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-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.

File number: SR-CboeBZX-2019-023
Date filed: April 3, 2019
Description:

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.

File number: SR-CboeBZX-2019-015
Date filed: March 4, 2019
Description:

The Exchange proposes a rule change to list and trade units of each of (i) the Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) the Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) the Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) the Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), which governs the listing and trading of Equity Index-Linked Securities on the Exchange.

File number: SR-CboeBZX-2019-004
Date filed: January 30, 2019
Description:

The Exchange proposes a rule change to list and trade shares of SolidX Bitcoin Shares issued by the VanEck SolidX Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.

Approved and Immediately Effective Rule Changes

File number: SR-BATS-2009-032 Amendment 1
Date filed: February 9, 2010
Description:

Partial amendment to SR-BATS-2009-032.

File number: SR-BATS-2009-032
Date filed: December 18, 2009
Description:

BATS is proposing to impose fees for physical ports used to connect to the Exchange's systems if any Member or non-Member wishes to obtain more than 4 physical ports at either of the Exchange's data center sites.

File number: SR-BATS-2009-031 Amendment 1
Date filed: January 20, 2010
Description:

Partial amendment to SR-BATS-2009-031.

File number: SR-BATS-2009-031
Date filed: November 10, 2009
Description:

BATS is proposing to adopt rules to govern the trading of options on BATS Exchange, Inc.

File number: SR-BATS-2009-030
Date filed: September 28, 2009
Description:

BATS is proposing to amend BATS Rule 11.17 ("Clearly Erroneous Executions").

File number: SR-BATS-2009-029
Date filed: September 8, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-028
Date filed: August 21, 2009
Description:

BATS is proposing to amend BATS Rule 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to remove an order type and a pre-routing processing method through which a marketable order is displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.

File number: SR-BATS-2009-027
Date filed: July 28, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-026, Amendment 1
Date filed: August 27, 2009
Description:

Partial amendment to SR-BATS-2009-026.

File number: SR-BATS-2009-026
Date filed: July 21, 2009
Description:

BATS is proposing to impose fees for ports used for order entry and receipt of market data.

File number: SR-BATS-2009-025
Date filed: July 20, 2009
Description:

BATS is proposing to amend BATS Rule 11.9 to eliminate the ability of Exchange Users to execute market orders on the Exchange outside of Regular Trading Hours.

File number: SR-BATS-2009-023
Date filed: July 9, 2009
Description:

BATS is proposing to modify BATS Rule 15.1 to allow the Exchange to pass on certain, specific fees that it is charged by the company that operates the data center where the Exchange's System is located

File number: SR-BATS-2009-022
Date filed: July 6, 2009
Description:

BATS is proposing to make modifications to the existing technology that the Exchange provides to a User that wishes to avoid trading against orders from that same User ("Member Match Trade Prevention" or "MMTP").

File number: SR-BATS-2009-021
Date filed: June 29, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-020
Date filed: June 29, 2009
Description:

BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") and BATS Rule 11.12 ("Priority of Orders") to permit Users of the Exchange to use a Replace Message to modify certain types of information originally submitted with an order without modifying the priority of such order.

File number: SR-BATS-2009-019
Date filed: June 26, 2009
Description:

BATS rule filing related to Sponsored Access Risk Management Tool.

File number: SR-BATS-2009-018
Date filed: May 28, 2009
Description:

BATS is proposing to amend the by-laws of the Exchange as they relate to the compositional requirements of the Exchange Nominating Committee.

File number: SR-BATS-2009-017
Date filed: May 28, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-016
Date filed: May 21, 2009
Description:

Amendments to Fee Schedule for BATS Exchange to add references to RECYCLE routing.

File number: SR-BATS-2009-015
Date filed: May 19, 2009
Description:

BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange?s method of processing the unfilled balance of a limit order that is posted to the BATS Book after being routed away to one or more away Trading Centers for execution.

File number: SR-BATS-2009-014, Amendment 1
Date filed: May 29, 2009
Description:

Partial amendment to SR-BATS-2009-014

File number: SR-BATS-2009-014
Date filed: May 22, 2009
Description:

BATS is proposing to amend Rules 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to add a new order type (a BATS Only BOLT Order) and a pre-routing processing method that will each include an optional display period through which a marketable order will be displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.

File number: SR-BATS-2009-013
Date filed: May 12, 2009
Description:

BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange's method of processing the unfilled balance of a limit order that returns to the Exchange after being routed away to one or more away Trading Centers for execution.

File number: SR-BATS-2009-012
Date filed: May 20, 2009
Description:

BATS is proposing to amend BATS Rules in order to begin offering an After Hours Trading Session that will last from 4:00 p.m. to 5:00 p.m. EST.

File number: SR-BATS-2009-011
Date filed: May 1, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-010
Date filed: April 30, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-009
Date filed: April 14, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-008
Date filed: March 31, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-007
Date filed: March 2, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-006
Date filed: February 20, 2009
Description:

BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide for a new order type, a Partial Post Only at Limit Order, and to eliminate the Exchange order processing behavior described in Rule 11.9 as the "price sliding process".

File number: SR-BATS-2009-005
Date filed: January 23, 2009
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2009-003
Date filed: January 16, 2009
Description:

BATS is proposing to amend BATS Rules to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination.

File number: SR-BATS-2009-002
Date filed: January 15, 2009
Description:

BATS is proposing to amend Rule 11.8 ("Obligations of Market Makers") to provide Exchange functionality to Market Makers who wish to have the Exchange automatically enter certain orders on their behalf to facilitate compliance with the continuous two-sided quoting requirement applicable to Market Makers.

File number: SR-BATS-2009-001
Date filed: January 12, 2009
Description:

BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide Exchange system functionality that will cancel any portion of a BATS Market Order that would otherwise execute outside of certain thresholds.