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-EDGX-2015-41
September 3, 2015
EDGX Exchange, Inc. proposes to amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8.

Approved and Immediately Effective Rule Changes

SR-EDGX-2013-46
December 6, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-45
December 6, 2013
EDGX Exchange, Inc. proposes to amend Rule 11.12, Limitations of Liability.
SR-EDGX-2013-44
November 29, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-43, Amendment No. 2
January 29, 2014
EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43
SR-EDGX-2013-43, Amendment No. 1
December 9, 2013
EDGX Exchange, Inc. proposes to amend SR-EDGX-2013-43
SR-EDGX-2013-43
November 29, 2013
EDGX Exchange, Inc. is filing a proposed rule change in connection with the proposed business combination involving Direct Edge Holdings LLC and BATS Global Markets, Inc.
SR-EDGX-2013-42
November 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-41
October 31, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-40
October 28, 2013
EDGX Exchange, Inc. proposes to amend Rule 3.5, Advertising Practices; and to repeal Rule 3.20, Initial or Partial Payments, to conform with the rules of the Financial Industry Regulatory Authority, Inc.
SR-EDGX-2013-39
October 15, 2013
EDGX Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints, to conform with the rules of the Financial Industry Regulatory Authority, Inc.
SR-EDGX-2013-38
October 2, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-37
September 30, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-36
September 26, 2013
EDGX Exchange, Inc. proposes to amend Rules 3.22 and 13.3, as well as adopt a new Rule 12.14, to conform with the rules of the Financial Industry Regulatory Authority.
SR-EDGX-2013-35
September 25, 2013
EDGX Exchange, Inc. proposes to extend a pilot program related to Rule 11.13, entitled, Clearly Erroneous Transactions, and to remove certain references to individual stock trading pauses contained in Rule 11.13(c)(4).
SR-EDGX-2013-34
September 3, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-33
August 30, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-32
August 7, 2013
EDGX Exchange, Inc. proposes to eliminate Rule 13.4, “Assigning of Registered Securities in the Name of a Member or Member Organization.”
SR-EDGX-2013-31
August 6, 2013
EDGX Exchange, Inc. proposes to amend Rule 2.5 to outline the continuing education requirements for Series 56 licensees and its Fee Schedule to include fees for the Series 56 examination and its related continuing education requirements.
SR-EDGX-2013-30
August 5, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-27
August 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-26
July 30, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-24
June 26, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-23
June 24, 2013
EDGX Exchange, Inc. proposes to amend Rule 11.5(c) which describes the manner in which the NBBO Offset Peg Order operates.
SR-EDGX-2013-21
June 14, 2013
EDGX Exchange, Inc. is filing a proposed rule change to offer and establish fees for a new service, EdgeRisk Gateway, as a risk management tool available to its members and non-members.
SR-EDGX-2013-20
June 13, 2013
EDGX Exchange, Inc. proposes to amend Footnote 4 of its fee schedule regarding Retail Orders.
SR-EDGX-2013-19
June 3, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-18
May 21, 2013
EDGX Exchange, Inc. proposes to add EdgeRisk Ports to the list of Direct Logical Ports currently offered by the Exchange to its Members and non-Members.
SR-EDGX-2013-17
May 16, 2013
EDGX Exchange, Inc. proposes to make permanent the existing pilot program that permits its inbound router to receive inbound routes of equities orders through Direct Edge ECN LLC d/b/a DE Route, its routing broker dealer, from EDGA Exchange, Inc.
SR-EDGX-2013-16
May 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-15
May 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-14
April 23, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-13
April 5, 2013
EDGX Exchange, Inc. proposes to amend Footnote 4 of the Exchange's fee schedule regarding Retail Orders.
SR-EDGX-2013-12
April 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-11
March 1, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-10
February 28, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-08
February 13, 2013
EDGX Exchange, Inc. proposes to amend EDGX Rules 1.5, 11.5, 11.8, 11.9 and 11.14 regarding the implementation of the National Market System Plan to Address Extraordinary Market Volatility.
SR-EDGX-2013-07
January 31, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-06
January 31, 2013
EDGX Exchange, Inc. proposes to amend EDGX Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 until September 30, 2013.
SR-EDGX-2013-05
January 31, 2013
EDGX Exchange, Inc. proposes to delay the operative date of the pilot in Rule 11.14 which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility.
SR-EDGX-2013-04
January 30, 2013
EDGX Exchange, Inc. proposes to amend EDGX Rule 11.14 to extend the operation of the single stock circuit breaker pilot program.
SR-EDGX-2013-03
January 30, 2013
EDGX Exchange, Inc. proposes to amend its fees and rebates applicable to Members of the Exchange pursuant to EDGX Rule 15.1(a) and (c).
SR-EDGX-2013-02
January 22, 2013
EDGX Exchange, Inc. proposes to amend Rule 13.9 to allow Members the option to opt-out their routed orders from inclusion in the Edge Routed Liquidity ReportSM on a market participant identifier(s) basis.
SR-EDGX-2013-01
January 15, 2013
EDGX Exchange, Inc. is filing a proposed rule change relating to fees for EdgeBook Attributed.