Federal Register #SR-CboeEDGA-2026-017

SEC Notice: Proposed Rule Change by Cboe EDGA Exchange on Disciplinary Procedures

This notice announces a proposed rule change by Cboe EDGA Exchange, Inc., published by the Securities and Exchange Commission (SEC). - The proposal seeks to amend Chapter 8 of the Cboe EDGA Exchange Rulebook - Focuses on investigative and disciplinary matters involving Exchange Members and associated persons - Updates rules on disciplinary jurisdiction, complaints, investigations, expedited proceedings, charges, answers, hearings, settlements, decisions, reviews, judgments, sanctions, service of notice, agency review, minor rule violations, ex parte communications, and release of disciplinary complaints and decisions - The amendments aim to harmonize Cboe EDGA Exchange rules with those of affiliated exchanges - Intended outcomes include increased efficiency and improved fairness in disciplinary processes - The SEC is inviting public comments on the proposed rule change - No products or services are being procured; this is a regulatory rule change notice - Cboe EDGA Exchange, Inc. is the only organization mentioned, and is not an OEM in the procurement sense

Description

The Securities and Exchange Commission published a notice regarding a proposed rule change by Cboe EDGA Exchange, Inc. to amend Chapter 8 of the Exchange's Rulebook concerning investigative and disciplinary matters. The proposed changes update rules related to disciplinary jurisdiction, complaints and investigations, expedited proceedings, charges, answers, hearings, offers of settlement, decisions, reviews, judgments and sanctions, service of notice, agency review and reporting, imposition of fines for minor rule violations, ex parte communications, and release of disciplinary complaints and decisions. The amendments aim to increase efficiency and fairness by harmonizing the Exchange's rules with those of affiliated exchanges. The notice invites public comments on the proposed rule change.

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