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-CboeEDGA-2024-003
- 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-CboeEDGA-2024-002
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
Approved and Immediately Effective Rule Changes
- SR-CboeEDGA-2019-023
- 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-CboeEDGA-2019-022
- 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-CboeEDGA-2019-020
- 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-CboeEDGA-2019-019
- November 13, 2019
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeEDGA-2019-017
- 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-CboeEDGA-2019-016
- October 15, 2019
- The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.16.
- SR-CboeEDGA-2019-010
- May 1, 2019
- The Exchange proposes to amend the fee schedule as it relates to pricing for the use of the ROBB and ROCO routing strategies.
- SR-CboeEDGA-2019-008
- 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-CboeEDGA-2019-007
- 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-CboeEDGA-2019-006
- April 12, 2019
- The Exchange proposes to extend the pilot program related to EDGA Rule 11.16, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.
- SR-CboeEDGA-2019-005
- 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-CboeEDGA-2019-004
- March 25, 2019
- The Exchange proposes to amend EDGA 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-CboeEDGA-2019-003
- March 1, 2019
- The Exchange proposes a rule change related to fees.
- SR-CboeEDGA-2019-002
- 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-CboeEDGA-2019-001
- January 7, 2019
- The Exchange proposes to amend the Exchange’s Ninth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.