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-CboeEDGA-2017-004
- December 15, 2017
- The Exchange proposes a rule change related to market data fees.
- SR-CboeEDGA-2017-003
- 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 EDGA Depth.
- SR-CboeEDGA-2017-002
- November 29, 2017
- The Exchange proposes a rule change to Exchange Rule 11.8, Order Types.
- SR-CboeEDGA-2017-001
- November 14, 2017
- The Exchange proposed a rule change to amend the Exchange's governance documents.
- SR-BatsEDGA-2017-30
- November 7, 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-BatsEDGA-2017-29
- November 2, 2017
- The Exchange proposes to amend paragraph (e) of Exchange Rule 11.8, Order Types, to clarify when a MidPoint Discretionary Orders may execute at sub-penny prices.
- SR-BatsEDGA-2017-28
- 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-BatsEDGA-2017-27
- October 13, 2017
- The Exchange proposes a rule change to make technical corrections to its Second Amended and Restated Certificate of Incorporation.
- SR-BatsEDGA-2017-26
- October 5, 2017
- The Exchange proposed a rule change to amend certain rules to add new optional functionality to orders with a Minimum Quantity Instruction.
- SR-BatsEDGA-2017-25
- September 25, 2017
- The Exchange proposes a rule change to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, to reflect the name change of NYSE MKT to NYSE American.
- SR-BatsEDGA-2017-23
- August 31, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-22
- 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-BatsEDGA-2017-21
- August 11, 2017
- The Exchange proposes a rule change to permit MidPoint Discretionary Orders to be Non-Displayed by amending paragraph (e) of Exchange Rule 11.8, Order Types.
- SR-BatsEDGA-2017-20
- July 31, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-19
- July 24, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-18
- June 12, 2017
- The Exchange proposes to amend its fee schedule to replace its current inverted pricing model with a simple, low fee model.
- SR-BatsEDGA-2017-14 Amendment No. 1
- August 24, 2017
- The Exchange proposes an amendment to SR-BatsEDGA-2017-14.
- SR-BatsEDGA-2017-14
- 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-BatsEDGA-2017-13 Amendment No. 2
- December 7, 2017
- The Exchange proposes a second amendment to SR-BatsEDGA-2017-13.
- SR-BatsEDGA-2017-13 Amendment No. 1
- November 3, 2017
- The Exchange proposed an amendment to SR-BatsEDGA-2017-13.
- SR-BatsEDGA-2017-12
- May 5, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-10
- May 4, 2017
- The Exchange proposes a change to Rule 11.21 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGA-2017-07
- April 25, 2017
- The Exchange proposes a rule change to rule 11.13 of Bats EDGA 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-BatsEDGA-2017-06
- March 31, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-05
- February 28, 2017
- The Exchange filed a proposal to amend Rule 11.21 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsEDGA-2017-04
- February 28, 2017
- The Exchange proposes a rule change related to fees.
- SR-BatsEDGA-2017-03
- 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-BatsEDGA-2017-01
- January 5, 2017
- The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.