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 automate the Exchange’s current process for initiating the re-opening of a security listed on the New York Stock Exchange LLC following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or Post-Closing Session.
The Exchange proposes to amend its Interpretations and Policies to Rule 21.20 in connection with Market Makers’ complex orders, quoting obligations and volume.
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize MIAX PEARL market data from the CQSUQDF for purposes of order handling, routing, execution, and related compliance processes.
The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize MEMX market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
The Exchange proposes to permit off-floor position transfers between accounts for the same person without providing notice to the Exchange and at any time.
The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rules 8.15 and 25.3.
The Exchange proposes to amend the fee schedule applicable to its equities trading platform to introduce a flat charge for the execution of MDOs that are entered with the QDP instruction.
The Exchange proposes to amend the CAT Compliance Rule to be consistent with certain proposed amendments to and
exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.
The Exchange proposes to amend the content of the Cboe One Feed under Rule 13.8(b) to identify the primary listing market’s official opening and closing price.
The Exchange proposes to amend Rule 21.5 to conform the rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (the “OLPP”) and add new Rule 21.5(e).
The Exchange proposes a rule change to allow Members and Clearing Members to establish or adjust the risk settings set forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a risk group identifier basis.
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
The Exchange proposes a rule change to Rule 13.4(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
The Exchange proposes to extend the current pilot program related to EDGX Rule 11.15, Clearly Erroneous Executions, to the close of business on October 20, 2020.
The Exchange proposes to amend Rule 11.16(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rule 11.7(e).
The Exchange proposes to amend its Fee Schedule in connection with its recently adopted Solicitation Auction
Mechanism (“SAM” or “SAM Auction”) and with Qualified Contingent Cross (“QCC”) orders, as well as make certain clarifications in connection with AIM fees.
The Exchange proposes to make certain changes to Rule 11.11 (Routing to Away Trading Centers) and to make corresponding amendments to its Fee Schedule.
The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
