Cboe Equities Exchanges 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
- SR-CboeEDGX-2024-009
- January 25, 2024
- The Exchange proposes to amend the definition of Retail Order, and codify interps and policies regarding permissible uses of algorithms by RMOs.
- SR-CboeEDGX-2024-007
- January 19, 2024
- The Exchange proposes to amend Rule 11.6(n)(4) and Rule 11.10(a)(4)(D) to permit the use of the Post Only order instruction at prices below $1.00.
- SR-CboeEDGX-2024-005
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
- SR-CboeEDGX-2023-083
- December 26, 2023
- The Exchange proposes to make permanent the operation of its programs that allow the Exchange to list options on the Mini-SPX Index (“XSP options”) with P.M.-settlement and to list broad-based index options with nonstandard expirations.
Approved and Immediately Effective Rule Changes
- SR-EDGX-2011-39
- December 30, 2011
- EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
- SR-EDGX-2011-37
- December 2, 2011
- EDGX Exchange, Inc. proposes to amend existing routing options contained in Rule 11.9(b)(3)(c) to provide Users with more flexible routing options.
- SR-EDGX-2011-36
- November 23, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to exclude from the pilot rule all rights and warrants.
- SR-EDGX-2011-35
- November 17, 2011
- EDGX Exchange, Inc. proposes to to modify two existing routing options contained in Rule 11.9to provide Users with additional flexibility in the execution path of the routing options.
- SR-EDGX-2011-34
- October 31, 2011
- EDGA Exchange, Inc. proposes to amend its fee schedule, effective November 1, 2011.
- SR-EDGX-2011-33
- October 12, 2011
- EDGX Exchange, Inc. is submitting this rule filing to the SEC in connection with the proposed business combination of NYSE Euronext and Deutsche Borse AG.
- SR-EDGX-2011-31
- September 30, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, effective October 1, 2011.
- SR-EDGX-2011-30, Amendment No. 1
- May 23, 2012
- EDGX Exchange, Inc. proposes to amend SR-EDGX-2011-30 to provide that the proposed changes will be adopted on a pilot basis.
- SR-EDGX-2011-30
- September 27, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14
- SR-EDGX-2011-29
- September 2, 2011
- EDGX Exchange, Inc. proposes to amend its By-Laws.
- SR-EDGX-2011-28, Amendment No. 1
- December 14, 2011
- EDGX Exchange, Inc .proposes to amend SR-EDGX-2011-28 by deleting proposed Rule 11.21(e).
- SR-EDGX-2011-28
- August 30, 2011
- EDGX Exchange, Inc. proposes to amendits Rules regarding the registration and obligations of Market Makers.
- SR-EDGX-2011-27
- August 19, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 1.5(q).
- SR-EDGX-2011-26
- August 19, 2011
- EDGX Exchange, Inc. proposes to amend the fee schedule assessed on members to establish an Annual Membership Fee; a monthly Trading Rights Fee; and a monthly MPID fee, effective September 1, 2011.
- SR-EDGX-2011-25
- August 8, 2011
- EDGX Exchange, Inc. proposes to amend Rule 11.13, governing clearly erroneous executions, so that the rule will continue to operate in the same manner after changes to the single stock trading pause process are effective.
- SR-EDGX-2011-24
- August 5, 2011
- EDGX Exchange, Inc. proposes to amend EDGA Rule 11.13 to extend the operation of a pilot pursuant to the Rule until January 31, 2012.
- SR-EDGX-2011-23
- August 5, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of a pilot pursuant to the Rule until January 31, 2012.
- SR-EDGX-2011-22
- July 27, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, effective August 1, 2011
- SR-EDGX-2011-21
- July 21, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, by charging fees for Members and non-members for certain logical ports used to receive market data, effective August 1, 2011.
- SR-EDGX-2011-20
- July 13, 2011
- EDGX proposes to amend its Rule 11.9 to make changes consistent with the upcoming implementation of the adoption of Rule 15c3-5 under the Act (the "Market Access Rule")
- SR-EDGX-2011-19
- June 30, 2011
- EDGX Exchange, Inc. proposes to amend its Fee Schedule effective July 1, 2011.
- SR-EDGX-2011-18
- June 29, 2011
- EDGX proposes to make available without charge the EDGX Book Feed
- SR-EDGX-2011-17
- May 31, 2011
- EDGX Exchange, Inc. proposes to amend its Fee Schedule effective June 1, 2011
- SR-EDGX-2011-16
- May 27, 2011
- EDGX Exchange proposes to amend its Fee Schedule effective May 27, 2011
- SR-EDGX-2011-15
- May 5, 2011
- EDGX Exchange, Inc. proposes to amend Rule 11..9
- SR-EDGX-2011-14, Amendment No. 1
- June 27, 2011
- Partial amendment to circuit breaker filings to amend the implementation date of 8/8/11.
- SR-EDGX-2011-14
- May 4, 2011
- EDGX proposes to amend Rule 11.13 and 11.14.
- SR-EDGX-2011-13
- April 29, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, effective May 1, 2011.
- SR-EDGX-2011-12
- April 20, 2011
- EDGX proposes to extend the pilot period of the inbound router, as described in EDGX Rule 2.12(b).
- SR-EDGX-2011-11
- April 5, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot.
- SR-EDGX-2011-10
- April 5, 2011
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker.
- SR-EDGX-2011-09
- April 6, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, effectiveApril 6, 2011.
- SR-EDGX-2011-08
- April 1, 2011
- EDGXExchange, Inc. proposes to amend Rule 11.9 to introduce additional routing options to the rule.
- SR-EDGX-2011-07
- March 24, 2011
- EDGX Exchange, Inc. proposes to adopt Rule 3.22 (Proxy Voting), in accordance with the provisions of Section 957 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
- SR-EDGX-2011-06
- March 10, 2011
- EDGX Exchange, Inc.proposes to amend Rules 11.5(c)(11) and Rule 11.9(b)(1)(C) to delete the description of and all references to Step-Up orders.
- SR-EDGX-2011-05
- March 1, 2011
- EDGX Exchange, Inc. proposes to amend its fee schedule, effective March 1, 2011.
- SR-EDGX-2011-04
- February 28, 2011
- EDGXExchange, Inc. proposes to amend Rules 11.5, 11.9, and 11.15 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO
- SR-EDGX-2011-03
- February 1, 2011
- EDGX Exchange, Inc. to amend its fee schedule, effective February 1, 2011.
- SR-EDGX-2011-02
- January 25, 2011
- EDGX Exchange, Inc. to amend its fee schedule, effective January 25, 2011.
- SR-EDGX-2011-01
- January 21, 2011
- EDGX Exchange, Inc. proposes to amend Rule 11.9 to add its routing options, which are currently contained in its fee schedule, to the rule and to introduce additional options to the rule.