Cboe Options 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.
Approved and Immediately Effective Rule Changes
- SR-CboeEDGX-2017-010
- December 27, 2017
- The Exchange proposes to amend the Market Data section of its fee schedule applicable to its equity options platform to adopt fees for certain of its market data products.
- SR-CboeEDGX-2017-009
- December 21, 2017
- The Exchange proposed a rule change to update Rule 21.1, Rule 21.10, and Rule 21.17 to make modifications to the Exchange's rules and 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-2017-008
- December 15, 2017
- The Exchange proposes a rule change related to market data fees.
- SR-CboeEDGX-2017-007
- December 14, 2017
- The Exchange proposes a rule change to extend the Penny Pilot Program.
- SR-CboeEDGX-2017-006
- December 27, 2017
- The Exchange proposes to amend the Market Data section of its fee schedule to introduce new fees for Non-Display Usage of EDGX Depth.
- SR-CboeEDGX-2017-005
- December 4, 2017
- The Exchange proposes an amendment to Rule 19.6, Series of Options Contracts Open for Trading, to specify the strike increment regime for IVV, SPY, and DIA options.
- SR-CboeEDGX-2017-004
- December 1, 2017
- The Exchange proposes a rule change related to fees as they apply to the equity options platform.
- SR-CboeEDGX-2017-003
- November 30, 2017
- The Exchange proposes a rule change related to fees.
- SR-CboeEDGX-2017-002
- November 29, 2017
- The Exchange proposes a rule change to Exchange Rule 11.8, Order Types.
- SR-CboeEDGX-2017-001
- November 14, 2017
- The Exchange proposed a rule change to amend the Exchange's governance documents.
- SR-BatsEDGX-2017-50
- November 8, 2017
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2017-48
- October 31, 2017
- The Exchange proposes to modify the Fee Schedule applicable to the Exchange's equity options platform to adopt fees for its recently adopted functionality for the handling of complex orders on EDGX Options.
- SR-BatsEDGX-2017-47
- November 2, 2017
- The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports.
- SR-BatsEDGX-2017-46
- November 2, 2017
- The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports as they apply to the Exchange's equity options platform.
- SR-BatsEDGX-2017-43
- October 25, 2017
- The Exchange proposes to adopt complex order provisions of obvious error rule in preparation for launch of complex orders on Cboe EDGX.
- SR-BatsEDGX-2017-41
- October 16, 2017
- The Exchange proposes a rule change to reflect in the Exchange’s governing documents, rulebook and fees schedules, a non substantive corporate branding change, including changes to the Company’s name, the Intermediate’s name, and the Exchange’s name.
- SR-BatsEDGX-2017-40
- October 15, 2017
- The Exchange proposes a rule change to make technical corrections to its Second Amended and Restated Certificate of Incorporation.
- SR-BatsEDGX-2017-39
- October 10, 2017
- The Exchange proposes a rule change to Rule 21.1, Definitions, to modify Stop Orders and Stop Limit Orders applicable to the Exchange's equity options platform in preparation for the C2 Options Exchange, Incorporated technology migration.
- SR-BatsEDGX-2017-38
- October 10, 2017
- The Exchange proposes to amend Rule 11.10, Order Execution, to remove language allowing a change to the minimum quantity of an order with a Minimum Execution Quantity instruction to be included in a Replace message.
- SR-BatsEDGX-2017-37
- September 6, 2017
- The Exchange proposes a rule change to amend Rule 11.11, Routing to Away Trade Centers, to account for IEX as a primary listing market and to amend certain rules to reflect the name change of NYSE MKT to NYSE American.
- SR-BatsEDGX-2017-36
- August 29, 2017
- The Exchange proposes a rule change to amend Exchange rules related to the nullification and adjustment of options transactions including obvious errors.
- SR-BatsEDGX-2017-35
- August 23, 2017
- The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
- SR-BatsEDGX-2017-34
- August 11, 2017
- The Exchange proposes a rule change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution.
- SR-BatsEDGX-2017-33
- August 2, 2017
- The Exchange proposes a rule change to amend Rule 21.2, Days and Hours of Business.
- SR-BatsEDGX-2017-31
- July 24, 2017
- The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.
- SR-BatsEDGX-2017-30
- June 12, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2017-29 Amendment No. 1
- October 16, 2017
- The Exchange proposes an amendment to SR-BatsEDGX-2017-29.
- SR-BatsEDGX-2017-29
- June 30, 2017
- The Exchange filed a proposal for the Exchange's equity options platform to adopt new rules that describe the trading of complex orders on the Exchange.
- SR-BatsEDGX-2017-28
- June 7, 2017
- The Exchange proposes a rule change to Rule 21.5 of Bats EDGX Exchange, Inc. to extend through December 31, 2017, the Penny Pilot Program in options classes in certain issues.
- SR-BatsEDGX-2017-25
- May 26, 2017
- The Exchange proposes a rule change to add a new optional order instruction known as Non-Displayed Swap.
- SR-BatsEDGX-2017-24 Amendment No. 1
- August 24, 2017
- The Exchange proposes an amendment to SR-BatsEDGX-2017-24.
- SR-BatsEDGX-2017-24
- May 23, 2017
- The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.
- SR-BatsEDGX-2017-22 Amendment No. 2
- December 7, 2017
- The Exchange proposes a second amendment to SR-BatsEDGX-2017-22.
- SR-BatsEDGX-2017-22 Amendment No. 1
- November 3, 2017
- The Exchange proposes an amendment to SR-BatsEDGX-2017-22.
- SR-BatsEDGX-2017-21
- May 8, 2017
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2017-19
- May 4, 2017
- The Exchange proposes a change to Rule 11.22 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGX-2017-16
- April 25, 2017
- The Exchange proposes a rule change to rule 11.13 of Bats EDGX Exchange, Inc. to authorize the Exchange to share any of the user’s risk settings with the clearing firm that clears transactions on behalf of the user.
- SR-BatsEDGX-2017-15
- March 31, 2017
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2017-14
- March 1, 2017
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2017-13
- February 28, 2017
- The Exchange filed a proposal to amend Rule 11.22 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGX-2017-12
- February 28, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2017-11
- February 1, 2017
- The Exchange proposes a rule change related to functionality offered by the Exchange's options platform to adopt Qualified Contingent Cross Orders.
- SR-BatsEDGX-2017-10
- February 1, 2017
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsEDGX-2017-09
- February 1, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGX-2017-08
- January 30, 2017
- The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.
- SR-BatsEDGX-2017-07
- January 20, 2017
- The Exchange proposes a rule change to adopt a new type of logical port known as a Purge Port.
- SR-BatsEDGX-2017-05
- January 13, 2017
- The Exchange proposes a rule change to EDGX Rule 21.19, Bats Auction Mechanism, as it applies to the equity options platform.
- SR-BatsEDGX-2017-04
- January 30, 2017
- The Exchange proposes a rule change to adopt Option Regulatory Fees as they relate to the equity options platform.
- SR-BatsEDGX-2017-02
- January 5, 2017
- The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.
- SR-BatsEDGX-2017-01
- January 3, 2017
- The Exchange proposes rule changes to amend the fee schedule adopt fees for its recently adopted Bats Auction Mechanism.