Cboe EDGX Options 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-2020-037
Date filed: July 30, 2020
Description:

The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.

Approved and Immediately Effective Rule Changes

File number: SR-CboeEDGX-2020-040
Date filed: August 3, 2020
Description:

The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Intraday Open-Close Data.

File number: SR-CboeEDGX-2020-039
Date filed: August 3, 2020
Description:

The Exchange proposes to amend the Fees Schedule.

File number: SR-CboeEDGX-2020-038
Date filed: July 30, 2020
Description:

The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.

File number: SR-CboeEDGX-2020-036
Date filed: July 29, 2020
Description:

The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.

File number: SR-CboeEDGX-2020-035
Date filed: July 29, 2020
Description:

The Exchange proposes to permit off-floor position transfers between accounts for the same person without providing notice to the Exchange and at any time.

File number: SR-CboeEDGX-2020-034
Date filed: July 8, 2020
Description:

The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rules 8.15 and 25.3.

File number: SR-CboeEDGX-2020-033
Date filed: July 1, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeEDGX-2020-032
Date filed: July 1, 2020
Description:

The Exchange proposes to amend the fee schedule applicable to its equities trading platform to introduce a flat charge for the execution of MDOs that are entered with the QDP instruction.

File number: SR-CboeEDGX-2020-031
Date filed: June 30, 2020
Description:

The Exchange proposes to adopt rules regarding off-floor transactions and transfers

File number: SR-CboeEDGX-2020-030
Date filed: June 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to be consistent with certain proposed amendments to and exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

File number: SR-CboeEDGX-2020-029
Date filed: June 15, 2020
Description:

The Exchange proposes to amend the content of the Cboe One Feed under Rule 13.8(b) to identify the primary listing market’s official opening and closing price.

File number: SR-CboeEDGX-2020-028
Date filed: June 11, 2020
Description:

The Exchange proposes to amend Rule 21.5 to conform the rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (the “OLPP”) and add new Rule 21.5(e).

File number: SR-CboeEDGX-2020-026
Date filed: June 3, 2020
Description:

The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.

File number: SR-CboeEDGX-2020-025
Date filed: June 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeEDGX-2020-023
Date filed: May 28, 2020
Description:

The Exchange proposes a rule change to allow Members and Clearing Members to establish or adjust the risk settings set forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a risk group identifier basis.

File number: SR-CboeEDGX-2020-022
Date filed: May 8, 2020
Description:

The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.

File number: SR-CboeEDGX-2020-021
Date filed: May 7, 2020
Description:

The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.

File number: SR-CboeEDGX-2020-020
Date filed: May 1, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeEDGX-2020-019
Date filed: April 24, 2020
Description:

The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.

File number: SR-CboeEDGX-2020-018
Date filed: April 24, 2020
Description:

The Exchange proposes to amend its definition of bulk messages in Rule 16.1 and amend Rule 21.1(j)(3).

File number: SR-CboeEDGX-2020-017
Date filed: April 23, 2020
Description:

The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.10.

File number: SR-CboeEDGX-2020-016
Date filed: April 6, 2020
Description:

The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.

File number: SR-CboeEDGX-2020-015
Date filed: April 1, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeEDGX-2020-014
Date filed: March 31, 2020
Description:

The Exchange proposed to amend Rule 14.11(b)(2) to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions.

File number: SR-CboeEDGX-2020-013
Date filed: March 18, 2020
Description:

The Exchange proposes to extend the current pilot program related to EDGX Rule 11.15, Clearly Erroneous Executions, to the close of business on October 20, 2020.

File number: SR-CboeEDGX-2020-012
Date filed: March 16, 2020
Description:

The Exchange proposes to amend Rule 11.16(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rule 11.7(e).

File number: SR-CboeEDGX-2020-011
Date filed: March 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeEDGX-2020-010 Amendment No. 1
Date filed: May 19, 2020
Description:

The Exchange proposes an amendment to SR-CboeEDGX-2020-010.

File number: SR-CboeEDGX-2020-010
Date filed: February 14, 2020
Description:

The Exchange proposes to amend EDGX Rule 11.8(g), which describes the handling of Midpoint Discretionary Orders entered on the Exchange.

File number: SR-CboeEDGX-2020-009
Date filed: February 11, 2020
Description:

The Exchange proposes to amend its Fee Schedule in connection with its recently adopted Solicitation Auction Mechanism (“SAM” or “SAM Auction”) and with Qualified Contingent Cross (“QCC”) orders, as well as make certain clarifications in connection with AIM fees.

File number: SR-CboeEDGX-2020-008
Date filed: February 4, 2020
Description:

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeEDGX-2020-006
Date filed: February 3, 2020
Description:

The Exchange proposes to make certain changes to Rule 11.11 (Routing to Away Trading Centers) and to make corresponding amendments to its Fee Schedule.

File number: SR-CboeEDGX-2020-003
Date filed: January 21, 2020
Description:

The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).

File number: SR-CboeEDGX-2020-002
Date filed: January 21, 2020
Description:

The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.

File number: SR-CboeEDGX-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.