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

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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.

Approved and Immediately Effective Rule Changes

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SR-CboeEDGX-2018-061: December 20, 2018; The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-CboeEDGX-2018-060: December 13, 2018; The Exchange proposes a rule change to discontinue bulk order functionality and implement bulk message functionality (i.e. a quoting interface).
SR-CboeEDGX-2018-059: December 3, 2018; The Exchange proposes a rule change to amend the Exchange’s fee schedule applicable to its equities trading platform.
SR-CboeEDGX-2018-058: November 30, 2018; The Exchange proposes to amend its provision related to its Risk Monitor Mechanism.
SR-CboeEDGX-2018-057: November 27, 2018; The Exchange proposes a rule change relating to Primary Market Makers and Directed Market Makers.
SR-CboeEDGX-2018-056: November 23, 2018; The Exchange proposes a rule change to list up to 10 long-term options on SPY.
SR-CboeEDGX-2018-055: November 13, 2018; The Exchange proposes to modify certain Routing Fees.
SR-CboeEDGX-2018-054: November 6, 2018; The Exchange proposes to amend the Fees Schedule to correct an inadvertent marking error.
SR-CboeEDGX-2018-052: November 6, 2018; The Exchange proposes a rule change to modify the handling of market orders to sell in no-bid series.
SR-CboeEDGX-2018-051: November 5, 2018; The Exchange proposes to adopt Reserve Orders.
SR-CboeEDGX-2018-047: October 3, 2018; The Exchange proposes to adopt Fee Code “DM” for MidPoint Discretionary Orders that add liquidity in the discretionary range.
SR-CboeEDGX-2018-047: October 3, 2018; The Exchange proposes to adopt Fee Code “DM” for MidPoint Discretionary Orders that add liquidity in the discretionary range.
SR-CboeEDGX-2018-046: October 1, 2018; The Exchange proposes a rule change to amend the fee schedule to eliminate the Investor Depth Tier.
SR-CboeEDGX-2018-043 Amendment No. 2: December 14, 2018; The Exchange proposes a second amendment to SR-CboeEDGX-2018-043.
SR-CboeEDGX-2018-043 Amendment No. 1: November 21, 2018; The Exchange proposes an amendment to SR-CboeEDGX-2018-043.
SR-CboeEDGX-2018-043: October 1, 2018; The Exchange proposes a rule change to add a new Post Only complex order type.
SR-CboeEDGX-2018-042: September 28, 2018; The Exchange proposes to: (1) establish Purge Ports for equities trading and amend the Interpretations and Policies to Rule 11.10, Order Execution, to reflect the proposed Purge Ports, and (2) modify the fee schedule applicable to the Exchange’s equities platform to identify and to set fees for Purge Ports.
SR-CboeEDGX-2018-041: September 19, 2018; The Exchange proposes a rule change to adopt a new order type called the MidPoint Discretionary Order (“MDO”) and to amend the definition of the Super Aggressive instruction.
SR-CboeEDGX-2018-040: September 14, 2018; The Exchange proposes a rule change relating to the Securities Industry Essentials ("SIE") Examination.
SR-CboeEDGX-2018-039: August 24, 2018; The Exchange proposes a rule change to delete obsolete language regarding the timing of listing long-term options series.
SR-CboeEDGX-2018-038: August 24, 2018; The Exchange proposes a rule change that will permit users to submit auction responses through bulk order ports.
SR-CboeEDGX-2018-037: October 11, 2018; The Exchange proposes to permit the listing and trading of P.M.-settled series on certain broad-based index options on a pilot basis.
SR-CboeEDGX-2018-036: August 16, 2018; The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2018-035-Amendment No. 3: September 25, 2018; The Exchange proposes a third amendment to SR-CboeEDGX-2018-035.
SR-CboeEDGX-2018-035-Amendment No. 1: September 18, 2018; The Exchange proposes an amendment to SR-CboeEDGX-2018-035.
SR-CboeEDGX-2018-035: August 10, 2018; The Exchange proposes a rule change to permit the listing and trading of options that overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average.
SR-CboeEDGX-2018-034: August 9, 2018; The Exchange proposes a rule chnage to modify the fee schedule applicable to the Exchange's options platform to amend the rate of its Options Regulatory Fee.
SR-CboeEDGX-2018-033: August 9, 2018; The Exchange proposes a rule change to implement changes to its fee schedule for its equity options platform to clarify how the Options Regulatory Fee is assessed and collected.
SR-CboeEDGX-2018-032: August 8, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-025: July 11, 2018; The Exchange proposes a rule change to amend the operation of the Super Aggressive order instruction under paragraph (n)(2) of Exchange Rule 11.6.
SR-CboeEDGX-2018-024: June 29, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-023: July 2, 2018; The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2018-022: June 29, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-021: June 26, 2018; The Exchange proposes to extend the Penny Pilot Program.
SR-CboeEDGX-2018-017: June 1, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-016: June 1, 2018; The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2018-015: May 14, 2018; The Exchange proposed a rule change to amend Rule 2.12 to add Cboe Options and C2 Options to the list of affiliated exchanges with respect to Cboe Trading’s role as an inbound router to Cboe exchanges.
SR-CboeEDGX-2018-014: May 1, 2018; The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2018-013: April 2, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-012: April 9, 2018; The Exchange proposes to modify Rule 21.9 to modify the description of two existing routing strategies and to adopt a new routing strategy.
SR-CboeEDGX-2018-011: March 29, 2018; The Exchange proposes a rule change to modify criteria for listing an option on an underlying covered security.
SR-CboeEDGX-2018-010: April 2, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-009: March 29, 2018; The Exchange proposes a rule change related to fees.
SR-CboeEDGX-2018-008: March 16, 2018; The Exchange filed a proposal to amend paragraph (h) of Exchange Rule 11.6 describing the operation of orders with a Minimum Execution Quantity instruction.
SR-CboeEDGX-2018-007: February 15, 2018; The Exchange proposes a rule change to permit listing of Monday SPY Expiration options.
SR-CboeEDGX-2018-006: February 13, 2018; The Exchange proposes a rule change to amend rules related to attributable orders.
SR-CboeEDGX-2018-005: February 9, 2018; The Exchange filed a proposal to modify Rule 21.1 of Exchange's rules and related functionality applicable to the Exchange's options platform in preparation for the technology migration of the Exchange's affiliated options exchanges onto the same technology as the Exchange.
SR-CboeEDGX-2018-004: January 31, 2018; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeEDGX-2018-003: January 25, 2018; The Exchange proposes to to amend Rule 21.1, Definitions, to modify a Time in Force applicable to the Exchange's equity options platform.
SR-CboeEDGX-2018-002: January 8, 2018; The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non-Professional User" with that of its affiliates.
SR-CboeEDGX-2018-001: January 8, 2018; The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non-Professional User" with that of its affiliates.