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-CboeEDGX-2024-009
- January 25, 2024
- The Exchange proposes to amend the definition of Retail Order, and codify interps and policies regarding permissible uses of algorithms by RMOs.
- SR-CboeEDGX-2024-007
- 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-CboeEDGX-2024-005
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
- SR-CboeEDGX-2023-083
- December 26, 2023
- The Exchange proposes to make permanent the operation of its programs that allow the Exchange to list options on the Mini-SPX Index (“XSP options”) with P.M.-settlement and to list broad-based index options with nonstandard expirations.
Approved and Immediately Effective Rule Changes
- SR-EDGX-2016-16
- March 1, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-EDGX-2016-14
- February 26, 2016
- The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.
- SR-EDGX-2016-12
- February 18, 2016
- EDGX Exchange, Inc. proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-EDGX-2016-10
- February 10, 2016
- EDGX Exchange, Inc. proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-EDGX-2016-08
- February 10, 2016
- EDGX Exchange, Inc. proposes a rule change to Rule 11.6, Definitions, to amend the operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity.
- SR-EDGX-2016-06 Amendment No. 1
- February 12, 2016
- The Exchange proposes an amendment to SR-EDGX-2016-06.
- SR-EDGX-2016-06
- February 2, 2016
- The Exchange proposes a rule change to adopt an Early Trading Session and three new Time-in-Force instructions.
- SR-EDGX-2016-04
- February 9, 2016
- The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.
- SR-EDGX-2016-03
- February 10, 2016
- EDGX Exchange, Inc. proposes a rule change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, amending the Exchange's Minor Rule Violation Plan.
- SR-EDGX-2016-02
- January 25, 2016
- EDGX Exchange, Inc. proposes a rule change to amend Rule 21.16, Risk Monitor Mechanism, relating to the EDGX Equity Options Trading Platform.
- SR-EDGX-2016-01
- January 21, 2016
- EDGX Exchange, Inc. proposes a rule change to Rule 21.1, Definitions, relating to the operation of the Attribution Feature of EDGX Options.
- SR-BatsEDGX-2016-75
- December 27, 2016
- The Exchange proposes a rule change to modify fees as they apply to the Equity Options Platform for connectivity and its communication and routing service known as Bats Connect.
- SR-BatsEDGX-2016-73
- December 6, 2016
- The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for EDGX Summary Depth and amend fees for EDGX Depth.
- SR-BatsEDGX-2016-71
- November 30, 2016
- Proposed rule change to Rule 21.5 to extend through June 30, 2017, the Penny Pilot Program in options classes in certain issues
- SR-BatsEDGX-2016-70
- November 30, 2016
- The Exchange proposes a rule change to amend Exchange Rule 11.22(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGX-2016-69
- November 30, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-68
- November 30, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsEDGX-2016-67
- November 18, 2016
- The Exchange proposes a rule change to make several non-substantive changes to the fee schedule, as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-66
- November 18, 2016
- The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.
- SR-BatsEDGX-2016-65
- November 17, 2016
- The Exchange proposes a rule change to make ministerial changes to rules 11.8, 11.14, and 11.22.
- SR-BatsEDGX-2016-64
- November 3, 2016
- Proposed Rule Change to Add EDGX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information and to Remove Part of EDGX Rule 8.11, Effective Date of Judgment.
- SR-BatsEDGX-2016-63
- November 1, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2016-62
- November 1, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-60
- November 2, 2016
- The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
- SR-BatsEDGX-2016-59
- October 24, 2016
- The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.
- SR-BatsEDGX-2016-58
- October 19, 2016
- The Exchange proposes a rule change to amend EDGX Rule 21.12, Clearing Member Give Up.
- SR-BatsEDGX-2016-57
- October 6, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-55
- September 30, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsEDGX-2016-54
- October 12, 2016
- The Exchange proposes a rule change to amend EDGX Rule 11.11, Routing to Away Trade Centers.
- SR-BatsEDGX-2016-53
- September 28, 2016
- The Exchange proposes a rule change to Rule 22.3, Continuing Options Market Maker Registration.
- SR-BatsEDGX-2016-52
- August 30, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2016-51
- August 26, 2016
- The Exchange proposes a rule change to amend Rule 11.22(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGX-2016-50
- August 25, 2016
- The Exchange proposes a rule change to amend Rule 19.6, Series of Options Contracts Open for Trading, to allow Wednesday expirations for SPY options.
- SR-BatsEDGX-2016-49
- August 22, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-48
- August 22, 2016
- The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-46
- August 17, 2016
- The Exhange propses a rule change to EDGX Rule 21.8, Order Display and Book Processing.
- SR-BatsEDGX-2016-45
- August 11, 2016
- The Exchange proposes a rule change to amend Rule 13.8, EDGX Book Feeds, to adopt a new market data product known as EDGX Summary Depth.
- SR-BatsEDGX-2016-42
- August 5, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2016-41 Amendment No. 1
- December 15, 2016
- The Exchange proposes an amendment to SR-BatsEDGX-2016-41.
- SR-BatsEDGX-2016-41
- September 16, 2016
- The Exchange proposes a rule change related to the Exchange's Equity Options Platform to adopt a Price Improvement Auction, the Bats Auction Mechanism.
- SR-BatsEDGX-2016-40
- July 29, 2016
- The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-36
- July 26, 2016
- The Exchange proposes a rule to reflect the dissolution of one of the Exchange's intermediate holding companies, Direct Edge Holdings LLC.
- SR-BatsEDGX-2016-35
- July 22, 2016
- The Exchange filed a proposal to amend Rule 11.21, Retail Orders, to conform to the rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc..
- SR-BatsEDGX-2016-32
- July 11, 2016
- The Exchange proposed a rule change related to fees as they apply to the recently adopted Step Up Mechanism on its Equity Options Platform.
- SR-BatsEDGX-2016-30
- July 5, 2016
- The Exchange proposed a rule change to EDGA Rule 13.4(a), stating it will utilize IEX market data from the CQS/UQDF for purposes of order handling, routing, and related compliance processes
- SR-BatsEDGX-2016-29
- July 11, 2016
- The Exchange is filing this proposal related to functionality offered by EDGX Options to: (i) modify various rules to eliminate the display-price sliding option; (ii) modify various rules to eliminate Price Improving Orders, as defined below; and (iii) adopt the Step Up Mechanism.
- SR-BatsEDGX-2016-28
- June 30, 2016
- The Exchange proposes to add Interpretation and Policy .01 to Rule 16.1 to specify the manner in which the Exchange calculates average daily order submissions for purposes of counting Professional orders.
- SR-BatsEDGX-2016-27
- July 1, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-26 Amendment No. 1
- September 1, 2016
- The Exchange proposes an amendment to SR-BatsEDGX-2016-26.
- SR-BatsEDGX-2016-26
- June 29, 2016
- The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.22 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGX-2016-25
- June 17, 2016
- The Exchange proposes to amend rule 13.8(b) to identify certain transactions as the Bats One Opening Price or the Bats One Closing Price.
- SR-BatsEDGX-2016-24
- June 9, 2016
- The Exchange proposed a rule change to Rule 11.7, Opening Process.
- SR-BatsEDGX-2016-23
- June 8, 2016
- The Exchange proposed a rule change related to fees.
- SR-BatsEDGX-2016-22
- June 3, 2016
- The Exchange proposes a rule change to extend the Penny Pilot Program.
- SR-BatsEDGX-2016-21
- June 1, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-19
- May 13, 2016
- The Exchange proposed a rule change to Rule 11.7, Opening Process.
- SR-BatsEDGX-2016-18
- May 17, 2016
- The Exchange proposed a rule change to the Market Data section of its fee schedule.
- SR-BatsEDGX-2016-17
- May 3, 2016
- The Exchange proposed a rule change to amend the description of Price Improving Orders under subparagraph (6) to Rule 21.1(d) and add subparagraph (4) to Rule 21.1(h) modifying the operation of orders subject to the display price sliding process when a contra-side Post Only Order is received by the Bats EDGX Exchange Options Platform.
- SR-BatsEDGX-2016-15
- May 2, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-14
- May 2, 2016
- The Exchange proposed a rule change to adopt Exchange Rule 11.22(a) to implement the quoting and trading provisions of the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGX-2016-13
- April 29, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsEDGX-2016-12
- April 13, 2016
- The Exchange proposed a rule change to adopt Exchange Rule 14.10 setting forth additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
- SR-BatsEDGX-2016-11
- April 11, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsEDGX-2016-10
- April 8, 2016
- The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.
- SR-BatsEDGX-2016-09
- April 7, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-07
- April 7, 2016
- The Exchange proposes a non-substantive correction to Rule 11.27.
- SR-BatsEDGX-2016-05
- March 31, 2016
- The Exchnage proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2016-04
- March 30, 2016
- The Exchange proposes a rule change to adopt Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit layering and spoofing.
- SR-BatsEDGX-2016-03
- March 24, 2016
- The Exchange proposes rule changes in connection with the Equity Options Platform.
- SR-BatsEDGX-2016-02
- March 17, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsEDGX-2016-01
- March 15, 2016
- The Exchange proposes a rule change to adopt Exchange Rule 11.27 to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.