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-CboeEDGX-2019-077
- December 23, 2019
- The Exchange proposes a rule change to modify the opening rotation triggers.
- SR-CboeEDGX-2019-075
- December 20, 2019
- The Exchange proposes to amend Interpretation and Policy .01 of Rule 2.4 to allow the Exchange to provide annual notification to individual Members that are subject to paragraph (b) of Rule 2.4.
- SR-CboeEDGX-2019-074
- December 10, 2019
- The Exchange proposes to amend Rule 21.5 by extending the Penny Pilot Program through June 30, 2020.
- SR-CboeEDGX-2019-073
- December 5, 2019
- The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
- SR-CboeEDGX-2019-072
- December 4, 2019
- The Exchange proposes to amend the Maximum Composite Width Check of the opening rotation as provided in subparagraph (e)(1) of Exchange Rule 21.7.
- SR-CboeEDGX-2019-070
- November 19, 2019
- The Exchange proposes to amend paragraph (a) of Rule 11.1 to allow the Exchange to accept Stop Orders entered between 6:00 and 7:00 a.m. Eastern Time.
- SR-CboeEDGX-2019-069
- November 4, 2019
- The Exchange proposes to amend its fat finger check as it applies to Stop Limit orders.
- SR-CboeEDGX-2019-068
- November 1, 2019
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeEDGX-2019-067
- November 1, 2019
- The Exchange proposes to amend the fee schedule applicable to the EDGX equities trading platform as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. using the ALLB, ROUC, ROUE, or DIRC routing strategy.
- SR-CboeEDGX-2019-066
- October 29, 2019
- The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Open-Close Data.
- SR-CboeEDGX-2019-064
- October 23, 2019
- The Exchange proposes to adopt Rule 21.23.
- SR-CboeEDGX-2019-063
- October 17, 2019
- The Exchange proposes to make permanent an options market rule linked to the equity market Plan to Address Extraordinary Market Volatility.
- SR-CboeEDGX-2019-062
- October 17, 2019
- The Exchange propose to extend the current pilot program related to Rule 11.15, Clearly Erroneous Executions, to the close of business on April 20, 2020.
- SR-CboeEDGX-2019-061
- October 15, 2019
- The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.16.
- SR-CboeEDGX-2019-060
- October 1, 2019
- The Exchange proposes to amend the fee schedule to institute a Derived Data API Service.
- SR-CboeEDGX-2019-056
- September 3, 2019
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeEDGX-2019-054
- August 21, 2019
- The Exchange proposes to introduce a new data product on its equity options platform to be known as Open-Close Data.
- SR-CboeEDGX-2019-053
- August 22, 2019
- The Exchange proposes to amend Rules 21.20 and 21.22 in connection with stock-options orders.
- SR-CboeEDGX-2019-052
- August 16, 2019
- 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).
- SR-CboeEDGX-2019-047 Amendment No. 1
- September 9, 2019
- The Exchange proposes an amendment to SR-CboeEDGX-2019-047.
- SR-CboeEDGX-2019-047
- July 31, 2019
- The Exchange proposes to adopt a solicited order mechanism (“SAM”) on EDGX Options.
- SR-CboeEDGX-2019-046
- July 17, 2019
- 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.
- SR-CboeEDGX-2019-045
- July 1, 2019
- 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.
- SR-CboeEDGX-2019-044
- July 1, 2019
- The Exchange proposes to amend the Fee Schedule.
- SR-CboeEDGX-2019-043
- July 1, 2019
- 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.
- SR-CboeEDGX-2019-042
- June 25, 2019
- The Exchange proposes to amend the Fees Schedule to adopt an additional cross-asset volume tier.
- SR-CboeEDGX-2019-041
- June 24, 2019
- The Exchange proposes to update its rules related to complex orders and trading halts.
- SR-CboeEDGX-2019-040
- June 24, 2019
- The Exchange proposes to amend the trigger for its opening rotation process for equity options.
- SR-CboeEDGX-2019-039
- June 27, 2019
- 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.
- SR-CboeEDGX-2019-037
- June 10, 2019
- The Exchange proposes to amend the fat finger check with respect to limit orders in Rule 21.17.
- SR-CboeEDGX-2019-036
- May 31, 2019
- The Exchange proposes a rule change to extend the Penny Pilot Program.
- SR-CboeEDGX-2019-035
- June 6, 2019
- The Exchange proposes to adopt limit-on-close and market-on-close orders.
- SR-CboeEDGX-2019-034
- June 4, 2019
- The Exchange proposes to update its Price Adjust process to allow for the process to apply to bulk messages.
- SR-CboeEDGX-2019-033
- May 22, 2019
- The Exchange proposes to amend Rule 21.7.
- SR-CboeEDGX-2019-032
- May 22, 2019
- The Exchange proposes to adopt complex QCC order functionality.
- SR-CboeEDGX-2019-031
- May 16, 2019
- The Exchange proposes to allow for $1 strike prices on additional options on certain Index Fund Shares.
- SR-CboeEDGX-2019-030
- May 1, 2019
- The Exchange proposes to amend the fee schedule.
- SR-CboeEDGX-2019-028 Amendment No. 1
- June 14, 2019
- The Exchange proposes an amendment to SR-CboeEDGX-2019-028.
- SR-CboeEDGX-2019-028
- April 26, 2019
- The Exchange proposes to adopt Rule 21.22.
- SR-CboeEDGX-2019-027
- April 26, 2019
- The Exchange proposes a rule change to amend the Exchange’s opening process and add a global trading hours session for XSP options.
- SR-CboeEDGX-2019-026
- April 25, 2019
- 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.
- SR-CboeEDGX-2019-025
- July 31, 2019
- The Exchange proposes to clarify portions of its rules under Chapter 14 (Securities Traded) related to the applicability of certain disclosure requirements.
- SR-CboeEDGX-2019-024
- April 17, 2019
- The Exchange proposes to replace obsolete terminology.
- SR-CboeEDGX-2019-023
- April 12, 2019
- 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.
- SR-CboeEDGX-2019-022
- April 9, 2019
- The Exchange proposes to extend the pilot for certain options market rules that are linked to the LULD Plan.
- SR-CboeEDGX-2019-021
- April 8, 2019
- The Exchange proposes to amend Chapter 22 of the Exchange’s rulebook.
- SR-CboeEDGX-2019-020
- April 5, 2019
- The Exchange proposes to add certain fees related to the listing and trading of options contracts on the Mini-SPX Index (“XSP”).
- SR-CboeEDGX-2019-018
- April 3, 2019
- The Exchange proposes to modify its fee schedule.
- SR-CboeEDGX-2019-017
- April 2, 2019
- The Exchange proposes to adopt all-or-none (“AON”) orders.
- SR-CboeEDGX-2019-016
- April 2, 2019
- 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.
- SR-CboeEDGX-2019-015
- March 29, 2019
- 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).
- SR-CboeEDGX-2019-014
- March 25, 2019
- 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.
- SR-CboeEDGX-2019-013
- March 22, 2019
- 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.
- SR-CboeEDGX-2019-012 Amendment No. 1
- June 18, 2019
- The Exchange proposes an amendment to SR-CboeEDGX-2019-012.
- SR-CboeEDGX-2019-012
- March 18, 2019
- The Exchange proposes to introduce retail priority.
- SR-CboeEDGX-2019-011
- March 15, 2019
- 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.
- SR-CboeEDGX-2019-010
- March 15, 2019
- The Exchange proposes to modify its fee schedule.
- SR-CboeEDGX-2019-008
- February 21, 2019
- 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.
- SR-CboeEDGX-2019-007
- March 5, 2019
- The Exchange proposes to amend the Bats Auction Mechanism.
- SR-CboeEDGX-2019-005
- February 12, 2019
- The Exchange proposes a rule change to adopt QCC with stock order functionality.
- SR-CboeEDGX-2019-004
- February 1, 2019
- The Exchange proposes a rule change to amend the fee schedule as it relates to pricing for the use of certain routing strategies.
- SR-CboeEDGX-2019-002
- January 29, 2019
- The Exchange proposes a rule change to amend the fee schedule to introduce a “Cross-Asset Volume Tier.”
- SR-CboeEDGX-2019-001
- January 7, 2019
- 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.