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-2024-018
- 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-2023-107
- December 26, 2023
- The Exchange proposes to make permanent the operation of its programs that allow the Exchange to list options on the Mini-SPX Index (“XSP options”) with P.M.-settlement and to list broad-based index options with nonstandard expirations.
- 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-CboeBZX-2019-109
- December 23, 2019
- The Exchange proposes a rule change to list shares of the ARK Genomic Revolution ETF and ARK Autonomous Technology and Robotics ETF under Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-108
- December 13, 2019
- The Exchange proposes to amend Interpretation and Policy .01 of Rule 2.4 to allow the Exchange to provide annual notification to individual Members that are subject to paragraph (b) of Rule 2.4.
- SR-CboeBZX-2019-107 Amendment No. 5
- May 18, 2020
- The Exchange proposes a fifth amendment to SR-CboeBZX-2019-107.
- SR-CboeBZX-2019-107 Amendment No. 4
- May 12, 2020
- The Exchange proposes a fourth amendment to SR-CboeBZX-2019-107.
- SR-CboeBZX-2019-107 Amendment No. 3
- April 7, 2020
- The Exchange proposes a third amendment to SR-CboeBZX-2019-107.
- SR-CboeBZX-2019-107 Amendment No. 1
- February 12, 2020
- The Exchange proposes an amendment to SR-CboeBZX-2019-107.
- SR-CboeBZX-2019-107
- May 18, 2020
- The Exchange proposes a rule change to adopt Rule 14.11(m), Portfolio Fund Shares, and to list and trade shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, each a series of the Fidelity Beach Street Trust, under such proposed Rule 14.11(m).
- SR-CboeBZX-2019-106
- December 10, 2019
- The Exchange proposes to amend Rule 5.4 by extending the Penny Pilot Program through June 30, 2020.
- SR-CboeBZX-2019-103
- December 5, 2019
- The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
- SR-CboeBZX-2019-102 Amendment No. 3
- February 19, 2020
- The Exchange proposes a third amendment to SR-CboeBZX-2019-102.
- SR-CboeBZX-2019-102 Amendment No. 2
- February 13, 2020
- The Exchange proposes a second amendment to SR-CboeBZX-2019-102.
- SR-CboeBZX-2019-102 Amendment No. 1
- December 16, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-102.
- SR-CboeBZX-2019-102
- November 27, 2019
- The Exchange proposes a rule change to list and trade shares of the Clearbridge Focus Value ETF under currently proposed Rule 14.11(k).
- SR-CboeBZX-2019-100
- November 21, 2019
- The Exchange proposes to remove its Partial Post Only at Limit Order type.
- SR-CboeBZX-2019-099
- November 20, 2019
- The Exchange proposes to allow the Hartford Short Duration ETF (the “Fund”), a series of Hartford Funds Exchange-Traded Trust (the “Trust”), to hold certain fixed income instruments in a manner that does not comply with Rule 14.11(i) (“Managed Fund Shares”).
- SR-CboeBZX-2019-098
- November 19, 2019
- The Exchange proposes to amend paragraph (a) of Rule 11.1 to allow the Exchange to accept Stop Orders entered between 6:00 and 7:00 a.m. Eastern Time.
- SR-CboeBZX-2019-097 Amendment No. 2
- March 19, 2020
- The Exchange proposes a second amendment to SR-CboeBZX-2019-097.
- SR-CboeBZX-2019-097 Amendment No. 1
- February 12, 2020
- The Exchange proposes an amendment to SR-CboeBZX-2019-097.
- SR-CboeBZX-2019-097
- November 15, 2019
- The Exchange proposes a rule change to adopt BZX Rule 14.11(l) to permit the listing and trading of Exchange-Traded Fund Shares that are permitted to operate in reliance on Rule 6c-11 under the Investment Company Act of 1940.
- SR-CboeBZX-2019-096
- November 12, 2019
- The Exchange proposes to amend the fat finger check in Rule 21.17 as it applies to Stop Limit Orders.
- SR-CboeBZX-2019-095
- November 12, 2019
- The Exchange proposes to amend the definition of the Final Last Sale Eligible Trade (“FLSET”) such that odd lot trades executed on BZX would not be eligible to establish the FLSET for a security.
- SR-CboeBZX-2019-094
- November 1, 2019
- The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. using the ALLB, TRIM, or SLIM routing strategy.
- SR-CboeBZX-2019-093
- October 29, 2019
- The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Open-Close Data.
- SR-CboeBZX-2019-090
- October 17, 2019
- The Exchange proposes to make permanent an options market rule linked to the equity market Plan to Address Extraordinary Market Volatility.
- SR-CboeBZX-2019-089
- October 17, 2019
- The Exchange proposes to extend the current pilot program related to BZX Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2020.
- SR-CboeBZX-2019-088
- October 15, 2019
- The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
- SR-CboeBZX-2019-087
- October 1, 2019
- The Exchange proposes to amend the fee schedule to institute a Derived Data API Service.
- SR-CboeBZX-2019-084
- September 23, 2019
- The Exchange proposes to list and trade shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs under the First Trust Exchange-Traded Fund VIII (the “Trust”), under Rule 14.11(i) (“Managed Fund Shares”).
- SR-CboeBZX-2019-083
- September 16, 2019
- The Exchange proposes a rule change to allow the Aptus Collared Income Opportunity ETF, a series of ETF Series Solutions, to hold certain instruments in a manner that does not necessarily comply with Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-082
- September 10, 2019
- The Exchange proposes a rule change to waive the fees for a single 1 gigabyte physical port in its secondary data center for Members that are registered as an LMM on the Exchange for the first twelve months following the Member establishing physical connectivity to the secondary data center.
- SR-CboeBZX-2019-081
- August 30, 2019
- The Exchange proposes a rule change to amend the fees applicable to securities listed on the Exchange, which areset forth in BZX Rule 14.13, Company Listing Fees.
- SR-CboeBZX-2019-079
- August 21, 2019
- The Exchange proposes to introduce a new data product on its equity options platform to be known as Open-Close Data.
- SR-CboeBZX-2019-077
- August 13, 2019
- The Exchange proposes a rule change to list and trade shares of the Innovator S&P 500 Total Buffer ETF Series under the Innovator ETFs Trust, under Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-075 Amendment No. 1
- August 20, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-075.
- SR-CboeBZX-2019-075
- August 7, 2019
- The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares. Specifically relating to generic listing standards for Managed Fund Shares applicable to holdings in fixed income securities.
- SR-CboeBZX-2019-073
- August 6, 2019
- The Exchange proposes to make three changes to Rule 14.3(e), Additional Requirements for Securities Issued by the Exchange or its Affiliates.
- SR-CboeBZX-2019-067 Amendment No. 3
- September 24, 2019
- The Exchange proposes a third amendment to SR-CboeBZX-2019-067.
- SR-CboeBZX-2019-067 Amendment No. 2
- September 19, 2019
- The Exchange proposes a second amendment to SR-CboeBZX-2019-067.
- SR-CboeBZX-2019-067 Amendment No. 1
- August 29, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-067.
- SR-CboeBZX-2019-067
- July 18, 2019
- The Exchange proposes a rule change to list and trade shares of the Innovator-100 Buffer, Power Buffer, and Ultra Buffer ETF Series and the Innovator Russell 2000 Buffer, Power Buffer, and Ultra Buffer ETF Series under the Innovator ETFs Trust under Rule 14.11(i) (“Managed Fund Shares”).
- SR-CboeBZX-2019-066
- July 17, 2019
- The Exchange proposes to update Rule 16.1 to include the definition of capacity, as well as amend its fee schedule to reflect this update.
- SR-CboeBZX-2019-065
- July 12, 2019
- The Exchange proposes to amend the BZX Equities Fee Schedule.
- SR-CboeBZX-2019-064
- July 11, 2019
- The Exchange proposes to amend the BZX Equities Fee Schedule.
- SR-CboeBZX-2019-060
- June 25, 2019
- The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGX Exchange, Inc.
- SR-CboeBZX-2019-059
- June 19, 2019
- The Exchange proposes to adopt a new Step-Up Tier.
- SR-CboeBZX-2019-058
- June 14, 2019
- The Exchange proposes to amend the fee schedule applicable to its equities trading platform to replace the rebates applicable to Lead Market Makers in BZX-listed securities with daily incentives that are directly tied to meeting market quality metrics without regard to transactions executed.
- SR-CboeBZX-2019-057 Amendment No. 2
- February 11, 2020
- The Exchange proposes a second amendment to SR-CboeBZX-2019-057.
- SR-CboeBZX-2019-057 Amendment No. 1
- December 17, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-057.
- SR-CboeBZX-2019-057
- June 5, 2019
- The Exchange proposes a rule change to list and trade shares of the following under currently proposed Rule 14.11(k): American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF.
- SR-CboeBZX-2019-055 Amendment No. 1
- June 7, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-055.
- SR-CboeBZX-2019-055
- June 4, 2019
- The Exchange proposes a rule change to allow the Cambria Tail Risk ETF, a series of the Cambria ETF Trust, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-052
- June 3, 2019
- The Exchange proposes to allow the Exchange to determine the availability of order types and times-in-force.
- SR-CboeBZX-2019-051
- May 31, 2019
- The Exchange proposes a rule change to extend the Penny Pilot Program.
- SR-CboeBZX-2019-050
- June 6, 2019
- The Exchange proposes to adopt limit-on-close and market-on-close orders.
- SR-CboeBZX-2019-049
- June 4, 2019
- The Exchange proposes to allow for a User to elect that a bulk message opt-out of the display-price sliding process, as well as be subject to the lock-only display-price sliding process.
- SR-CboeBZX-2019-047 Amendment No. 5
- December 4, 2019
- The Exchange proposes a fifth amendment to SR-CboeBZX-2019-047.
- SR-CboeBZX-2019-047 Amendment No. 4
- November 21, 2019
- The Exchange proposes a fourth amendment to SR-CboeBZX-2019-047.
- SR-CboeBZX-2019-047 Amendment No. 3
- November 6, 2019
- The Exchange proposes a third amendment to SR-CboeBZX-2019-047.
- SR-CboeBZX-2019-047 Amendment No. 2
- September 23, 2019
- The Exchange proposes a second amendment to SR-CboeBZX-2019-047.
- SR-CboeBZX-2019-047 Amendment No 1
- September 20, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-047.
- SR-CboeBZX-2019-047
- June 5, 2019
- The Exchange proposes a rule change to adopt BZX Rule 14.11(k) to permit the listing and trading 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.
- SR-CboeBZX-2019-046
- May 22, 2019
- The Exchange proposes to amend Rule 21.7.
- SR-CboeBZX-2019-045
- May 16, 2019
- The Exchange proposes to allow for $1 strike prices on additional options on certain Index Fund Shares.
- SR-CboeBZX-2019-043
- May 7, 2019
- The Exchange proposes to delay the operative date of rule change pursuant to SR-CboeBZX-2019-025.
- SR-CboeBZX-2019-042
- May 3, 2019
- The Exchange proposes a rule change to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13, Company Listing Fees.
- SR-CboeBZX-2019-040
- May 1, 2019
- The Exchange proposes to amend the BZX Equities fee schedule to correct an inadvertent drafting error introduced in a previous rule filing.
- SR-CboeBZX-2019-039
- May 1, 2019
- The Exchange proposes to amend the fee schedule as it relates to pricing for the use of the TRIM routing strategy.
- SR-CboeBZX-2019-038
- April 30, 2019
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2019-037
- April 29, 2019
- The Exchange proposes to amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to delete references to the TRIM2 and SWPB routing options.
- SR-CboeBZX-2019-035
- April 26, 2019
- The Exchange proposes a rule change to to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds 2021, 2022, 2023, 2024 & 2025 Term High Yield and Income ETFs of iShares Trust.
- SR-CboeBZX-2019-034
- May 2, 2019
- The Exchange proposed a rule change to allow the Main Sector Rotation ETF, a series of the Northern Lights Fund Trust IV, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-032
- April 25, 2019
- The Exchange proposes a rule change to list and trade under BZX Rule 14.11(d)(2)(K)(i) shares of the iPath S&P MLP ETN issued by Barclays Bank PLC.
- SR-CboeBZX-2019-031
- July 31, 2019
- The Exchange proposes to clarify portions of rule 14.11 (Other Securities) related to the applicability of certain disclosure requirements.
- SR-CboeBZX-2019-030
- April 17, 2019
- The Exchange proposes to replace obsolete terminology.
- SR-CboeBZX-2019-028
- April 12, 2019
- The Exchange proposes to extend the pilot program related to BZX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.
- SR-CboeBZX-2019-026
- April 9, 2019
- The Exchange proposes to extend the pilot for certain options market rules that are linked to the LULD Plan.
- SR-CboeBZX-2019-025
- April 8, 2019
- The Exchange proposes to amend Chapter 22 of the Exchange’s rulebook.
- SR-CboeBZX-2019-024
- April 3, 2019
- The Exchange proposes to modify its fee schedule.
- SR-CboeBZX-2019-023 Amendment No. 1
- October 31, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-023.
- SR-CboeBZX-2019-023
- April 3, 2019
- The Exchange proposes a rule change to amend Exchange Rule 14.11(c), Index Fund Shares, to adopt generic listing standards for Index Fund Shares based on an index of municipal bond securities.
- SR-CboeBZX-2019-022
- April 2, 2019
- The Exchange proposes to extend the current pilot program related to Rule 11.17, Clearly Erroneous Executions, to the close of business on October 18, 2019.
- SR-CboeBZX-2019-021
- March 29, 2019
- The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
- SR-CboeBZX-2019-020
- March 22, 2019
- The Exchange proposes to amend Rule 21.5, Interpretation and Policy .01 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.
- SR-CboeBZX-2019-019
- March 15, 2019
- The Exchange proposes to list and trade shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund pursuant to Rule 14.11(I).
- SR-CboeBZX-2019-017
- March 8, 2019
- The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds Dec 2026 Term Muni Bond ETF, iShares iBonds Dec 2027 Term Muni Bond ETF, and iShares iBonds Dec 2028 Term Muni Bond ETF of iShares Trust.
- SR-CboeBZX-2019-016 Amendment No. 1
- March 28, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-016.
- SR-CboeBZX-2019-016
- March 5, 2019
- The Exchange proposes a rule change to allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.
- SR-CboeBZX-2019-014
- March 1, 2019
- The Exchange proposes a rule change related to fees.
- SR-CboeBZX-2019-013
- February 21, 2019
- The Exchange proposes to allow the addition of new series of options on an individual stock until the close of trading on the business day prior to expiration in unusual market conditions.
- SR-CboeBZX-2019-012
- February 21, 2019
- The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
- SR-CboeBZX-2019-009
- February 11, 2019
- The Exchange proposes a rule change to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
- SR-CboeBZX-2019-008
- February 5, 2019
- The Exchange proposes a rule change to clarify that BZX’s Halt Auction process is applicable only to Halt Auctions following a Regulatory Halt.
- SR-CboeBZX-2019-006
- February 1, 2019
- The Exchange proposes a rule change to amend the fee schedule as it relates to pricing for the use of certain routing strategies.
- SR-CboeBZX-2019-002
- January 7, 2019
- The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
- SR-CboeBZX-2019-001 Amendment No. 2
- April 4, 2019
- The Exchange proposes a second amendment to SR-CboeBZX-2019-001.
- SR-CboeBZX-2019-001 Amendment No. 1
- March 14, 2019
- The Exchange proposes an amendment to SR-CboeBZX-2019-001.
- SR-CboeBZX-2019-001
- January 2, 2019
- The Exchange submits this proposal to list and trade under Rule 14.11(c)(3) shares of the Global X Russell 2000 Covered Call ETF of Global X Funds.