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-2016-05
- February 26, 2016
- The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.
- SR-EDGA-2016-03
- February 10, 2016
- EDGA Exchange, Inc. proposes a rule change to Rule 11.6, Definitions, to amend the operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity.
- SR-EDGA-2016-02 Amendment No. 1
- February 12, 2016
- The Exchange proposes an amendment to SR-EDGA-2016-02.
- SR-EDGA-2016-02
- February 2, 2016
- The Exchange proposes a rule change to adopt an Early Trading Session and three new Time-in-Force instructions.
- SR-EDGA-2016-01
- February 9, 2016
- The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.
- SR-BatsEDGA-2016-34
- December 16, 2016
- The Exchange proposed a rule change to amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, to enhance the Exchange's midpoint routing functionality.
- SR-BatsEDGA-2016-32
- December 15, 2016
- The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for EDGA Summary Depth and amend fees for EDGA Depth.
- SR-BatsEDGA-2016-30
- November 30, 2016
- The Exchange proposes a rule change to amend Exchange Rule 11.21(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGA-2016-29
- November 18, 2016
- The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.
- SR-BatsEDGA-2016-28
- November 17, 2016
- The Exchange proposes a rule change to make ministerial changes to rules 11.10, 11.14, and 11.21.
- SR-BatsEDGA-2016-27
- November 3, 2016
- The Exchange proposes a rule change to add EDGA Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information and to remove part of EDGA Rule 8.11, Effective Date of Judgment.
- SR-BatsEDGA-2016-26
- November 1, 2016
- The Exchange proposes a change related to fees.
- SR-BatsEDGA-2016-24
- November 2, 2016
- The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
- SR-BatsEDGA-2016-23
- October 24, 2016
- The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.
- SR-BatsEDGA-2016-22
- October 12, 2016
- The Exchange proposes a rule change to EDGA Rule 11.11, Order Execution and Routing.
- SR-BatsEDGA-2016-21
- August 26, 2016
- The Exchange proposes a rule change to amend Rule 11.21(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGA-2016-20
- August 19, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2016-19
- August 11, 2016
- The Exchange proposes a rule change to amend Rule 13.8, EDGA Book Feeds, to adopt a new market data product known as EDGA Summary Depth.
- SR-BatsEDGA-2016-18
- July 29, 2016
- The Exchange proposed a rule change related to fees.
- SR-BatsEDGA-2016-17
- July 25, 2016
- The Exchange proposes a rule to reflect the dissolution of one of the Exchanges intermediate holding companies, Direct Edge Holdings LLC.
- SR-BatsEDGA-2016-16
- July 5, 2016
- The Exchange proposed a rule change to EDGA Rule 13.4(a), stating it will utilize IEX market data from the CQS/UQDF for purposes of order handling, routing, and related compliance processes
- SR-BatsEDGA-2016-15 Amendment No. 1
- September 1, 2016
- The Exchange proposes an amendment to SR-BatsEDGA-2016-15.
- SR-BatsEDGA-2016-15
- June 29, 2016
- The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.21 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGA-2016-14
- June 17, 2016
- The Exchange proposes a rule change to Rule 13.8(b) identifying certain transactions as the Bats One Opening Price or the Bats One Closing Price.
- SR-BatsEDGA-2016-13
- June 9, 2016
- The Exchange proposed a rule change to amend Rule 11.7, Opening Process.
- SR-BatsEDGA-2016-12
- June 8, 2016
- The Exchange proposed a rule change related to fees.
- SR-BatsEDGA-2016-10
- May 13, 2016
- The Exchange proposed a rule change to Rule 11.7, Opening Process.
- SR-BatsEDGA-2016-09
- May 17, 2016
- The Exchange proposed a rule change to the Market Data section of its fee schedule.
- SR-BatsEDGA-2016-08
- May 2, 2016
- The Exchange proposed a rule change to adopt Exchange Rule 11.21(a) to implement the quoting and trading provisions of the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsEDGA-2016-07
- May 2, 2016
- The Exchange proposed a rule change to Rule 11.11, Routing to Away Trading Centers, to delete the IOCM and ICMT Routing Options.
- SR-BatsEDGA-2016-06.
- April 13, 2016
- The Exchange proposed a rule change to adopt Exchange Rule 14.10 setting forth additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
- SR-BatsEDGA-2016-05
- April 8, 2016
- The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.
- SR-BatsEDGA-2016-04
- April 7, 2016
- The Exchange proposes a non-substantive correction to Rule 11.27.
- SR-BatsEDGA-2016-03
- March 31, 2016
- The Exchange proposes a rule change to adopt Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit layering and spoofing.
- SR-BatsEDGA-2016-01
- March 15, 2016
- The Exchange proposes a rule change to adopt Exchange Rule 11.27 to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.