Cboe EDGX Exchange Rulemaking

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Chronological List

Cboe EDGX Exchange Rulemaking File Number List for 2020

Additional Archives

Chronological List for 2020

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Release No. Date Details
First Quarter
SR-CboeEDGX-2020-009
34-88264 Feb. 21, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Solicitation Auction Mechanism (SAM) Fees, Qualified Contingent Cross (QCC) Order Rebates, and Automated Improvement Mechanism (AIM) Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-008
34-88219 Feb. 14, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2019-048
34-88178 Feb. 12, 2020 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce the Small Retail Broker Distribution Program
SR-CboeEDGX-2020-006
34-88154 Feb. 7, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Dark Routing Technique Routing Option; to Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and to Reflect Additional Routing Strategies for Which the Exchange May Route Orders with a Short Sale Instruction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-003
34-88110 Feb. 3, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 14.11 to Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, which are Shares of Actively Managed Exchange-Traded Funds for which the Portfolio is Disclosed in Accordance with Standard Mutual Fund Disclosure Rules
Comments due: February 28, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-005
34-88103 Jan. 30, 2020 Notice of Filing of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), 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
Comments due: February 26, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-002
34-88054 Jan. 27, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Comments due: February 21, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-001
34-87976 Jan. 15, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions
Comments due: February 12, 2020
Additional Materials: Exhibit 3, Exhibit 5
SR-CboeEDGX-2019-077
34-87891 Jan. 6, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Opening Triggers for its Opening Rotation Process for Equity Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

File Number List for 2020

Release No. Date Details
SR-CboeEDGX-2020-009
34-88264 Feb. 21, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Solicitation Auction Mechanism (SAM) Fees, Qualified Contingent Cross (QCC) Order Rebates, and Automated Improvement Mechanism (AIM) Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-008
34-88219 Feb. 14, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-006
34-88154 Feb. 7, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the Dark Routing Technique Routing Option; to Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and to Reflect Additional Routing Strategies for Which the Exchange May Route Orders with a Short Sale Instruction
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-005
34-88103 Jan. 30, 2020 Notice of Filing of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), 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
Comments due: February 26, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-003
34-88110 Feb. 3, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 14.11 to Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, which are Shares of Actively Managed Exchange-Traded Funds for which the Portfolio is Disclosed in Accordance with Standard Mutual Fund Disclosure Rules
Comments due: February 28, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-002
34-88054 Jan. 27, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Comments due: February 21, 2020
Additional Materials: Exhibit 5
SR-CboeEDGX-2020-001
34-87976 Jan. 15, 2020 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions
Comments due: February 12, 2020
Additional Materials: Exhibit 3, Exhibit 5