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-2019-028
Date filed: April 26, 2019
Description:

The Exchange proposes to adopt Rule 21.22.

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

The Exchange proposes to introduce retail priority.

File number: SR-CboeEDGX-2019-009
Date filed: February 21, 2019
Description:

The Exchange proposes a rule change to adopt a solicited order mechanism on EDGX Options.

Approved and Immediately Effective Rule Changes

File number: SR-EDGX-2013-46
Date filed: December 6, 2013
Description:

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).

File number: SR-EDGX-2013-45
Date filed: December 6, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.12, Limitations of Liability.

File number: SR-EDGX-2013-44
Date filed: November 29, 2013
Description:

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).

File number: SR-EDGX-2013-43, Amendment No. 2
Date filed: January 29, 2014
Description:

EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43

File number: SR-EDGX-2013-43, Amendment No. 1
Date filed: December 9, 2013
Description:

EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43

File number: SR-EDGX-2013-43
Date filed: November 29, 2013
Description:

EDGX Exchange, Inc. is filing a proposed rule change in connection with the proposed business combination involving Direct Edge Holdings LLC and BATS Global Markets, Inc.

File number: SR-EDGX-2013-42
Date filed: November 1, 2013
Description:

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).

File number: SR-EDGX-2013-41
Date filed: October 31, 2013
Description:

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).

File number: SR-EDGX-2013-40
Date filed: October 28, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 3.5, Advertising Practices; and to repeal Rule 3.20, Initial or Partial Payments, to conform with the rules of the Financial Industry Regulatory Authority, Inc.

File number: SR-EDGX-2013-39
Date filed: October 15, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints, to conform with the rules of the Financial Industry Regulatory Authority, Inc.

File number: SR-EDGX-2013-38
Date filed: October 2, 2013
Description:

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).

File number: SR-EDGX-2013-37
Date filed: September 30, 2013
Description:

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).

File number: SR-EDGX-2013-36
Date filed: September 26, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rules 3.22 and 13.3, as well as adopt a new Rule 12.14, to conform with the rules of the Financial Industry Regulatory Authority.

File number: SR-EDGX-2013-35
Date filed: September 25, 2013
Description:

EDGX Exchange, Inc. proposes to extend a pilot program related to Rule 11.13, entitled, Clearly Erroneous Transactions, and to remove certain references to individual stock trading pauses contained in Rule 11.13(c)(4).

File number: SR-EDGX-2013-34
Date filed: September 3, 2013
Description:

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).

File number: SR-EDGX-2013-33
Date filed: August 30, 2013
Description:

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).

File number: SR-EDGX-2013-32
Date filed: August 7, 2013
Description:

EDGX Exchange, Inc. proposes to eliminate Rule 13.4, “Assigning of Registered Securities in the Name of a Member or Member Organization.”

File number: SR-EDGX-2013-31
Date filed: August 6, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 2.5 to outline the continuing education requirements for Series 56 licensees and its Fee Schedule to include fees for the Series 56 examination and its related continuing education requirements.

File number: SR-EDGX-2013-30
Date filed: August 5, 2013
Description:

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).

File number: SR-EDGX-2013-27
Date filed: August 1, 2013
Description:

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).

File number: SR-EDGX-2013-26
Date filed: July 30, 2013
Description:

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).

File number: SR-EDGX-2013-24
Date filed: June 26, 2013
Description:

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).

File number: SR-EDGX-2013-23
Date filed: June 24, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.5(c) which describes the manner in which the NBBO Offset Peg Order operates.

File number: SR-EDGX-2013-21
Date filed: June 14, 2013
Description:

EDGX Exchange, Inc. is filing a proposed rule change to offer and establish fees for a new service, EdgeRisk Gateway, as a risk management tool available to its members and non-members.

File number: SR-EDGX-2013-20
Date filed: June 13, 2013
Description:

EDGX Exchange, Inc. proposes to amend Footnote 4 of its fee schedule regarding Retail Orders.

File number: SR-EDGX-2013-19
Date filed: June 3, 2013
Description:

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).

File number: SR-EDGX-2013-18
Date filed: May 21, 2013
Description:

EDGX Exchange, Inc. proposes to add EdgeRisk Ports to the list of Direct Logical Ports currently offered by the Exchange to its Members and non-Members.

File number: SR-EDGX-2013-17
Date filed: May 16, 2013
Description:

EDGX Exchange, Inc. proposes to make permanent the existing pilot program that permits its inbound router to receive inbound routes of equities orders through Direct Edge ECN LLC d/b/a DE Route, its routing broker dealer, from EDGA Exchange, Inc.

File number: SR-EDGX-2013-16
Date filed: May 1, 2013
Description:

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).

File number: SR-EDGX-2013-15
Date filed: May 1, 2013
Description:

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).

File number: SR-EDGX-2013-14
Date filed: April 23, 2013
Description:

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).

File number: SR-EDGX-2013-13
Date filed: April 5, 2013
Description:

EDGX Exchange, Inc. proposes to amend Footnote 4 of the Exchange's fee schedule regarding Retail Orders.

File number: SR-EDGX-2013-12
Date filed: April 1, 2013
Description:

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).

File number: SR-EDGX-2013-11
Date filed: March 1, 2013
Description:

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).

File number: SR-EDGX-2013-10
Date filed: February 28, 2013
Description:

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).

File number: SR-EDGX-2013-08
Date filed: February 13, 2013
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 regarding the implementation of the National Market System Plan to Address Extraordinary Market Volatility.

File number: SR-EDGX-2013-07
Date filed: January 31, 2013
Description:

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).

File number: SR-EDGX-2013-06
Date filed: January 31, 2013
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013.

File number: SR-EDGX-2013-05
Date filed: January 31, 2013
Description:

EDGX Exchange, Inc. proposes to delay the operative date of the pilot in Rule 11.14 which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility.

File number: SR-EDGX-2013-04
Date filed: January 30, 2013
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program.

File number: SR-EDGX-2013-03
Date filed: January 30, 2013
Description:

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).

File number: SR-EDGX-2013-02
Date filed: January 22, 2013
Description:

EDGX Exchange, Inc. proposes to amend Rule 13.9 to allow Members the option to opt-out their routed orders from inclusion in the Edge Routed Liquidity ReportSM on a market participant identifier(s) basis.

File number: SR-EDGX-2013-01
Date filed: January 15, 2013
Description:

EDGX Exchange, Inc. is filing a proposed rule change relating to fees for EdgeBook Attributed.