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-BatsEDGX-2017-23 Amendment No. 1
Date filed: August 25, 2017
Description:

The Exchange proposes and amendment to SR-BatsEDGX-2017-23.

File number: SR-BatsEDGX-2017-23
Date filed: May 15, 2017
Description:

The Exchange proposes to modify requirements for the collection of information that is duplicative of information intended to be collected for the consolidated audit trail adopted pursuant to the National Market System Plan Governing the Consolidated Audit Trail.

Approved and Immediately Effective Rule Changes

File number: SR-CboeEDGX-2017-005
Date filed: December 4, 2017
Description:

The Exchange proposes an amendment to Rule 19.6, Series of Options Contracts Open for Trading, to specify the strike increment regime for IVV, SPY, and DIA options.

File number: SR-CboeEDGX-2017-004
Date filed: December 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeEDGX-2017-003
Date filed: November 30, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeEDGX-2017-002
Date filed: November 29, 2017
Description:

The Exchange proposes a rule change to Exchange Rule 11.8, Order Types.

File number: SR-CboeEDGX-2017-001
Date filed: November 14, 2017
Description:

The Exchange proposed a rule change to amend the Exchange's governance documents.

File number: SR-BatsEDGX-2017-50
Date filed: November 8, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsEDGX-2017-48
Date filed: October 31, 2017
Description:

The Exchange proposes to modify the Fee Schedule applicable to the Exchange's equity options platform to adopt fees for its recently adopted functionality for the handling of complex orders on EDGX Options.

File number: SR-BatsEDGX-2017-47
Date filed: November 2, 2017
Description:

The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports.

File number: SR-BatsEDGX-2017-46
Date filed: November 2, 2017
Description:

The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports as they apply to the Exchange's equity options platform.

File number: SR-BatsEDGX-2017-43
Date filed: October 25, 2017
Description:

The Exchange proposes to adopt complex order provisions of obvious error rule in preparation for launch of complex orders on Cboe EDGX.

File number: SR-BatsEDGX-2017-41
Date filed: October 16, 2017
Description:

The Exchange proposes a rule change to reflect in the Exchange’s governing documents, rulebook and fees schedules, a non substantive corporate branding change, including changes to the Company’s name, the Intermediate’s name, and the Exchange’s name.

File number: SR-BatsEDGX-2017-40
Date filed: October 15, 2017
Description:

The Exchange proposes a rule change to make technical corrections to its Second Amended and Restated Certificate of Incorporation.

File number: SR-BatsEDGX-2017-39
Date filed: October 10, 2017
Description:

The Exchange proposes a rule change to Rule 21.1, Definitions, to modify Stop Orders and Stop Limit Orders applicable to the Exchange's equity options platform in preparation for the C2 Options Exchange, Incorporated technology migration.

File number: SR-BatsEDGX-2017-38
Date filed: October 10, 2017
Description:

The Exchange proposes to amend Rule 11.10, Order Execution, to remove language allowing a change to the minimum quantity of an order with a Minimum Execution Quantity instruction to be included in a Replace message.

File number: SR-BatsEDGX-2017-37
Date filed: September 6, 2017
Description:

The Exchange proposes a rule change to amend Rule 11.11, Routing to Away Trade Centers, to account for IEX as a primary listing market and to amend certain rules to reflect the name change of NYSE MKT to NYSE American.

File number: SR-BatsEDGX-2017-36
Date filed: August 29, 2017
Description:

The Exchange proposes a rule change to amend Exchange rules related to the nullification and adjustment of options transactions including obvious errors.

File number: SR-BatsEDGX-2017-35
Date filed: August 23, 2017
Description:

The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated

File number: SR-BatsEDGX-2017-34
Date filed: August 11, 2017
Description:

The Exchange proposes a rule change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution.

File number: SR-BatsEDGX-2017-33
Date filed: August 2, 2017
Description:

The Exchange proposes a rule change to amend Rule 21.2, Days and Hours of Business.

File number: SR-BatsEDGX-2017-31
Date filed: July 24, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.

File number: SR-BatsEDGX-2017-30
Date filed: June 12, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsEDGX-2017-29 Amendment No. 1
Date filed: October 16, 2017
Description:

The Exchange proposes an amendment to SR-BatsEDGX-2017-29.

File number: SR-BatsEDGX-2017-29
Date filed: June 30, 2017
Description:

The Exchange filed a proposal for the Exchange's equity options platform to adopt new rules that describe the trading of complex orders on the Exchange.

File number: SR-BatsEDGX-2017-28
Date filed: June 7, 2017
Description:

The Exchange proposes a rule change to Rule 21.5 of Bats EDGX Exchange, Inc. to extend through December 31, 2017, the Penny Pilot Program in options classes in certain issues.

File number: SR-BatsEDGX-2017-25
Date filed: May 26, 2017
Description:

The Exchange proposes a rule change to add a new optional order instruction known as Non-Displayed Swap.

File number: SR-BatsEDGX-2017-24 Amendment No. 1
Date filed: August 24, 2017
Description:

The Exchange proposes an amendment to SR-BatsEDGX-2017-24.

File number: SR-BatsEDGX-2017-24
Date filed: May 23, 2017
Description:

The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.

File number: SR-BatsEDGX-2017-22 Amendment No. 2
Date filed: December 7, 2017
Description:

The Exchange proposes a second amendment to SR-BatsEDGX-2017-22.

File number: SR-BatsEDGX-2017-22 Amendment No. 1
Date filed: November 3, 2017
Description:

The Exchange proposes an amendment to SR-BatsEDGX-2017-22.

File number: SR-BatsEDGX-2017-22
Date filed: May 23, 2017
Description:

The Exchange proposes to amend fees for its Equities Platform and to amend fees for its Options Platform to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail.

File number: SR-BatsEDGX-2017-21
Date filed: May 8, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsEDGX-2017-19
Date filed: May 4, 2017
Description:

The Exchange proposes a change to Rule 11.22 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsEDGX-2017-16
Date filed: April 25, 2017
Description:

The Exchange proposes a rule change to rule 11.13 of Bats EDGX Exchange, Inc. to authorize the Exchange to share any of the user’s risk settings with the clearing firm that clears transactions on behalf of the user.

File number: SR-BatsEDGX-2017-15
Date filed: March 31, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsEDGX-2017-14
Date filed: March 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsEDGX-2017-13
Date filed: February 28, 2017
Description:

The Exchange filed a proposal to amend Rule 11.22 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsEDGX-2017-12
Date filed: February 28, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsEDGX-2017-11
Date filed: February 1, 2017
Description:

The Exchange proposes a rule change related to functionality offered by the Exchange's options platform to adopt Qualified Contingent Cross Orders.

File number: SR-BatsEDGX-2017-10
Date filed: February 1, 2017
Description:

The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.

File number: SR-BatsEDGX-2017-09
Date filed: February 1, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsEDGX-2017-08
Date filed: January 30, 2017
Description:

The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.

File number: SR-BatsEDGX-2017-07
Date filed: January 20, 2017
Description:

The Exchange proposes a rule change to adopt a new type of logical port known as a Purge Port.

File number: SR-BatsEDGX-2017-05
Date filed: January 13, 2017
Description:

The Exchange proposes a rule change to EDGX Rule 21.19, Bats Auction Mechanism, as it applies to the equity options platform.

File number: SR-BatsEDGX-2017-04
Date filed: January 30, 2017
Description:

The Exchange proposes a rule change to adopt Option Regulatory Fees as they relate to the equity options platform.

File number: SR-BatsEDGX-2017-02
Date filed: January 5, 2017
Description:

The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.

File number: SR-BatsEDGX-2017-01
Date filed: January 3, 2017
Description:

The Exchange proposes rule changes to amend the fee schedule adopt fees for its recently adopted Bats Auction Mechanism.