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-2014-37
Date filed: December 30, 2014
Description:

EDGX Exchange, Inc. proposed to amend its Fee Schedule effective January 2, 2015.

File number: SR-EDGX-2014-36
Date filed: December 23, 2014
Description:

EDGX Exchange, Inc. proposed to amend Rule 13.8 to adopt Top and Last Sale data feeds.

File number: SR-EDGX-2014-35
Date filed: December 22, 2014
Description:

Proposal to replace references to "Direct Edge ECN LLC d/b/a DE Route" and "DE Route" with "BATS Trading, Inc."

File number: SR-EDGX-2014-34
Date filed: December 12, 2014
Description:

EDGX Exchange, Inc. proposed to convert its parent company, Direct Edge, Inc., from a Delaware corporation to a Delaware limited liability company.

File number: SR-EDGX-2014-33
Date filed: November 28, 2014
Description:

EDGX Exchange, Inc. proposed to amend Rules 1.5 and 11.3.

File number: SR-EDGX-2014-32
Date filed: November 26, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-30
Date filed: November 25, 2014
Description:

Proposed to amend the EdgeBook Cloud Service on EDGX Exchange, Inc.

File number: SR-EDGX-2014-29
Date filed: November 25, 2014
Description:

EDGX Exchange, Inc. proposes to eliminate reference to the EdgeRisk Gateway in Rule 13.10.

File number: SR-EDGX-2014-28
Date filed: November 25, 2014
Description:

EDGX Exchange, Inc. proposed to amend Rule 13.9 related to a communication and routing service known as ConnectEdge.

File number: SR-EDGX-2014-27
Date filed: November 21, 2014
Description:

Proposed to amend Rule 14.1(c)(5) to harmonize its restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC.

File number: SR-EDGX-2014-26
Date filed: October 31, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-25 Amendment No. 2
Date filed: December 15, 2014
Description:

Second amendment to SR-EDGX-2014-25.

File number: SR-EDGX-2014-25 Amendment No. 1
Date filed: November 14, 2014
Description:

Amendment to SR-EDGX-2014-25.

File number: SR-EDGX-2014-25
Date filed: October 30, 2014
Description:

EDGX Exchange, Inc. proposes to establish a new market data product called the BATS One Feed.

File number: SR-EDGX-2014-24
Date filed: October 27, 2014
Description:

EDGX Exchange, Inc. proposes to amend Rule 11.12, Limitation of Liability.

File number: SR-EDGX-2014-23
Date filed: August 29, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-22
Date filed: July 31, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-21
Date filed: July 18, 2014
Description:

EDGX Exchange, Inc. proposes to retire reference in EDGX Rule 13.9 to the EDGE Routed Liquidity Report.

File number: SR-EDGX-2014-20
Date filed: July 15, 2014
Description:

EDGX Exchange, Inc. proposes to clarify for its Members and non-Members the use of certain data feeds for order handling and execution, order routing, and regulatory compliance.

File number: SR-EDGX-2014-18 Amendment No. 3
Date filed: October 17, 2014
Description:

Third partial amendment to SR-EDGX-2014-18.

File number: SR-EDGX-2014-18 Amendment No. 1
Date filed: October 14, 2014
Description:

Partial amendment to SR-EDGX-2014-18.

File number: SR-EDGX-2014-18
Date filed: July 16, 2014
Description:

EDGX Exchange, Inc. proposed a Rule Change Relating to Include Additional Specificity within Rule 1.5 and Chapter XI regarding Current System Functionality Including the Operation of Order Types and Order Instructions.

File number: SR-EDGX-2014-17
Date filed: June 30, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-16
Date filed: June 2, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-15
Date filed: May 1, 2014
Description:

EDGX Exchange, Inc. proposes to amend its Fee Schedule.

File number: SR-EDGX-2014-14
Date filed: April 21, 2014
Description:

EDGX Exchange, Inc. proposes to amend EDGX Rule 11.5 regarding the Route Peg Order.

File number: SR-EDGX-2014-13
Date filed: April 17, 2014
Description:

The Exchange proposes to amend Footnote 4 of its Fee Schedule to permit Members to designate that their Retail Orders be identified as Retail on the EDGX Book Feed.

File number: SR-EDGX-2014-12
Date filed: April 17, 2014
Description:

Proposed rule change to add new paragraphs (j) and (k) to Rule 11.13, entitled “Clearly Erroneous Executions.”

File number: SR-EDGX-2014-11
Date filed: April 14, 2014
Description:

EDGX Exchange, Inc. proposes to amend its ROOC routing option under Rule 11.9(b)(1)(n).

File number: SR-EDGX-2014-10
Date filed: April 9, 2014
Description:

EDGX Exchange, Inc. proposes to amend the definitions of ADV and TCV in its Fee Schedule effective May 1, 2014.

File number: SR-EDGX-2014-09
Date filed: April 1, 2014
Description:

EDGX Exchange, Inc. proposes to amend itsFee Schedule.

File number: SR-EDGX-2014-06
Date filed: March 12, 2014
Description:

EDGX Exchange, Inc. proposes to amendExchange Rule 14.1.

File number: SR-EDGX-2014-04
Date filed: March 5, 2014
Description:

EDGX Exchange, Inc. proposes to amend itsFee Schedule.

File number: SR-EDGX-2014-02
Date filed: February 18, 2014
Description:

EDGX Exchange, Inc. proposes to amend itsFee Schedule.

File number: SR-EDGX-2014-01
Date filed: January 17, 2014
Description:

EDGX Exchange, Inc. proposes to amend Chapter IX of its rulebook.

File number: SR-EDGX-2014-008
Date filed: March 21, 2014
Description:

EDGX Exchange, Inc. proposes toamend Exchange Rule 12.6.

File number: SR-EDGX-2014-007
Date filed: March 18, 2014
Description:

EDGX Exchange, Inc. proposes toextend a pilot program related to Rule 11.13, entitled "Clearly Erroneous Executions."