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-CboeEDGX-2017-010
December 27, 2017
The Exchange proposes to amend the Market Data section of its fee schedule applicable to its equity options platform to adopt fees for certain of its market data products.
SR-CboeEDGX-2017-009
December 21, 2017
The Exchange proposed a rule change to update Rule 21.1, Rule 21.10, and Rule 21.17 to make modifications to the Exchange's rules and functionality applicable to the Exchange's options platform in preparation for the technology migration of the Exchange's affiliated options exchanges onto the same technology as the Exchange.
SR-CboeEDGX-2017-008
December 15, 2017
The Exchange proposes a rule change related to market data fees.
SR-CboeEDGX-2017-007
December 14, 2017
The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-CboeEDGX-2017-006
December 27, 2017
The Exchange proposes to amend the Market Data section of its fee schedule to introduce new fees for Non-Display Usage of EDGX Depth.
SR-CboeEDGX-2017-005
December 4, 2017
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.
SR-CboeEDGX-2017-004
December 1, 2017
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2017-003
November 30, 2017
The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2017-002
November 29, 2017
The Exchange proposes a rule change to Exchange Rule 11.8, Order Types.
SR-CboeEDGX-2017-001
November 14, 2017
The Exchange proposed a rule change to amend the Exchange's governance documents.
SR-BatsEDGX-2017-50
November 8, 2017
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2017-48
October 31, 2017
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.
SR-BatsEDGX-2017-47
November 2, 2017
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.
SR-BatsEDGX-2017-46
November 2, 2017
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.
SR-BatsEDGX-2017-43
October 25, 2017
The Exchange proposes to adopt complex order provisions of obvious error rule in preparation for launch of complex orders on Cboe EDGX.
SR-BatsEDGX-2017-41
October 16, 2017
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.
SR-BatsEDGX-2017-40
October 15, 2017
The Exchange proposes a rule change to make technical corrections to its Second Amended and Restated Certificate of Incorporation.
SR-BatsEDGX-2017-39
October 10, 2017
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.
SR-BatsEDGX-2017-38
October 10, 2017
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.
SR-BatsEDGX-2017-37
September 6, 2017
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.
SR-BatsEDGX-2017-36
August 29, 2017
The Exchange proposes a rule change to amend Exchange rules related to the nullification and adjustment of options transactions including obvious errors.
SR-BatsEDGX-2017-35
August 23, 2017
The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
SR-BatsEDGX-2017-34
August 11, 2017
The Exchange proposes a rule change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution.
SR-BatsEDGX-2017-33
August 2, 2017
The Exchange proposes a rule change to amend Rule 21.2, Days and Hours of Business.
SR-BatsEDGX-2017-31
July 24, 2017
The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.
SR-BatsEDGX-2017-30
June 12, 2017
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2017-29 Amendment No. 1
October 16, 2017
The Exchange proposes an amendment to SR-BatsEDGX-2017-29.
SR-BatsEDGX-2017-29
June 30, 2017
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.
SR-BatsEDGX-2017-28
June 7, 2017
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.
SR-BatsEDGX-2017-25
May 26, 2017
The Exchange proposes a rule change to add a new optional order instruction known as Non-Displayed Swap.
SR-BatsEDGX-2017-24 Amendment No. 1
August 24, 2017
The Exchange proposes an amendment to SR-BatsEDGX-2017-24.
SR-BatsEDGX-2017-24
May 23, 2017
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.
SR-BatsEDGX-2017-22 Amendment No. 2
December 7, 2017
The Exchange proposes a second amendment to SR-BatsEDGX-2017-22.
SR-BatsEDGX-2017-22 Amendment No. 1
November 3, 2017
The Exchange proposes an amendment to SR-BatsEDGX-2017-22.
SR-BatsEDGX-2017-21
May 8, 2017
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2017-19
May 4, 2017
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.
SR-BatsEDGX-2017-16
April 25, 2017
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.
SR-BatsEDGX-2017-15
March 31, 2017
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2017-14
March 1, 2017
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2017-13
February 28, 2017
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.
SR-BatsEDGX-2017-12
February 28, 2017
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2017-11
February 1, 2017
The Exchange proposes a rule change related to functionality offered by the Exchange's options platform to adopt Qualified Contingent Cross Orders.
SR-BatsEDGX-2017-10
February 1, 2017
The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsEDGX-2017-09
February 1, 2017
The Exchange proposes a rule change related to fees.
SR-BatsEDGX-2017-08
January 30, 2017
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.
SR-BatsEDGX-2017-07
January 20, 2017
The Exchange proposes a rule change to adopt a new type of logical port known as a Purge Port.
SR-BatsEDGX-2017-05
January 13, 2017
The Exchange proposes a rule change to EDGX Rule 21.19, Bats Auction Mechanism, as it applies to the equity options platform.
SR-BatsEDGX-2017-04
January 30, 2017
The Exchange proposes a rule change to adopt Option Regulatory Fees as they relate to the equity options platform.
SR-BatsEDGX-2017-02
January 5, 2017
The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.
SR-BatsEDGX-2017-01
January 3, 2017
The Exchange proposes rule changes to amend the fee schedule adopt fees for its recently adopted Bats Auction Mechanism.