange proposes to extend the current pilot program related to EDGA Rule 11.15, Clearly Erroneous Executions, to the close of business on October 20, 2020.

File number: SR-CboeEDGA-2020-008
Date filed: March 17, 2020
Description:

The Exchange proposes a rule change to amend Rule 11.16(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and to amend Rule 11.7(e) to make corresponding changes to the re-opening process after a halt.

File number: SR-CboeEDGA-2020-007
Date filed: March 2, 2020
Description:

The Exchange proposes to amend the Fee Schedule.

File number: SR-CboeEDGA-2020-006
Date filed: February 26, 2020
Description:

The Exchange proposes to make certain changes to Rule 11.11 (Routing to Away Trading Centers) and to make corresponding amendments to its Fee Schedule.

File number: SR-CboeEDGA-2020-004
Date filed: February 4, 2020
Description:

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeEDGA-2020-001
Date filed: January 21, 2020
Description:

The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).