Cboe EDGX U.S. Equities 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-2019-047
Date filed: July 31, 2019
Description:

The Exchange proposes to adopt a solicited order mechanism (“SAM”) on EDGX Options.

File number: SR-CboeEDGX-2019-028 - Amendment No. 1
Date filed: June 14, 2019
Description:

The Exchange proposes an amendment to SR-CboeEDGX-2019-028.

File number: SR-CboeEDGX-2019-028
Date filed: April 26, 2019
Description:

The Exchange proposes to adopt Rule 21.22.

File number: SR-CboeEDGX-2019-012 Amendment No. 1
Date filed: June 18, 2019
Description:

The Exchange proposes an amendment to SR-CboeEDGX-2019-012.

File number: SR-CboeEDGX-2019-012
Date filed: March 18, 2019
Description:

The Exchange proposes to introduce retail priority.

Approved and Immediately Effective Rule Changes

File number: SR-EDGX-2012-49
Date filed: December 27, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.5(c), which describes the manner in which the NBBO Offset Peg Order operates.

File number: SR-EDGX-2012-48
Date filed: December 24, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-47
Date filed: November 26, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c), effective December 1, 2012

File number: SR-EDGX-2012-46
Date filed: November 1, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-45
Date filed: October 1, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-44
Date filed: September 25, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.5(c) to add a new order type, the NBBO Offset Peg Order, to the rule.

File number: SR-EDGX-2012-43
Date filed: September 25, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 2.11 describing the circumstances of the operation of an error account for the routing broker-dealer, Direct Edge ECN d/b/a DE Route.

File number: SR-EDGX-2012-42
Date filed: September 19, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 13.9, which provides a new market data product to Members and non-Members of the Exchange.

File number: SR-EDGX-2012-41
Date filed: September 5, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-40
Date filed: August 31, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c) regarding the Message Efficiency Incentive Program (the "MEIP").

File number: SR-EDGX-2012-39
Date filed: August 31, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-37
Date filed: August 21, 2012
Description:

EDGX Exchange, Inc. proposes to offer a new market data product, Edge Routed Liquidity Report, to Subscribers.

File number: SR-EDGX-2012-36
Date filed: August 22, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c) regarding logical ports.

File number: SR-EDGX-2012-35
Date filed: August 8, 2012
Description:

EDGX Exchange, Inc. proposes to terminate its revenue sharing program with Correlix, Inc.

File number: SR-EDGX-2012-34
Date filed: August 1, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-32
Date filed: July 26, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.5, entitled "Orders and Modifiers", to allow optional attribution of orders submitted to the Exchange without charge. Please note: SR-EDGX-2012-29, SR-EDGX-2012-30 and SR-EDGX-2012-31 were withdrawn versions of this filing.

File number: SR-EDGX-2012-28
Date filed: July 18, 2012
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program pursuant to the Rule until February 4, 2013.

File number: SR-EDGX-2012-27
Date filed: July 18, 2012
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot pursuant to the Rule until February 4, 2013.

File number: SR-EDGX-2012-26
Date filed: June 29, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-25
Date filed: June 26, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.5 to provide an additional order type, the Route Peg Order.

File number: SR-EDGX-2012-24, Amendment No. 1
Date filed: July 31, 2012
Description:

EDGX Exchange, Inc. proposes to amend SR-EDGX-2012-24.

File number: SR-EDGX-2012-24
Date filed: June 22, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rules 11.3 and 1.5(z) to add a requirement for Sponsoring Members to maintain a list of Sponsored Participants.

File number: SR-EDGX-2012-22
Date filed: June 19, 2012
Description:

EDGX Exchange, Inc. proposes to modify existing routing options contained in EDGX Rule 11.9(b)(3) to provide users with new simultaneous routing functionality.

File number: SR-EDGX-2012-21
Date filed: June 19, 2012
Description:

EDGX Exchange, Inc. proposes to establish a new market access risk management service called EdgeRisk Controls.

File number: SR-EDGX-2012-20
Date filed: June 5, 2012
Description:

EDGX Exchange, Inc. proposes to temporarily suspend the requirements of EDGX Rule 2.6 and related rules governing the qualification and admission of Members in order to immediately approve Apex Clearing as an EDGX Member.

File number: SR-EDGX-2012-19
Date filed: May 31, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-18
Date filed: May 29, 2012
Description:

EDGX Exchange, Inc. proposes to introduce the Message Efficiency Incentive Program to its fee schedule as provided for in footnote c of such schedule.

File number: SR-EDGX-2012-17
Date filed: May 1, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-16
Date filed: April 25, 2012
Description:

EDGX Exchange, Inc. proposes to amend certain sections of the Amended and Restated Bylaws of EDGX Exchange, Inc.

File number: SR-EDGX-2012-15
Date filed: April 16, 2012
Description:

EDGX Exchange, Inc. proposes to add Rule 3.26 (Telemarketing) to its rulebook.

File number: SR-EDGX-2012-14
Date filed: April 11, 2012
Description:

EDGX Exchange, Inc. is filing a proposed rule change to amend its fee schedule applicable to Members and non-Members of the Exchange to assess market data fees for internal and external distribution of the EDGX book feed (“EDGX Book Feed”).

File number: SR-EDGX-2012-13
Date filed: April 2, 2012
Description:

EDGX Exchange, Inc. proposes to adopt new EDGX Rule 11.22 to require Members to input accurate information into the System.

File number: SR-EDGX-2012-12
Date filed: March 30, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-11
Date filed: March 21, 2012
Description:

EDGX Exchange, Inc. proposes to amend Chapter III. of the EDGX rulebook to adopt the National Association of Securities Dealers, Inc. Rule 2212 (Telemarketing), subject to certain amendments, as EDGX Rule 3.26.

File number: SR-EDGX-2012-10
Date filed: March 19, 2012
Description:

EDGX Exchange, Inc. clarifies that EDGX's proposed rule change in connection with the proposed business combination of NYSE Euronext and Deutsche Borse AG will not become effective.

File number: SR-EDGX-2012-09
Date filed: March 16, 2012
Description:

EDGX Exchange, Inc. proposes to extend the pilot period of the Exchange's inbound router, as described in Rule 2.12(b).

File number: SR-EDGX-2012-08
Date filed: March 9, 2012
Description:

EDGX Exchange, Inc. proposes to amend Rule 2.11 to describe the operation of an error account for the routing broker-dealer, Direct Edge ECN d/b/a DE Route.

File number: SR-EDGX-2012-07
Date filed: March 8, 2012
Description:

EDGX Exchange, Inc. proposes to make changes to its corporate structure in connection with the transfer of SIX Swiss Exchange AG's 50% indirect ownership interest of International Securities Exchange Holdings, Inc. to a newly formed Swiss corporation, Eurex Global Derivatives AG.

File number: SR-EDGX-2012-06
Date filed: February 29, 2012
Description:

EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).

File number: SR-EDGX-2012-05
Date filed: February 10, 2012
Description:

EDGX Exchange, Inc. proposes to amend a rule change to offer a new historical data feed service to Members and Non-Members.

File number: SR-EDGX-2012-04
Date filed: February 1, 2012
Description:

EDGX Exchange, Inc. proposes to amend its rules regarding registration, qualification and continuing education requirements for Authorized Traders of Members that engage solely in proprietary trading.

File number: SR-EDGX-2012-03
Date filed: January 13, 2012
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 1.5(q) to change the starting time of the Pre-Opening Session from 7:00 a.m. Eastern Time ("ET") to 8:00 a.m. ET.

File number: SR-EDGX-2012-02
Date filed: January 11, 2012
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot pursuant to the Rule until July 31, 2012.

File number: SR-EDGX-2012-01
Date filed: January 11, 2012
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program pursuant to the Rule until July 31, 2012.