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-CboeBZX-2024-026
- April 15, 2024
- The Exchange proposes to amend Rule 14.11(l).
- SR-CboeBZX-2024-018
- February 22, 2024
- The Exchange proposes to list and trade shares of the Franklin Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2024-007
- January 25, 2024
- The Exchange proposes to amend the definition of Retail Order, and codify interps and policies regarding permissible uses of algorithms by RMOs.
- SR-CboeBZX-2024-006
- January 8, 2024
- The Exchange proposes to amend Rule 11.9(c)(6) and 11.13(a)(4)(D) to permit the use of BZX Post Only Orders at prices below $1.00.
- SR-CboeBZX-2024-004
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
- SR-CboeBZX-2023-101
- December 5, 2023
- The Exchange proposes to list and trade shares of the Pando Asset Spot Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2023-095 Amendment No. 1
- March 18, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2023-095.
- SR-CboeBZX-2023-095
- November 17, 2023
- The Exchange proposes to list and trade shares of the Fidelity Ethereum Fund, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2023-087
- October 20, 2023
- The Exchange proposes to list and trade shares of the Invesco Galaxy Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2023-070 Amendment No. 1
- February 14, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2023-070.
- SR-CboeBZX-2023-070
- September 6, 2023
- The Exchange proposes to list and trade shares of the ARK 21Shares Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2023-069 Amendment No. 1
- February 16, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2023-069.
- SR-CboeBZX-2023-069
- September 6, 2023
- The Exchange proposes to list and trade shares of the VanEck Ethereum ETF, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2023-062
- August 14, 2023
- The Exchange proposes to amend the initial period after commencement of trading of a series of ETF Shares on the Exchange as it relates to the holders of record and/or beneficial holders, as provided in Exchange Rule 14.11(l).
Approved and Immediately Effective Rule Changes
- SR-BatsBZX-2016-92
- December 30, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsBZX-2016-91
- December 15, 2016
- The Exchange proposes a rule change to adopt a Participant Fee applicable to Options Members of its equity options platform.
- SR-BatsBZX-2016-90
- December 27, 2016
- The Exchange proposes a rule change to modify fees as they apply to the Equity Options Platform for connectivity and its communication and routing service known as Bats Connect.
- SR-BatsBZX-2016-89
- December 27, 2016
- The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.
- SR-BatsBZX-2016-88
- December 13, 2016
- The Exchange proposes a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETF.
- SR-BatsBZX-2016-87
- December 14, 2016
- The Exchange proposes a rule change to amend the market data section of its fee schedule to adopt fees for BZX Summary Depth and amend fees for BZX Depth.
- SR-BatsBZX-2016-84
- November 30, 2016
- Proposed rule change to Rule 21.5 to extend through June 30, 2017, the Penny Pilot Program in options classes in certain issues
- SR-BatsBZX-2016-83
- November 30, 2016
- The Exchange proposes rule changes to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-82
- November 30, 2016
- The Exchange proposes a rule change to amend Exchange Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program.
- SR-BatsBZX-2016-81
- November 30, 2016
- The Exchange proposes a rule change to BZX Rule 11.23, Auctions, to amend how the official auction prices are calculated and add additional specificity regarding the handling of RHO orders during an opening auction for a BZX listed security.
- SR-BatsBZX-2016-80 Amendment No. 2
- March 3, 2017
- The Exchange proposes a second amendment to SR-BatsBZX-2016-80.
- SR-BatsBZX-2016-80 Amendment No. 1
- March 1, 2017
- The Exchange proposes an amendment to SR-BatsBZX-2016-80.
- SR-BatsBZX-2016-80
- November 18, 2016
- The Exchange proposes rule changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards.
- SR-BatsBZX-2016-79
- November 29, 2016
- The Exchange proposes a rule change to make several non-substantive changes to the fee schedule as it applies to the Equity Options Platform.
- SR-BatsBZX-2016-78
- November 29, 2016
- The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.
- SR-BatsBZX-2016-77
- November 16, 2016
- The Exchange proposes a rule change to make ministerial and corrective changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27.
- SR-BatsBZX-2016-76
- November 7, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsBZX-2016-75
- November 7, 2016
- The Exchange proposes a rule change to extend the pilot period for the Supplemental Competitive Liquidity Provider Program.
- SR-BatsBZX-2016-73
- November 3, 2016
- The Exchange proposes a rule change to BZX Rule 8.11, Effective Date of Judgment and to add BZX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information.
- SR-BatsBZX-2016-71
- October 28, 2016
- The Exchange proposes a rule change to extend the pilot period for the Supplemental Liquidity Provider Program.
- SR-BatsBZX-2016-69
- October 27, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-68
- November 2, 2016
- The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
- SR-BatsBZX-2016-67
- October 24, 2016
- The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.
- SR-BatsBZX-2016-66
- September 30, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-65
- October 12, 2016
- The Exchange proposes a rule change to BZX Rule 11.13, Order Execution and Routing.
- SR-BatsBZX-2016-64
- September 28, 2016
- The Exchange proposes a rule change related to fees to make a clarifying change related to the Tape B Quoting Tier.
- SR-BatsBZX-2016-62
- September 28, 2016
- The Exchange proposes a rule change to Rule 22.3, Continuing Options Market Maker Registration.
- SR-BatsBZX-2016-61 Amendment 1
- January 24, 2017
- The Exchange proposes an amendment to SR-BatsBZX-2016-61.
- SR-BatsBZX-2016-61
- October 13, 2016
- The Exchange proposes a rule change to amend Exchange Rule 11.23, Auctions, to enhance the reopening auction process following a trading halt declared pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS.
- SR-BatsBZX-2016-59
- September 19, 2016
- The Exchange proposes a rule change to update BZX Rules 21.1, 21.7 and 21.9 to align the Exchange's rules and functionality applicable to the Exchange's Options Platform, BZX Options, with the Exchange's affiliated Options Platform, EDGX Options, which is operated by Bats EDGX Exchange, Inc.
- SR-BatsBZX-2016-57
- August 31, 2016
- The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-56
- August 31, 2016
- The Exchange proposes a rule change related to fees.
- SR-BatsBZX-2016-55
- August 26, 2016
- The Exchange proposes a rule change to amend Rule 11.27(b) regarding the data collection requirements of the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsBZX-2016-53
- August 25, 2016
- The Exchange proposes a rule change to amend Rule 19.6, Series of Options Contracts Open for Trading, to allow Wednesday expirations for SPY options.
- SR-BatsBZX-2016-52
- August 22, 2016
- The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-50
- August 11, 2016
- The Exchange proposes a rule change to amend Rule 11.22, Data Products, to adopt a new market data product known as BZX Summary Depth.
- SR-BatsBZX-2016-48 Amendment No. 2
- October 26, 2016
- The Exchange proposes a second amendment to SR-BatsBZX-2016-48.
- SR-BatsBZX-2016-48 Amendment No. 1
- October 6, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-48.
- SR-BatsBZX-2016-48
- August 9, 2016
- The Exchange proposes a rule change to Rule 14.11(c)(4) to list and trade shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust.
- SR-BatsBZX-2016-47
- August 2, 2016
- The Exchange proposed a rule change to establish a closing contingency procedure.
- SR-BatsBZX-2016-46
- July 28, 2016
- The Exchange proposes a rule change to extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program.
- SR-BatsBZX-2016-45
- July 29, 2016
- The Exchange proposed a rule change related to fees.
- SR-BatsBZX-2016-44
- July 29, 2016
- The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-43
- July 25, 2016
- The Exchange proposes a rule to reflect the dissolution of one of the Exchanges intermediate holding companies, Direct Edge Holdings LLC.
- SR-BatsBZX-2016-41
- July 13, 2016
- The Exchange proposes a rule change related to fees
- SR-BatsBZX-2016-37
- July 5, 2016
- The Exchange proposes a rule change to BZX Rule 11.26(a), stating it will utilize IEX market data from the CQS/UQDF for purposes of order handling, routing, and related compliance processes
- SR-BatsBZX-2016-36
- July 1, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-35 Amendment No. 3
- October 4, 2016
- The Exchange proposes a third amendment to SR-BatsBZX-2016-35.
- SR-BatsBZX-2016-35 Amendment No. 2
- October 3, 2016
- The Exchange proposes a second amendment to SR-BatsBZX-2016-35.
- SR-BatsBZX-2016-35 Amendment No. 1
- August 30, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-35.
- SR-BatsBZX-2016-35
- July 1, 2016
- The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust.
- SR-BatsBZX-2016-34 Amendment No. 2
- September 15, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-34.
- SR-BatsBZX-2016-34 Amendment No. 1
- August 19, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-34.
- SR-BatsBZX-2016-34
- July 1, 2016
- The Exchange proposed a rule change to BZX Rule 14.11(i), Managed Fund Shares, to list and trade shares of the ProShares Crude Oil Strategy ETF, a series of ProShares.
- SR-BatsBZX-2016-33
- July 1, 2016
- The Exchange filed a proposal to amend its Fee Schedule to adopt a new tier under footnote 1 called the Cross-Asset Add Volume Tier.
- SR-BatsBZX-2016-31
- July 1, 2016
- The Exchange proposes to add Interpretation and Policy .01 to Rule 16.1 to specify the manner in which the Exchange calculates average daily order submissions for purposes of counting Professional orders.
- SR-BatsBZX-2016-29 Amendment No. 1
- September 1, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-29.
- SR-BatsBZX-2016-29
- June 29, 2016
- The Exchange proposed a rule change to adopt paragraph (c) to Exchange Rule 11.27 to describe changes to system functionality necessary to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BatsBZX-2016-28
- June 23, 2016
- The Exchange proposes a rule change to remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing.
- SR-BatsBZX-2016-27
- June 17, 2016
- The Exchange proposed a rule change to Rule 11.22(j) identifying certain transactions as the Bats One Opening Price or the Bats One Closing Price.
- SR-BatsBZX-2016-26 Amendment No. 1
- September 30, 2016
- The Exchange proposes and amendment to SR-BatsBZX-2016-26.
- SR-BatsBZX-2016-26
- June 23, 2016
- The Exchange proposed a rule change to BZX Rule 14.11(d), to add the EURO STOXX 50 Volatility Futures to the definition of Futures Reference Asset.
- SR-BatsBZX-2016-25
- June 9, 2016
- The Exchange proposed a rule change to Rule 11.24, Opening Process.
- SR-BatsBZX-2016-24
- June 8, 2016
- The Exchange proposed a rule change related to fees.
- SR-BatsBZX-2016-23
- June 3, 2016
- The Exchange proposes a rule change to extend the Penny Pilot Program.
- SR-BatsBZX-2016-22
- June 1, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-20
- May 20, 2016
- The Exchange proposed a rule change to amend Rule 14.13, Company Listing Fees.
- SR-BatsBZX-2016-19
- May 13, 2016
- The Exchange proposed a rule change to Rule 11.24, Opening Process for Non-BZX-Listed Securities.
- SR-BatsBZX-2016-18
- May 11, 2016
- The Exchange proposed a rule change to Rules 15.1(a) and (c) in order to implement a Tape B Quoting Tier.
- SR-BatsBZX-2016-17
- May 16, 2016
- The Exchange proposed a rule change related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-16
- May 3, 2016
- The Exchange proposed a rule change to add subparagraph (5) to Rule 21.1(h) modifying the operation of orders subject to the display price sliding process when a contra-side Post Only Order is received by the Bats BZX Exchange Options Platform.
- SR-BatsBZX-2016-14
- May 2, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-13
- May 2, 2016
- The Exchange proposed a rule change to Rule 11.13, Order Execution and Routing, to delete references to the TRIM3 routing option.
- SR-BatsBZX-2016-12
- April 29, 2016
- The Exchange proposes rule changes related to fees.
- SR-BatsBZX-2016-11
- April 22, 2016
- The Exchange proposes a rule change to extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program.
- SR-BatsBZX-2016-09 Amendment No. 1
- July 19, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-09.
- SR-BatsBZX-2016-09
- April 15, 2016
- The Exchange proposed a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust.
- SR-BatsBZX-2016-08
- April 13, 2016
- The Exchange proposed a rule change to Rule 14.3 regarding the requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
- SR-BatsBZX-2016-07
- April 8, 2016
- The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.
- SR-BatsBZX-2016-06
- April 7, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-04
- March 31, 2016
- The Exchange proposes rule changes related to fees as they apply to the Equity Options Platform.
- SR-BatsBZX-2016-02
- March 24, 2016
- The Exchange proposes rule changes in connection with the Equity Options Platform.
- SR-BatsBZX-2016-01 Amendment No. 8
- July 13, 2016
- The Exchange proposes an eighth amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 7
- July 12, 2016
- The Exchange proposed a seventh amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 6
- July 8, 2016
- The Exchange proposes a sixth amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 4
- July 7, 2016
- The Exchange proposed a fourth amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 3
- June 23, 2016
- The Exchange proposes a third amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 2
- June 14, 2016
- The Exchange proposes a second amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01 Amendment No. 1
- June 1, 2016
- The Exchange proposes an amendment to SR-BatsBZX-2016-01.
- SR-BatsBZX-2016-01
- March 29, 2016
- The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(4) shares of the following series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF.
- SR-BATS-2016-27
- March 2, 2016
- The Exchange is filing a proposed rule change to amend Rule 11.27(b), Compliance with Data Collection Requirements, relating to the Regulation NMS Plan to implement a Tick Size Pilot Program.
- SR-BATS-2016-26
- March 1, 2016
- The Exchnage proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BATS-2016-25
- February 26, 2016
- The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.
- SR-BATS-2016-24
- February 25, 2016
- Bats BZX Exchange, Inc. (f/k/a BATS Exchange, Inc.) proposes a rule change to amend Rule 11.23, Auctions, to lengthen the auction information dissemination periods for the opening and closing auctions in BZX listed securities.
- SR-BATS-2016-23
- February 24, 2016
- Bats BZX Exchange, Inc. (f/k/a BATS Exchange, Inc.) proposes a rule change related to fees as they apply to the Equity Options Platform.
- SR-BATS-2016-18
- February 10, 2016
- BATS Exchange, Inc. proposes a rule change to Rule 11.13(b)(3)(H), Order Execution and Routing, to amend the operation of Non-Displayed Orders and Reserve Orders.
- SR-BATS-2016-17 Amendment No. 1
- February 22, 2016
- The Exchange proposes an amendment to SR-BATS-2016-17.
- SR-BATS-2016-17
- February 10, 2016
- The Exchange proposes a rule change to amend its rules regarding the Auction Process for Securities Subject to an Initial Public Offering.
- SR-BATS-2016-16 Amendment No. 3
- June 17, 2016
- The Exchange proposed a third Amendment to SR-BATS-2016-16.
- SR-BATS-2016-16 Amendment No. 2
- April 14, 2016
- The Exchange proposes a second amendment to SR-BATS-2016-16.
- SR-BATS-2016-16 Amendment No. 1
- April 8, 2016
- The Exchange proposes an amendment to SR-BATS-2016-16.
- SR-BATS-2016-16
- March 7, 2016
- The Exchange proposes a rule change to list and trade shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares.
- SR-BATS-2016-15
- February 4, 2016
- BATS Exchange, Inc. proposes a rule change related to fees.
- SR-BATS-2016-14 Amendment No. 1
- April 11, 2016
- The Exchange proposes an amendment to SR-BATS-2016-14.
- SR-BATS-2016-14
- February 12, 2016
- The Exchange proposes a rule change to adopt an Early Trading Session and three New Time-in-Force instructions.
- SR-BATS-2016-12
- January 28, 2016
- BATS Exchange, Inc. proposes a rule change to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.
- SR-BATS-2016-10
- February 9, 2016
- The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.
- SR-BATS-2016-08
- February 10, 2016
- BATS Exchange, Inc. proposes a rule change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, to amend the Minor Rule Violation Plan.
- SR-BATS-2016-07
- January 26, 2016
- BATS Exchange, Inc. proposes rule change to amend Chapter XXI of BZX Options to further align the rules with those of EDGX Options.
- SR-BATS-2016-06
- January 25, 2016
- BATS Exchange, Inc. proposes a rule change to amend Rule 21.16, Risk Monitor Mechanism, relating to the BATS Equity Options Trading Platform.
- SR-BATS-2016-04 Amendment No. 2
- March 24, 2016
- The Exchange proposes a second amendment to SR-BATS-2016-04.
- SR-BATS-2016-04
- February 4, 2016
- The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust.
- SR-BATS-2016-03 Amendment No. 3
- March 22, 2016
- The Exchange proposes a third amendment to SR-BATS-2016-03.
- SR-BATS-2016-03 Amendment No. 1
- February 3, 2016
- The Exchange proposes an amendment to SR-BATS-2016-03.
- SR-BATS-2016-03
- February 1, 2016
- The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust.