Cboe Global Markets

Cboe Options 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-2021-025
April 26, 2021
The Exchange proposes to amend its process for re-opening securities listed on other national securities exchanges following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or Post-Closing Session.
SR-CboeEDGX-2021-021
April 16, 2021
The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.

Approved and Immediately Effective Rule Changes

SR-EDGX-2016-16
March 1, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-EDGX-2016-14
February 26, 2016
The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.
SR-EDGX-2016-12
February 18, 2016
EDGX Exchange, Inc. proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-EDGX-2016-10
February 10, 2016
EDGX Exchange, Inc. proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-EDGX-2016-08
February 10, 2016
EDGX Exchange, Inc. proposes a rule change to Rule 11.6, Definitions, to amend the operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity.
SR-EDGX-2016-06 Amendment No. 1
February 12, 2016
The Exchange proposes an amendment to SR-EDGX-2016-06.
SR-EDGX-2016-06
February 2, 2016
The Exchange proposes a rule change to adopt an Early Trading Session and three new Time-in-Force instructions.
SR-EDGX-2016-04
February 9, 2016
The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.
SR-EDGX-2016-03
February 10, 2016
EDGX Exchange, Inc. proposes a rule change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, amending the Exchange's Minor Rule Violation Plan.
SR-EDGX-2016-02
January 25, 2016
EDGX Exchange, Inc. proposes a rule change to amend Rule 21.16, Risk Monitor Mechanism, relating to the EDGX Equity Options Trading Platform.
SR-EDGX-2016-01
January 21, 2016
EDGX Exchange, Inc. proposes a rule change to Rule 21.1, Definitions, relating to the operation of the Attribution Feature of EDGX Options.
SR-BatsEDGX-2016-75
December 27, 2016
The Exchange proposes a rule change to modify fees as they apply to the Equity Options Platform for connectivity and its communication and routing service known as Bats Connect.
SR-BatsEDGX-2016-73
December 6, 2016
The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for EDGX Summary Depth and amend fees for EDGX Depth.
SR-BatsEDGX-2016-71
November 30, 2016
Proposed rule change to Rule 21.5 to extend through June 30, 2017, the Penny Pilot Program in options classes in certain issues
SR-BatsEDGX-2016-70
November 30, 2016
The Exchange proposes a rule change to amend Exchange Rule 11.22(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.
SR-BatsEDGX-2016-69
November 30, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-68
November 30, 2016
The Exchange proposes rule changes related to fees.
SR-BatsEDGX-2016-67
November 18, 2016
The Exchange proposes a rule change to make several non-substantive changes to the fee schedule, as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-66
November 18, 2016
The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.
SR-BatsEDGX-2016-65
November 17, 2016
The Exchange proposes a rule change to make ministerial changes to rules 11.8, 11.14, and 11.22.
SR-BatsEDGX-2016-64
November 3, 2016
Proposed Rule Change to Add EDGX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information and to Remove Part of EDGX Rule 8.11, Effective Date of Judgment.
SR-BatsEDGX-2016-63
November 1, 2016
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2016-62
November 1, 2016
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-60
November 2, 2016
The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
SR-BatsEDGX-2016-59
October 24, 2016
The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.
SR-BatsEDGX-2016-58
October 19, 2016
The Exchange proposes a rule change to amend EDGX Rule 21.12, Clearing Member Give Up.
SR-BatsEDGX-2016-57
October 6, 2016
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-55
September 30, 2016
The Exchange proposes rule changes related to fees.
SR-BatsEDGX-2016-54
October 12, 2016
The Exchange proposes a rule change to amend EDGX Rule 11.11, Routing to Away Trade Centers.
SR-BatsEDGX-2016-53
September 28, 2016
The Exchange proposes a rule change to Rule 22.3, Continuing Options Market Maker Registration.
SR-BatsEDGX-2016-52
August 30, 2016
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2016-51
August 26, 2016
The Exchange proposes a rule change to amend Rule 11.22(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.
SR-BatsEDGX-2016-50
August 25, 2016
The Exchange proposes a rule change to amend Rule 19.6, Series of Options Contracts Open for Trading, to allow Wednesday expirations for SPY options.
SR-BatsEDGX-2016-49
August 22, 2016
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-48
August 22, 2016
The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-46
August 17, 2016
The Exhange propses a rule change to EDGX Rule 21.8, Order Display and Book Processing.
SR-BatsEDGX-2016-45
August 11, 2016
The Exchange proposes a rule change to amend Rule 13.8, EDGX Book Feeds, to adopt a new market data product known as EDGX Summary Depth.
SR-BatsEDGX-2016-42
August 5, 2016
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2016-41 Amendment No. 1
December 15, 2016
The Exchange proposes an amendment to SR-BatsEDGX-2016-41.
SR-BatsEDGX-2016-41
September 16, 2016
The Exchange proposes a rule change related to the Exchange's Equity Options Platform to adopt a Price Improvement Auction, the Bats Auction Mechanism.
SR-BatsEDGX-2016-40
July 29, 2016
The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-36
July 26, 2016
The Exchange proposes a rule to reflect the dissolution of one of the Exchange's intermediate holding companies, Direct Edge Holdings LLC.
SR-BatsEDGX-2016-35
July 22, 2016
The Exchange filed a proposal to amend Rule 11.21, Retail Orders, to conform to the rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc..
SR-BatsEDGX-2016-32
July 11, 2016
The Exchange proposed a rule change related to fees as they apply to the recently adopted Step Up Mechanism on its Equity Options Platform.
SR-BatsEDGX-2016-30
July 5, 2016
The Exchange proposed a rule change to EDGA Rule 13.4(a), stating it will utilize IEX market data from the CQS/UQDF for purposes of order handling, routing, and related compliance processes
SR-BatsEDGX-2016-29
July 11, 2016
The Exchange is filing this proposal related to functionality offered by EDGX Options to: (i) modify various rules to eliminate the display-price sliding option; (ii) modify various rules to eliminate Price Improving Orders, as defined below; and (iii) adopt the Step Up Mechanism.
SR-BatsEDGX-2016-28
June 30, 2016
The Exchange proposes to add Interpretation and Policy .01 to Rule 16.1 to specify the manner in which the Exchange calculates average daily order submissions for purposes of counting Professional orders.
SR-BatsEDGX-2016-27
July 1, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-26 Amendment No. 1
September 1, 2016
The Exchange proposes an amendment to SR-BatsEDGX-2016-26.
SR-BatsEDGX-2016-26
June 29, 2016
The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.22 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.
SR-BatsEDGX-2016-25
June 17, 2016
The Exchange proposes to amend rule 13.8(b) to identify certain transactions as the Bats One Opening Price or the Bats One Closing Price.
SR-BatsEDGX-2016-24
June 9, 2016
The Exchange proposed a rule change to Rule 11.7, Opening Process.
SR-BatsEDGX-2016-23
June 8, 2016
The Exchange proposed a rule change related to fees.
SR-BatsEDGX-2016-22
June 3, 2016
The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-BatsEDGX-2016-21
June 1, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-19
May 13, 2016
The Exchange proposed a rule change to Rule 11.7, Opening Process.
SR-BatsEDGX-2016-18
May 17, 2016
The Exchange proposed a rule change to the Market Data section of its fee schedule.
SR-BatsEDGX-2016-17
May 3, 2016
The Exchange proposed a rule change to amend the description of Price Improving Orders under subparagraph (6) to Rule 21.1(d) and add subparagraph (4) to Rule 21.1(h) modifying the operation of orders subject to the display price sliding process when a contra-side Post Only Order is received by the Bats EDGX Exchange Options Platform.
SR-BatsEDGX-2016-15
May 2, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-14
May 2, 2016
The Exchange proposed a rule change to adopt Exchange Rule 11.22(a) to implement the quoting and trading provisions of the Regulation NMS Plan to implement a Tick Size Pilot Program.
SR-BatsEDGX-2016-13
April 29, 2016
The Exchange proposes rule changes related to fees.
SR-BatsEDGX-2016-12
April 13, 2016
The Exchange proposed a rule change to adopt Exchange Rule 14.10 setting forth additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
SR-BatsEDGX-2016-11
April 11, 2016
The Exchange proposes rule changes related to fees.
SR-BatsEDGX-2016-10
April 8, 2016
The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.
SR-BatsEDGX-2016-09
April 7, 2016
The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-07
April 7, 2016
The Exchange proposes a non-substantive correction to Rule 11.27.
SR-BatsEDGX-2016-05
March 31, 2016
The Exchnage proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2016-04
March 30, 2016
The Exchange proposes a rule change to adopt Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit layering and spoofing.
SR-BatsEDGX-2016-03
March 24, 2016
The Exchange proposes rule changes in connection with the Equity Options Platform.
SR-BatsEDGX-2016-02
March 17, 2016
The Exchange proposes rule changes related to fees.
SR-BatsEDGX-2016-01
March 15, 2016
The Exchange proposes a rule change to adopt Exchange Rule 11.27 to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.