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-CboeEDGA-2024-003
- 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-CboeEDGA-2024-002
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
Approved and Immediately Effective Rule Changes
- SR-EDGA-2014-36
- December 30, 2014
- EDGA Exchange, Inc. proposed to amend its Fee Schedule effective January 2, 2015.
- SR-EDGA-2014-35
- December 24, 2014
- EDGA Exchange, Inc. proposed to amend Rule 13.8 to adopt Top and Last Sale data feeds.
- SR-EDGA-2014-34
- December 22, 2014
- EDGA Exchange, Inc. proposed to replace references to "Direct Edge ECN LLC d/b/a DE Route" and "DE Route" with "BATS Trading, Inc."
- SR-EDGA-2014-33
- December 12, 2014
- EDGA Exchange, Inc. proposed to convert its parent company, Direct Edge, Inc., from a Delaware corporation to a Delaware limited liability company.
- SR-EDGA-2014-32
- November 28, 2014
- EDGA Exchange, Inc. proposed to amend Rules 1.5 and 11.3.
- SR-EDGA-2014-31
- November 25, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-30
- November 25, 2014
- Proposed to amend the EdgeBook Cloud Service on EDGA Exchange, Inc.
- SR-EDGA-2014-29
- November 25, 2014
- EDGA Exchange, Inc. proposes to eliminate reference to the EdgeRisk Gateway in Rule 13.10.
- SR-EDGA-2014-28
- November 21, 2014
- 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.
- SR-EDGA-2014-26
- October 31, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-25 Amendment No. 2
- December 15, 2014
- Second amendment to SR-EDGA-2014-25.
- SR-EDGA-2014-25 Amendment No. 1
- November 14, 2014
- Amendment to SR-EDGA-2014-25.
- SR-EDGA-2014-25
- October 30, 2014
- EDGA Exchange, Inc. proposes to establish a new market data product called the BATS One Feed.
- SR-EDGA-2014-24
- October 27, 2014
- EDGA Exchange, Inc. proposes to amend Rule 11.12, Limitation of Liability.
- SR-EDGA-2014-23
- August 29, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-22
- August 11, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-20 Amendment No. 2
- November 12, 2014
- Second amendment to SR-EDGA-2014-20
- SR-EDGA-2014-20 Amendment No. 1
- November 4, 2014
- Amendment to SR-EDGA-2014-20
- SR-EDGA-2014-20
- August 1, 2014
- EDGA 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.
- SR-EDGA-2014-18
- July 18, 2014
- EDGA Exchange, Inc. proposes to retire reference in EDGA Rule 13.9 to the EDGE Routed Liquidity Report.
- SR-EDGA-2014-17
- July 15, 2014
- EDGA 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.
- SR-EDGA-2014-15
- June 30, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-14
- June 2, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-13
- May 1, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-12
- April 29, 2014
- EDGA Exchange, Inc. proposes to amend EDGA Rule 11.5 regarding the Route Peg Order.
- SR-EDGA-2014-11
- April 17, 2014
- Proposed rule change to add new paragraphs (j) and (k) to Rule 11.13, entitled “Clearly Erroneous Executions.”
- SR-EDGA-2014-10
- April 14, 2014
- EDGA Exchange, Inc. proposes to amend its ROOC routing option under Rule 11.9(b)(1)(n).
- SR-EDGA-2014-09
- April 9, 2014
- EDGA Exchange, Inc. proposes to amend the definitions of ADV and TCV in its Fee Schedule effective May 1, 2014.
- SR-EDGA-2014-08
- April 1, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-05
- March 12, 2014
- EDGA Exchange, Inc. proposes toamend ExchangeRule14.1.
- SR-EDGA-2014-04
- March 5, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-02
- February 18, 2014
- EDGA Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGA-2014-01
- January 16, 2014
- EDGA Exchange, Inc. proposes to amend Chapter IX of its rulebook.
- SR-EDGA-2014-007
- March 21, 2014
- EDGA Exchange, Inc. proposes toamend Exchange Rule 12.6.
- SR-EDGA-2014-006
- March 18, 2014
- EDGA Exchange, Inc. proposes toextend a pilot program related to Rule 11.13, entitled "Clearly Erroneous Executions."