Cboe BZX Options 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-2020-003
Date filed: January 3, 2020
Description:

The Exchange proposes to list and trade shares of the -1x Short VIX Futures ETF, a series of VS Trust, under Rule 14.11(f)(4) (“Trust Issued Receipts”).

File number: SR-CboeBZX-2019-107
Date filed: December 12, 2019
Description:

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).

File number: SR-CboeBZX-2019-102 Amendment No. 1
Date filed: December 16, 2019
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-102.

File number: SR-CboeBZX-2019-102
Date filed: November 27, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the Clearbridge Focus Value ETF under currently proposed Rule 14.11(k).

File number: SR-CboeBZX-2019-097
Date filed: November 15, 2019
Description:

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.

File number: SR-CboeBZX-2019-076 Amendment No. 1
Date filed: October 9, 2019
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-076.

File number: SR-CboeBZX-2019-076
Date filed: September 26, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the Clearbridge Small Cap Value ETF under currently proposed Rule 14.11(k).

File number: SR-CboeBZX-2019-068 Amendment No. 1
Date filed: October 1, 2019
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-068.

File number: SR-CboeBZX-2019-068
Date filed: July 19, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i), Managed Fund Shares.

File number: SR-CboeBZX-2019-057 Amendment No. 1
Date filed: December 17, 2019
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-057.

File number: SR-CboeBZX-2019-057
Date filed: June 5, 2019
Description:

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.

File number: SR-CboeBZX-2019-044
Date filed: May 15, 2019
Description:

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.

Approved and Immediately Effective Rule Changes

File number: SR-CboeBZX-2020-004
Date filed: January 16, 2020
Description:

The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.

File number: SR-CboeBZX-2020-002
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.

File number: SR-CboeBZX-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes a rule change to add Market Maker Penny Pilot Volume Tier 9.