Cboe BZX U.S. Equities Exchange 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

File number: SR-CboeBZX-2018-081
Date filed: November 5, 2018
Description:

The Exchange proposes a rule change to list and trade shares of the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2018-079 Amendment No. 1
Date filed: October 29, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-079.

File number: SR-CboeBZX-2018-079
Date filed: October 18, 2018
Description:

The Exchange proposes a rule change to establish how the BZX Official Closing Price would be determined for BZX-listed securities.

File number: SR-CboeBZX-2018-078
Date filed: October 9, 2018
Description:

The Exchange proposes a rule change to list and trade shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, each a series of WisdomTree Trust.

File number: SR-CboeBZX-2018-077
Date filed: November 2, 2018
Description:

The Exchange proposes a rule change to list and trade shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2018-076 Amendment No. 1
Date filed: November 8, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-076.

File number: SR-CboeBZX-2018-076
Date filed: October 2, 2018
Description:

The Exchnage proposes a rule change to list and trade shares of the FormulaFolios Sector Rotation ETF, a series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2018-073
Date filed: September 21, 2018
Description:

The Exchange proposes to list and trade under BZX Rule 14.11i) the shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, each a series of WisdomTree Trust.

File number: SR-CboeBZX-2018-066
Date filed: October 11, 2018
Description:

The Exchange proposes to permit the listing and trading of P.M.-settled series on certain broad-based index options on a pilot basis.

File number: SR-CboeBZX-2018-058 Amendment No. 2
Date filed: September 24, 2018
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2018-058.

File number: SR-CboeBZX-2018-058 Amendment No. 1
Date filed: September 18, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-058.

File number: SR-CboeBZX-2018-058
Date filed: August 2, 2018
Description:

The Exchange proposes a rule change to permit the listing and trading of options that overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average.

File number: SR-CboeBZX-2018-048
Date filed: June 21, 2018
Description:

The Exchange proposes to amend Rule 14.11(c) to allow series of Index Fund Shares listed on the Exchange pursuant to generic listing standards to hold listed and OTC derivatives in a manner substantively identical to that allowed for Managed Fund Shares that are listed on the Exchange pursuant to generic listing standards.

File number: SR-CboeBZX-2018-044 Amendment No. 1
Date filed: September 28, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-044.

File number: SR-CboeBZX-2018-044
Date filed: June 21, 2018
Description:

The Exchange proposes to amend BZX Rule 14.11(c), Index Fund Shares, to make clear that a series of Index Fund Shares meets the quantitative requirements of Rules 14.11(c)(3), (4), and (5) where either the index or portfolio holdings underlying such fund meets the quantitative requirements.

File number: SR-CboeBZX-2018-040
Date filed: June 20, 2018
Description:

The Exchange proposed a rule change to list and trade shares of SolidX Bitcoin Shares issued by the VanEck SolidX Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.

File number: SR-CboeBZX-2018-018
Date filed: April 23, 2018
Description:

The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(4) the shares of the Principal Morley Short Duration Index ETF of Principal Exchange Traded Funds.

File number: SR-CboeBZX-2018-001 Amendment No.2
Date filed: August 22, 2018
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2018-001.

File number: SR-CboeBZX-2018-001 Amendment No. 1
Date filed: August 21, 2018
Description:

The Exchange proposes to amend SR-CboeBZX-2018-001.

File number: SR-CboeBZX-2018-001
Date filed: January 5, 2018
Description:

The Exchange proposes to list and trade shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a series of the GraniteShares ETP Trust, under Rule 14.11(f)(4), Trust Issued Receipts.

Approved and Immediately Effective Rule Changes

File number: SR-CboeBZX-2018-083
Date filed: November 13, 2018
Description:

The Exchange proposes to modify certain Routing Fees.

File number: SR-CboeBZX-2018-082
Date filed: November 6, 2018
Description:

The Exchange proposes a rule change to modify the handling of market orders to sell in no-bid series.

File number: SR-CboeBZX-2018-075
Date filed: October 1, 2018
Description:

The Exchange proposes a rule change to add certain fees related to the listing and trading of options that overlie the Russell 2000 Index (“RUT options”).

File number: SR-CboeBZX-2018-074
Date filed: September 28, 2018
Description:

The Exchange proposes to: (1) establish Purge Ports for equities trading and amend the Interpretations and Policies to Rule 11.13, Order Execution and Routing, to reflect the proposed Purge Ports, and (2) modify the fee schedule applicable to the Exchange’s equities platform (“BZX Equities”) to identify and to set fees for Purge Ports.

File number: SR-CboeBZX-2018-072
Date filed: September 26, 2018
Description:

The Exchange proposes a rule change to list and trade shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2018-071
Date filed: September 14, 2018
Description:

The Exchange proposes a rule change relating to the Securities Industry Essentials ("SIE") Examination.

File number: SR-CboeBZX-2018-070
Date filed: August 30, 2018
Description:

The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust.

File number: SR-CboeBZX-2018-069
Date filed: August 27, 2018
Description:

The Exchange proposes a rule change to delete obsolete language regarding the timing of listing long-term options series.

File number: SR-CboeBZX-2018-065
Date filed: August 16, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-064
Date filed: August 16, 2018
Description:

The Exhange proposes to amend certain representations made in a proposed rule change previously filed with the Commission pursuant to Rule 19b-4 relating to the Innovator S&P 500 Buffer ETFs.

File number: SR-CboeBZX-2018-063
Date filed: August 10, 2018
Description:

The Exchange proposes a rule chnage to modify the fee schedule applicable to the Exchange's options platform to amend the rate of its Options Regulatory Fee.

File number: SR-CboeBZX-2018-061
Date filed: August 9, 2018
Description:

The Exchange proposes a rule change to implement changes to its fee schedule for its equity options platform to clarify how the Options Regulatory Fee is assessed and collected.

File number: SR-CboeBZX-2018-060
Date filed: August 9, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-057
Date filed: August 1, 2018
Description:

The Exchange proposes a rule change to amend Rule 1.5(c), which defines the After Hours Trading Session, to allow trading until 8:00 p.m. ET.

File number: SR-CboeBZX-2018-051
Date filed: July 11, 2018
Description:

The Exchange proposes a rule change to amend the operation of the Super Aggressive order instruction under paragraph (b)(4)(C) of Exchange Rule 11.13.

File number: SR-CboeBZX-2018-050
Date filed: July 5, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-049
Date filed: June 26, 2018
Description:

The Exchange proposes to extend the Penny Pilot Program.

File number: SR-CboeBZX-2018-047 Amendment No. 4
Date filed: October 8, 2018
Description:

The Exchange proposes a fourth amendment to SR-CboeBZX-2018-047.

File number: SR-CboeBZX-2018-047 Amendment No. 2
Date filed: September 24, 2018
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2018-047.

File number: SR-CboeBZX-2018-047 Amendment No. 1
Date filed: August 28, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-047.

File number: SR-CboeBZX-2018-047
Date filed: June 21, 2018
Description:

The Exchange proposes to amend its listing rules in Rule 14.8, General Listing Requirements - Tier I, in order to add listing standards applicable to Closed-End Funds.

File number: SR-CboeBZX-2018-046
Date filed: June 21, 2018
Description:

The Exchange proposes to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13, Company Listing Fees.

File number: SR-CboeBZX-2018-042
Date filed: June 18, 2018
Description:

The Exchange proposes to add a new optional order type modifier to be known as Non-Displayed Swap.

File number: SR-CboeBZX-2018-039
Date filed: June 1, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-038
Date filed: June 1, 2018
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeBZX-2018-037
Date filed: June 1, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-036
Date filed: May 24, 2018
Description:

The Exchange filed a proposal to amend a representation made in a proposed rule change previously approved by the Commission relating to the listing and trading of the iShares Inflation Hedged Corporate Bond ETF.

File number: SR-CboeBZX-2018-035
Date filed: May 14, 2018
Description:

The Exchange proposed a rule change to amend Rule 2.12 to add Cboe Options and C2 Options to the list of affiliated exchanges with respect to Cboe Trading’s role as an inbound router to Cboe exchanges.

File number: SR-CboeBZX-2018-034
Date filed: May 9, 2018
Description:

The Exchange proposes to amend a representation made in a rule change previously approved by the Commission relating to the listing and trading of the iShares Gold Strategy ETF, a series of the iShares U.S. ETF Trust.

File number: SR-CboeBZX-2018-033
Date filed: May 3, 2018
Description:

The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares Long-Term National Muni Bond ETF of iShares Trust.

File number: SR-CboeBZX-2018-032
Date filed: May 1, 2018
Description:

The Exchange filed a proposal to amend a representation made in a proposed rule change previously filed with the Commission pursuant to Rule 19b-4 relating to the Cambria Sovereign Bond ETF f/k/a Cambria Sovereign High Yield Bond ETF.

File number: SR-CboeBZX-2018-031
Date filed: May 1, 2018
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeBZX-2018-030
Date filed: May 1, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-029
Date filed: April 17, 2018
Description:

The Exchange proposes a rule change to allow the Horizons Cadence Hedged US Dividend Yield ETF, a series of the Horizons ETF Trust I, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2018-027
Date filed: April 5, 2018
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeBZX-2018-026
Date filed: April 2, 2018
Description:

The Exchange proposes to modify Rule 21.9 to modify the description of two existing routing strategies and to adopt a new routing strategy.

File number: SR-CboeBZX-2018-025
Date filed: March 29, 2018
Description:

The Exchange proposes a rule change to modify criteria for listing an option on an underlying covered security.

File number: SR-CboeBZX-2018-023
Date filed: March 29, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-022
Date filed: March 16, 2018
Description:

The Exchange proposes to amend paragraph (c)(5) of Exchange Rule 11.9 describing the operation of Minimum Quantity Orders.

File number: SR-CboeBZX-2018-020
Date filed: March 8, 2018
Description:

The Exchange proposes to amend its listing rules under Rule 14.11(d)(2)(K)(i) related to Equity Index-Linked Securities.

File number: SR-CboeBZX-2018-019 Amendment No. 3
Date filed: August 14, 2018
Description:

The Exchange proposes a third amendment to SR-CboeBZX-2018-019.

File number: SR-CboeBZX-2018-019 Amendment No. 2
Date filed: May 17, 2018
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2018-019.

File number: SR-CboeBZX-2018-019 Amendment No. 1
Date filed: April 25, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-019.

File number: SR-CboeBZX-2018-019
Date filed: March 2, 2018
Description:

The Exchange proposes to list and trade shares of eighteen different series of the Trust under Rule 14.11(i), which governs the listing and trading of Managed Fund Shares.

File number: SR-CboeBZX-2018-017
Date filed: March 6, 2018
Description:

The Exchange proposes to amend the Market Data section of the fee schedule applicable to its equity options platform .

File number: SR-CboeBZX-2018-016
Date filed: February 28, 2018
Description:

The Exchange proposes to delist the shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from listing pursuant to Rule 14.11(i) and approval orders issued by the Commission as a series of Managed Fund Shares, and to re-list pursuant to Rule 14.11(c)(4) as a series of Index Fund Shares.

File number: SR-CboeBZX-2018-015
Date filed: March 1, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-013
Date filed: February 20, 2018
Description:

The Exchange proposes to introduce a new data feed on its equity options platform to be known as BZX Options Top.

File number: SR-CboeBZX-2018-012
Date filed: February 15, 2018
Description:

The Exchange proposes a rule change to permit listing of Monday SPY Expiration options.

File number: SR-CboeBZX-2018-011
Date filed: February 6, 2018
Description:

The Exchange filed a rule change to temporarily amend Rule 11.23(d)(2)(E) relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF.

File number: SR-CboeBZX-2018-009
Date filed: February 1, 2018
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeBZX-2018-008
Date filed: January 31, 2018
Description:

The Exchange proposes a rule change related to fees as they apply to the equity options platform.

File number: SR-CboeBZX-2018-007
Date filed: January 31, 2018
Description:

The Exchange proposes a rule change related to fees.

File number: SR-CboeBZX-2018-006
Date filed: January 25, 2018
Description:

The Exchange proposes to update Rule 21.1, definitions, to adopt a new Time in Force and to modify an existing Time in Force applicable to the Exchange's equity options platform.

File number: SR-CboeBZX-2018-005 Amendment No. 1
Date filed: April 18, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2018-005.

File number: SR-CboeBZX-2018-005
Date filed: January 10, 2018
Description:

The Exchange proposes to list and trade shares of the Cboe Vest S&P 500 Premium Income ETF, a series of ETF Series Solutions, under Rule 14.11(c)(5), Index Fund Shares.

File number: SR-CboeBZX-2018-003
Date filed: January 8, 2018
Description:

The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non-Professional User" with that of its affiliates.

File number: SR-CboeBZX-2018-002
Date filed: January 17, 2018
Description:

The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non -Professional User" with that of its affiliates.