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.
The Exchange proposes to amend Interpretation and Policy .01 of Rule 2.4 to allow the Exchange to provide annual notification to individual Members that are subject to paragraph (b) of Rule 2.4.
The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
The Exchange proposes to amend the fee schedule applicable to the EDGX equities trading platform as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. using the ALLB, ROUC, ROUE, or DIRC routing strategy.
The Exchange propose to extend the current pilot program related to Rule 11.15, Clearly Erroneous Executions, to the close of business on April 20, 2020.
The Exchange proposes to amend the Exchange’s Fee Schedule applicable to its equities trading platform to adopt a “Retail Volume Tier” for firms that execute a significant volume of liquidity providing retail order flow on EDGX.
The Exchange proposes to update all references to “Bats Auction Mechanism” or “BAM” to “Automated Improvement Mechanism” or “AIM” in the EDGX Options Fee Schedule.
The Exchange proposes to add stock-option order functionality and complex qualified contingent cross order with stock functionality, and to make other changes to its Rules.
The Exchange proposes to clarify portions of its rules under Chapter 14 (Securities Traded) related to the applicability of certain disclosure requirements.
The Exchange proposes to extend the pilot program related to EDGX Rule 11.16, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.
The Exchange proposes to extend the current pilot program related to Rule 11.15, Clearly Erroneous Executions, to the close of business on October 18, 2019.
The Exchange proposes to amend EDGX rules to clarify the handling of orders that contain both a Post Only instruction and certain other order handling instructions maintained to facilitate compliance with Rule 610(d) of Regulation NMS.
The Exchange proposes to amend Rule 21.5, Interpretation and Policy .01 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.
The Exchange proposes a rule change to separate the Exchange’s ability to apply the DPM participation entitlement and DPM small order entitlement to a class.
The Exchange proposes to allow the addition of new series of options on an individual stock until the close of trading on the business day prior to expiration in unusual market conditions.
The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
