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-2020-064
December 31, 2020
The Exchange proposes to establish a policy relating to billing errors.
SR-CboeEDGX-2020-063
December 15, 2020
The Exchange proposes to amend EDGX Rule 11.8(g), which describes the handling of MidPoint Discretionary Orders entered on the Exchange.
SR-CboeEDGX-2020-062
December 10, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-061
December 3, 2020
The Exchange proposes to amend its Fee Schedule with respect to Qualified Contingent Cross and Solicitation Auction Mechanism orders.
SR-CboeEDGX-2020-060
December 3, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-056
November 16, 2020
The Exchange proposes to extend its Early Trading Session.
SR-CboeEDGX-2020-055
November 5, 2020
The Exchange proposes to automate the Exchange’s current process for initiating the re-opening of a security listed on the New York Stock Exchange LLC 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-2020-054
November 3, 2020
The Exchange proposes to amend its Interpretations and Policies to Rule 21.20 in connection with Market Makers’ complex orders, quoting obligations and volume.
SR-CboeEDGX-2020-053
November 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-052
October 28, 2020
The Exchange proposes to make certain changes to Rule 14.10, Requirements for Securities Issued by the Exchange or its Affiliates.
SR-CboeEDGX-2020-051
October 19, 2020
The Exchange proposes to extend the current pilot program related to Clearly Erroneous Executions, to the close of business on April 20, 2021.
SR-CboeEDGX-2020-050
October 12, 2020
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.
SR-CboeEDGX-2020-049
October 9, 2020
The Exchange proposes to enhance its drill-through protections and make other clarifying changes.
SR-CboeEDGX-2020-048
October 7, 2020
The Exchange proposes to amend its Fees Schedule to adopt new fee codes related to the execution of equity legs of a stock-option order.
SR-CboeEDGX-2020-047
October 6, 2020
The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.16.
SR-CboeEDGX-2020-046
October 1, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-045
September 11, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-043
August 25, 2020
The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize MIAX PEARL market data from the CQSUQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeEDGX-2020-042
August 19, 2020
The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize MEMX market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeEDGX-2020-041
August 10, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-040
August 3, 2020
The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Intraday Open-Close Data.
SR-CboeEDGX-2020-039
August 3, 2020
The Exchange proposes to amend the Fees Schedule.
SR-CboeEDGX-2020-038
July 30, 2020
The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.
SR-CboeEDGX-2020-037 Amendment No. 1
September 24, 2020
The Exchange proposes an amendment to SR-CboeEDGX-2020-037.
SR-CboeEDGX-2020-037
July 30, 2020
The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeEDGX-2020-036
July 29, 2020
The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.
SR-CboeEDGX-2020-035
July 29, 2020
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.
SR-CboeEDGX-2020-034
July 8, 2020
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.
SR-CboeEDGX-2020-033
July 1, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-032
July 1, 2020
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.
SR-CboeEDGX-2020-031
June 30, 2020
The Exchange proposes to adopt rules regarding off-floor transactions and transfers
SR-CboeEDGX-2020-030
June 22, 2020
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.
SR-CboeEDGX-2020-029
June 15, 2020
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.
SR-CboeEDGX-2020-028
June 11, 2020
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).
SR-CboeEDGX-2020-026
June 3, 2020
The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.
SR-CboeEDGX-2020-025
June 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-023
May 28, 2020
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.
SR-CboeEDGX-2020-022
May 8, 2020
The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.
SR-CboeEDGX-2020-021
May 7, 2020
The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.
SR-CboeEDGX-2020-020
May 1, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-019
April 24, 2020
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.
SR-CboeEDGX-2020-018
April 24, 2020
The Exchange proposes to amend its definition of bulk messages in Rule 16.1 and amend Rule 21.1(j)(3).
SR-CboeEDGX-2020-017
April 23, 2020
The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.10.
SR-CboeEDGX-2020-016
April 6, 2020
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.
SR-CboeEDGX-2020-015
April 1, 2020
The Exchange proposes to amend its Fee Schedule.
SR-CboeEDGX-2020-014
March 31, 2020
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.
SR-CboeEDGX-2020-013
March 18, 2020
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.
SR-CboeEDGX-2020-012
March 16, 2020
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).
SR-CboeEDGX-2020-011
March 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeEDGX-2020-010 Amendment No. 1
May 19, 2020
The Exchange proposes an amendment to SR-CboeEDGX-2020-010.
SR-CboeEDGX-2020-010
February 14, 2020
The Exchange proposes to amend EDGX Rule 11.8(g), which describes the handling of Midpoint Discretionary Orders entered on the Exchange.
SR-CboeEDGX-2020-009
February 11, 2020
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.
SR-CboeEDGX-2020-008
February 4, 2020
The Exchange proposes to introduce a Small Retail Broker Distribution Program.
SR-CboeEDGX-2020-006
February 3, 2020
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.
SR-CboeEDGX-2020-003
January 21, 2020
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).
SR-CboeEDGX-2020-002
January 21, 2020
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.
SR-CboeEDGX-2020-001
January 2, 2020
The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.