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-EDGX-2014-37
- December 30, 2014
- EDGX Exchange, Inc. proposed to amend its Fee Schedule effective January 2, 2015.
- SR-EDGX-2014-36
- December 23, 2014
- EDGX Exchange, Inc. proposed to amend Rule 13.8 to adopt Top and Last Sale data feeds.
- SR-EDGX-2014-35
- December 22, 2014
- Proposal to replace references to "Direct Edge ECN LLC d/b/a DE Route" and "DE Route" with "BATS Trading, Inc."
- SR-EDGX-2014-34
- December 12, 2014
- EDGX Exchange, Inc. proposed to convert its parent company, Direct Edge, Inc., from a Delaware corporation to a Delaware limited liability company.
- SR-EDGX-2014-33
- November 28, 2014
- EDGX Exchange, Inc. proposed to amend Rules 1.5 and 11.3.
- SR-EDGX-2014-32
- November 26, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-30
- November 25, 2014
- Proposed to amend the EdgeBook Cloud Service on EDGX Exchange, Inc.
- SR-EDGX-2014-29
- November 25, 2014
- EDGX Exchange, Inc. proposes to eliminate reference to the EdgeRisk Gateway in Rule 13.10.
- SR-EDGX-2014-28
- November 25, 2014
- EDGX Exchange, Inc. proposed to amend Rule 13.9 related to a communication and routing service known as ConnectEdge.
- SR-EDGX-2014-27
- 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-EDGX-2014-26
- October 31, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-25 Amendment No. 2
- December 15, 2014
- Second amendment to SR-EDGX-2014-25.
- SR-EDGX-2014-25 Amendment No. 1
- November 14, 2014
- Amendment to SR-EDGX-2014-25.
- SR-EDGX-2014-25
- October 30, 2014
- EDGX Exchange, Inc. proposes to establish a new market data product called the BATS One Feed.
- SR-EDGX-2014-24
- October 27, 2014
- EDGX Exchange, Inc. proposes to amend Rule 11.12, Limitation of Liability.
- SR-EDGX-2014-23
- August 29, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-22
- July 31, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-21
- July 18, 2014
- EDGX Exchange, Inc. proposes to retire reference in EDGX Rule 13.9 to the EDGE Routed Liquidity Report.
- SR-EDGX-2014-20
- July 15, 2014
- EDGX 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-EDGX-2014-18 Amendment No. 3
- October 17, 2014
- Third partial amendment to SR-EDGX-2014-18.
- SR-EDGX-2014-18 Amendment No. 1
- October 14, 2014
- Partial amendment to SR-EDGX-2014-18.
- SR-EDGX-2014-18
- July 16, 2014
- EDGX 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-EDGX-2014-17
- June 30, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-16
- June 2, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-15
- May 1, 2014
- EDGX Exchange, Inc. proposes to amend its Fee Schedule.
- SR-EDGX-2014-14
- April 21, 2014
- EDGX Exchange, Inc. proposes to amend EDGX Rule 11.5 regarding the Route Peg Order.
- SR-EDGX-2014-13
- April 17, 2014
- The Exchange proposes to amend Footnote 4 of its Fee Schedule to permit Members to designate that their Retail Orders be identified as Retail on the EDGX Book Feed.
- SR-EDGX-2014-12
- April 17, 2014
- Proposed rule change to add new paragraphs (j) and (k) to Rule 11.13, entitled “Clearly Erroneous Executions.”
- SR-EDGX-2014-11
- April 14, 2014
- EDGX Exchange, Inc. proposes to amend its ROOC routing option under Rule 11.9(b)(1)(n).
- SR-EDGX-2014-10
- April 9, 2014
- EDGX Exchange, Inc. proposes to amend the definitions of ADV and TCV in its Fee Schedule effective May 1, 2014.
- SR-EDGX-2014-09
- April 1, 2014
- EDGX Exchange, Inc. proposes to amend itsFee Schedule.
- SR-EDGX-2014-06
- March 12, 2014
- EDGX Exchange, Inc. proposes to amendExchange Rule 14.1.
- SR-EDGX-2014-04
- March 5, 2014
- EDGX Exchange, Inc. proposes to amend itsFee Schedule.
- SR-EDGX-2014-02
- February 18, 2014
- EDGX Exchange, Inc. proposes to amend itsFee Schedule.
- SR-EDGX-2014-01
- January 17, 2014
- EDGX Exchange, Inc. proposes to amend Chapter IX of its rulebook.
- SR-EDGX-2014-008
- March 21, 2014
- EDGX Exchange, Inc. proposes toamend Exchange Rule 12.6.
- SR-EDGX-2014-007
- March 18, 2014
- EDGX Exchange, Inc. proposes toextend a pilot program related to Rule 11.13, entitled "Clearly Erroneous Executions."