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-2020-011
Date filed: January 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to reflect updated industry member deadlines in accordance with master plan, incorporate certain reporting requirements currently required in OATS, and eliminate reporting requirements related to PII in accordance with proposed CAT Plan exemption request.

File number: SR-CboeBZX-2020-007
Date filed: February 14, 2020
Description:

The Exchange proposes to eliminate the requirement that the Intraday Indicative Value be disseminated as set forth under Rule 14.11(c) (“Index Fund Shares”) for certain series of Index Fund Shares and under Rule 14.11(i) (“Managed Fund Shares”) for all series of Managed Fund Shares.

File number: SR-CboeBZX-2020-006
Date filed: February 12, 2020
Description:

The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.

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 Amendment No. 1
Date filed: February 12, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-107.

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. 2
Date filed: February 13, 2020
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2019-102.

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 Amendment No. 1
Date filed: February 12, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-097.

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-2019-057 Amendment No. 2
Date filed: February 11, 2020
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2019-057.

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.

Approved and Immediately Effective Rule Changes

File number: SR-BATS-2008-013
Date filed: December 11, 2008
Description:

Amendments to BATS Rules and Corporate Documents to Reflect Name Change of BATS Holdings, Inc. to BATS Global Markets, Inc.

File number: SR-BATS-2008-012
Date filed: December 9, 2008
Description:

Amendments to Fee Schedule for BATS Exchange (effective December 12, 2008).

File number: SR-BATS-2008-011
Date filed: November 25, 2008
Description:

BATS is proposing to amend Rule 8.15.01 (List of Exchange Rule Violations and Recommended Fine Schedule Pursuant to Rule 8.15) to expand the list of violations eligible for disposition under the Exchange's Minor Rule Violation Plan.

File number: SR-BATS-2008-010
Date filed: November 19, 2008
Description:

BATS is proposing to amend Rule 11.17 (Clearly Erroneous Executions) with respect to fees of other market centers related to clearly erroneous rulings.

File number: SR-BATS-2008-009
Date filed: October 21, 2008
Description:

Initial Fee Schedule for BATS Exchange.

File number: SR-BATS-2008-008
Date filed: October 20, 2008
Description:

BATS is proposing to amend its Rule 11.16 ("Limitation of Liability").

File number: SR-BATS-2008-007
Date filed: October 10, 2008
Description:

BATS is proposing to amend its Rule 11.13 ("Order Execution") to provide the Exchange's Outbound Router with additional flexibility when routing orders away from the Exchange.

File number: SR-BATS-2008-005
Date filed: September 19, 2008
Description:

BATS is proposing amendments to its rules to add definitions of Market Maker and Market Maker Authorized Trader and to add rules regarding the registration and obligations of Market Makers.

File number: SR-BATS-2008-004
Date filed: September 17, 2008
Description:

BATS is proposing to amend its Rule 14.1 ("Unlisted Trading Privileges") to consolidate into a single rule certain requirements for trading products on the Exchange pursuant tounlisted trading privileges.

File number: SR-BATS-2008-003
Date filed: September 12, 2008
Description:

BATS is proposing to amend its Rule 11.5 ("Orders and Modifiers") to add a new order type - Modified Destination Specific Order.