Cboe EDGX 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-CboeEDGX-2019-047
Date filed: July 31, 2019
Description:

The Exchange proposes to adopt a solicited order mechanism (“SAM”) on EDGX Options.

File number: SR-CboeEDGX-2019-028 - Amendment No. 1
Date filed: June 14, 2019
Description:

The Exchange proposes an amendment to SR-CboeEDGX-2019-028.

File number: SR-CboeEDGX-2019-028
Date filed: April 26, 2019
Description:

The Exchange proposes to adopt Rule 21.22.

File number: SR-CboeEDGX-2019-012 Amendment No. 1
Date filed: June 18, 2019
Description:

The Exchange proposes an amendment to SR-CboeEDGX-2019-012.

File number: SR-CboeEDGX-2019-012
Date filed: March 18, 2019
Description:

The Exchange proposes to introduce retail priority.

Approved and Immediately Effective Rule Changes

File number: SR-CboeEDGX-2019-054
Date filed: August 21, 2019
Description:

The Exchange proposes to introduce a new data product on its equity options platform to be known as Open-Close Data.

File number: SR-CboeEDGX-2019-053
Date filed: August 22, 2019
Description:

The Exchange proposes to amend Rules 21.20 and 21.22 in connection with stock-options orders.

File number: SR-CboeEDGX-2019-052
Date filed: August 16, 2019
Description:

The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to EDGX Rules 15.1(a) and (c).

File number: SR-CboeEDGX-2019-051
Date filed: August 1, 2019
Description:

The Exchange proposes to amend its fee schedule related to the Options Regulatory Fee.

File number: SR-CboeEDGX-2019-050
Date filed: August 1, 2019
Description:

The Exchange proposes to amend its fee schedule assessed on Members to establish a monthly Trading Rights Fee.

File number: SR-CboeEDGX-2019-049
Date filed: August 1, 2019
Description:

The Exchange proposes to amend the fee schedule to institute a Derived Data API Service.

File number: SR-CboeEDGX-2019-048
Date filed: August 1, 2019
Description:

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

File number: SR-CboeEDGX-2019-046
Date filed: July 17, 2019
Description:

The Exchange proposes to update Rule 16.1 to include the definition of capacity, as well as amend its fee schedule to reflect this update.

File number: SR-CboeEDGX-2019-045
Date filed: July 1, 2019
Description:

The Exchange proposes to amend the Exchange’s Fee Schedule applicable to its equities trading platform to adopt a “Retail Volume Tier” for firms that execute a significant volume of liquidity providing retail order flow on EDGX.

File number: SR-CboeEDGX-2019-044
Date filed: July 1, 2019
Description:

The Exchange proposes to amend the Fee Schedule.

File number: SR-CboeEDGX-2019-043
Date filed: July 1, 2019
Description:

The Exchange proposes to update all references to “Bats Auction Mechanism” or “BAM” to “Automated Improvement Mechanism” or “AIM” in the EDGX Options Fee Schedule.

File number: SR-CboeEDGX-2019-042
Date filed: June 25, 2019
Description:

The Exchange proposes to amend the Fees Schedule to adopt an additional cross-asset volume tier.

File number: SR-CboeEDGX-2019-041
Date filed: June 24, 2019
Description:

The Exchange proposes to update its rules related to complex orders and trading halts.

File number: SR-CboeEDGX-2019-040
Date filed: June 24, 2019
Description:

The Exchange proposes to amend the trigger for its opening rotation process for equity options.

File number: SR-CboeEDGX-2019-039
Date filed: June 27, 2019
Description:

The Exchange proposes to add stock-option order functionality and complex qualified contingent cross order with stock functionality, and to make other changes to its Rules.

File number: SR-CboeEDGX-2019-037
Date filed: June 10, 2019
Description:

The Exchange proposes to amend the fat finger check with respect to limit orders in Rule 21.17.

File number: SR-CboeEDGX-2019-036
Date filed: May 31, 2019
Description:

The Exchange proposes a rule change to extend the Penny Pilot Program.

File number: SR-CboeEDGX-2019-035
Date filed: June 6, 2019
Description:

The Exchange proposes to adopt limit-on-close and market-on-close orders.

File number: SR-CboeEDGX-2019-034
Date filed: June 4, 2019
Description:

The Exchange proposes to update its Price Adjust process to allow for the process to apply to bulk messages.

File number: SR-CboeEDGX-2019-033
Date filed: May 22, 2019
Description:

The Exchange proposes to amend Rule 21.7.

File number: SR-CboeEDGX-2019-032
Date filed: May 22, 2019
Description:

The Exchange proposes to adopt complex QCC order functionality.

File number: SR-CboeEDGX-2019-031
Date filed: May 16, 2019
Description:

The Exchange proposes to allow for $1 strike prices on additional options on certain Index Fund Shares.

File number: SR-CboeEDGX-2019-030
Date filed: May 1, 2019
Description:

The Exchange proposes to amend the fee schedule.

File number: SR-CboeEDGX-2019-027
Date filed: April 26, 2019
Description:

The Exchange proposes a rule change to amend the Exchange’s opening process and add a global trading hours session for XSP options.

File number: SR-CboeEDGX-2019-026
Date filed: April 25, 2019
Description:

The Exchange proposes to amend Rule 11.11 and Rule 11.16, as well as its Fee Schedule, to delete references to the SWPB routing option.

File number: SR-CboeEDGX-2019-025
Date filed: July 31, 2019
Description:

The Exchange proposes to clarify portions of its rules under Chapter 14 (Securities Traded) related to the applicability of certain disclosure requirements.

File number: SR-CboeEDGX-2019-024
Date filed: April 17, 2019
Description:

The Exchange proposes to replace obsolete terminology.

File number: SR-CboeEDGX-2019-023
Date filed: April 12, 2019
Description:

The Exchange proposes to extend the pilot program related to EDGX Rule 11.16, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.

File number: SR-CboeEDGX-2019-022
Date filed: April 9, 2019
Description:

The Exchange proposes to extend the pilot for certain options market rules that are linked to the LULD Plan.

File number: SR-CboeEDGX-2019-021
Date filed: April 8, 2019
Description:

The Exchange proposes to amend Chapter 22 of the Exchange’s rulebook.

File number: SR-CboeEDGX-2019-020
Date filed: April 5, 2019
Description:

The Exchange proposes to add certain fees related to the listing and trading of options contracts on the Mini-SPX Index (“XSP”).

File number: SR-CboeEDGX-2019-018
Date filed: April 3, 2019
Description:

The Exchange proposes to modify its fee schedule.

File number: SR-CboeEDGX-2019-017
Date filed: April 2, 2019
Description:

The Exchange proposes to adopt all-or-none (“AON”) orders.

File number: SR-CboeEDGX-2019-016
Date filed: April 2, 2019
Description:

The Exchange proposes to extend the current pilot program related to Rule 11.15, Clearly Erroneous Executions, to the close of business on October 18, 2019.

File number: SR-CboeEDGX-2019-015
Date filed: March 29, 2019
Description:

The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to EDGX Rules 15.1(a) and (c).

File number: SR-CboeEDGX-2019-014
Date filed: March 25, 2019
Description:

The Exchange proposes to amend EDGX rules to clarify the handling of orders that contain both a Post Only instruction and certain other order handling instructions maintained to facilitate compliance with Rule 610(d) of Regulation NMS.

File number: SR-CboeEDGX-2019-013
Date filed: March 22, 2019
Description:

The Exchange proposes to amend Rule 21.5, Interpretation and Policy .01 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.

File number: SR-CboeEDGX-2019-011
Date filed: March 15, 2019
Description:

The Exchange proposes a rule change to separate the Exchange’s ability to apply the DPM participation entitlement and DPM small order entitlement to a class.

File number: SR-CboeEDGX-2019-010
Date filed: March 15, 2019
Description:

The Exchange proposes to modify its fee schedule.

File number: SR-CboeEDGX-2019-008
Date filed: February 21, 2019
Description:

The Exchange proposes to allow the addition of new series of options on an individual stock until the close of trading on the business day prior to expiration in unusual market conditions.

File number: SR-CboeEDGX-2019-007
Date filed: March 5, 2019
Description:

The Exchange proposes to amend the Bats Auction Mechanism.

File number: SR-CboeEDGX-2019-005
Date filed: February 12, 2019
Description:

The Exchange proposes a rule change to adopt QCC with stock order functionality.

File number: SR-CboeEDGX-2019-004
Date filed: February 1, 2019
Description:

The Exchange proposes a rule change to amend the fee schedule as it relates to pricing for the use of certain routing strategies.

File number: SR-CboeEDGX-2019-002
Date filed: January 29, 2019
Description:

The Exchange proposes a rule change to amend the fee schedule to introduce a “Cross-Asset Volume Tier.”

File number: SR-CboeEDGX-2019-001
Date filed: January 7, 2019
Description:

The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.