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-2018-028
Date filed: April 9, 2018
Description:

The Exchange proposes a rule change to amend the listing rules under Rule 14.8, General Listing Requirements - Tier I, in order to adopt listing standards for closed-end funds.

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-2018-018
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-2018-010
Date filed: February 5, 2018
Description:

The Exchange filed a proposal to adopt BZX Rule 14.11(k) to permit the listing and trading of Managed Portfolio Shares and to list and trade shares of the following under proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF.

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-2018-001
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.

File number: SR-CboeBZX-2017-023 Amendment No. 2
Date filed: April 4, 2018
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2017-023.

File number: SR-CboeBZX-2017-023 Amendment No. 1
Date filed: February 28, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2017-023.

File number: SR-CboeBZX-2017-023
Date filed: December 21, 2017
Description:

The Exchange proposes a rule change to list and trade shares of the iShares Gold Exposure ETF, a series of the iShares U.S. ETF Trust, under Exchange Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2017-006-Amendment No. 1
Date filed: April 13, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2017-006.

File number: SR-CboeBZX-2017-006
Date filed: November 21, 2017
Description:

The Exchange proposes to list and trade shares of a series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.

File number: SR-CboeBZX-2017-005 Amendment No. 1
Date filed: April 13, 2018
Description:

The Exchange proposes an amendment to SR-CboeBZX-2017-005.

File number: SR-CboeBZX-2017-005
Date filed: November 21, 2017
Description:

The Exchange proposes to list and trade shares of a series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.

File number: SR-BatsBZX-2017-72 Amendment No. 1
Date filed: April 4, 2018
Description:

The Exchange proposes an amendment to SR-BatsBZX-2017-72.

File number: SR-BatsBZX-2017-72
Date filed: November 7, 2017
Description:

The Exchange proposes to list and trade shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series and Innovator S&P 500 Ultra ETF Series under the Innovator ETFs Trust Under Rule 14.11(i), Managed Fund Shares.

File number: SR-BatsBZX-2016-30 Amendment No. 2
Date filed: February 22, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBZX-2016-30.

File number: SR-BatsBZX-2016-30 Amendment No. 1
Date filed: October 20, 2016
Description:

The Exchange proposes an amendment to SR-BatsBZX-2016-30.

File number: SR-BatsBZX-2016-30
Date filed: June 30, 2016
Description:

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

Approved and Immediately Effective Rule Changes

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-2018-017
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-2018-003
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.

File number: SR-CBOE-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.