Cboe EDGX Options 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-2020-010
Date filed: February 14, 2020
Description:

The Exchange proposes to amend EDGX Rule 11.8(g), which describes the handling of Midpoint Discretionary Orders entered on the Exchange.

File number: SR-CboeEDGX-2020-005
Date filed: January 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to reflect updated industry member deadlines in accordance with master plan, incorporate certain reporting requirements currently required in OATS, and eliminate reporting requirements related to PII in accordance with proposed CAT Plan exemption request.

Approved and Immediately Effective Rule Changes

File number: SR-CboeEDGX-2020-016
Date filed: April 6, 2020
Description:

The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.

File number: SR-CboeEDGX-2020-015
Date filed: April 1, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeEDGX-2020-014
Date filed: March 31, 2020
Description:

The Exchange proposed to amend Rule 14.11(b)(2) to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions.

File number: SR-CboeEDGX-2020-013
Date filed: March 18, 2020
Description:

The Exchange proposes to extend the current pilot program related to EDGX Rule 11.15, Clearly Erroneous Executions, to the close of business on October 20, 2020.

File number: SR-CboeEDGX-2020-012
Date filed: March 17, 2020
Description:

The Exchange proposes a rule change to amend Rule 11.16(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rule 11.7(e).

File number: SR-CboeEDGX-2020-012
Date filed: March 17, 2020
Description:

The Exchange proposes a rule change to amend Rule 11.16(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rule 11.7(e).

File number: SR-CboeEDGX-2020-011
Date filed: March 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeEDGX-2020-009
Date filed: February 11, 2020
Description:

The Exchange proposes to amend its Fee Schedule in connection with its recently adopted Solicitation Auction Mechanism (“SAM” or “SAM Auction”) and with Qualified Contingent Cross (“QCC”) orders, as well as make certain clarifications in connection with AIM fees.

File number: SR-CboeEDGX-2020-008
Date filed: February 4, 2020
Description:

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeEDGX-2020-006
Date filed: February 3, 2020
Description:

The Exchange proposes to make certain changes to Rule 11.11 (Routing to Away Trading Centers) and to make corresponding amendments to its Fee Schedule.

File number: SR-CboeEDGX-2020-003
Date filed: January 21, 2020
Description:

The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).

File number: SR-CboeEDGX-2020-002
Date filed: January 21, 2020
Description:

The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.

File number: SR-CboeEDGX-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.