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-2019-067
Date filed: July 18, 2019
Description:

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”).

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-2019-053
Date filed: June 3, 2019
Description:

The Exchange proposes a rule change to amend Rule 14.11, Other Securities in order to make changes to the continued listing standards applicable to ETPs listed on the Exchange.

File number: SR-CboeBZX-2019-047
Date filed: June 5, 2019
Description:

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.

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-2019-004
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-2011-053
Date filed: December 30, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-051
Date filed: December 16, 2011
Description:

BATS is proposing to implement a Competitive Liquidity Provider program to incent competitive and aggressive quoting by market makers registered with the Exchange.

File number: SR-BATS-2011-050
Date filed: December 2, 2011
Description:

BATS Options proposal to extend the Penny Pilot Program through June 30, 2012.

File number: SR-BATS-2011-049
Date filed: November 30, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-048
Date filed: November 22, 2011
Description:

BATS is proposing to modify Rule 11.18 to exclude rights and warrants from the single stock circuit breaker rule.

File number: SR-BATS-2011-047
Date filed: November 22, 2011
Description:

BATS is proposing to amend Rule 14.1 to include exchange traded products as Tier I securities.

File number: SR-BATS-2011-046
Date filed: November 1, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-045
Date filed: October 25, 2011
Description:

BATS is proposing to modify the market opening procedures for BATS Options.

File number: SR-BATS-2011-044
Date filed: September 30, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-043
Date filed: September 30, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-042
Date filed: September 30, 2011
Description:

Proposal to establish a revenue sharing program with Correlix, Inc.

File number: SR-BATS-2011-041
Date filed: September 29, 2011
Description:

Proposal to adopt a professional customer designation for BATS Options.

File number: SR-BATS-2011-040
Date filed: September 29, 2011
Description:

Proposal to extend a pilot program related to BATS Trading, Inc.'s status as inbound router.

File number: SR-BATS-2011-038 Amendment 1
Date filed: May 23, 2012
Description:

Partial amendment to SR-BATS-2011-038.

File number: SR-BATS-2011-038
Date filed: September 27, 2011
Description:

BATS is proposing to modify BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

File number: SR-BATS-2011-037
Date filed: September 19, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-036
Date filed: September 16, 2011
Description:

BATS is proposing to amend Rule 13.3 (Forwarding of Issuer Materials).

File number: SR-BATS-2011-035 Amendment 1
Date filed: November 3, 2011
Description:

Partial Amendment to SR-BATS-2011-035.

File number: SR-BATS-2011-035
Date filed: September 7, 2011
Description:

BATS is proposing to amend the Bylaws of BATS Global Markets, Inc.

File number: SR-BATS-2011-034
Date filed: September 2, 2011
Description:

BATS is proposing to extend the availability of its bulk-quoting interface to all Users of BATS Options.

File number: SR-BATS-2011-033
Date filed: August 29, 2011
Description:

BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.

File number: SR-BATS-2011-032
Date filed: August 19, 2011
Description:

BATS is proposing to adopt rules governing auctions conducted on the Exchange for securities listed on the Exchange.

File number: SR-BATS-2011-029
Date filed: August 9, 2011
Description:

BATS is proposing to offer bulk-quoting functionality for BATS Options.

File number: SR-BATS-2011-028
Date filed: August 8, 2011
Description:

BATS is proposing to modify a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

File number: SR-BATS-2011-027
Date filed: August 8, 2011
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

File number: SR-BATS-2011-026
Date filed: August 8, 2011
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

File number: SR-BATS-2011-025
Date filed: July 29, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-024
Date filed: July 29, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-023
Date filed: July 22, 2011
Description:

BATS Options is proposing to eliminate its directed order program.

File number: SR-BATS-2011-022
Date filed: July 13, 2011
Description:

BATS Options is proposing to expand the Short Term Option Series Program so that BATS Options may select fifteen option classes on which Short Term Option Series may be opened.

File number: SR-BATS-2011-021
Date filed: July 12, 2011
Description:

BATS is proposing to amend Rules 11.13 and 21.9 to make certain changes consistent with the upcoming implementation of the Market Access Rule.

File number: SR-BATS-2011-020
Date filed: July 5, 2011
Description:

BATS is proposing to extend the availability of the TCP FAST PITCH data feed until August 1, 2011.

File number: SR-BATS-2011-019
Date filed: July 1, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-018
Date filed: May 12, 2011
Description:

BATS is proposing to adopt rules for the qualification, listing and delisting of companies on the Exchange.

File number: SR-BATS-2011-017
Date filed: May 5, 2011
Description:

Proposal related to data feeds provided by the Exchange free of charge, including proposal to offer a Latency Monitoring feed.

File number: SR-BATS-2011-016 Amendment 1
Date filed: June 20, 2011
Description:

BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).

File number: SR-BATS-2011-016
Date filed: May 4, 2011
Description:

BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).

File number: SR-BATS-2011-015
Date filed: May 9, 2011
Description:

BATS is proposing changes to Rules 11.9 and 11.13 to modify BATS order handling procedures in certain specific circumstances involving non-displayed orders and orders subject to price sliding.

File number: SR-BATS-2011-013
Date filed: April 28, 2011
Description:

BATS Options is proposing to allow certain products to trade until 4:15 p.m. Eastern Time.

File number: SR-BATS-2011-012
Date filed: April 1, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-011
Date filed: April 1, 2011
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

File number: SR-BATS-2011-010
Date filed: April 1, 2011
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

File number: SR-BATS-2011-009 Amendment 1
Date filed: March 24, 2011
Description:

Partial amendment to SR-BATS-2011-009.

File number: SR-BATS-2011-009
Date filed: March 16, 2011
Description:

BATS is proposing to create a directed order program for BATS Options.

File number: SR-BATS-2011-008
Date filed: March 1, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-007
Date filed: February 18, 2011
Description:

BATS is proposing to adopt new Rule 11.21 to require Members to identify each order accurately as a Principal, Agency, or Riskless Principal Order.

File number: SR-BATS-2011-005
Date filed: February 14, 2011
Description:

BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the description of the SLIM routing strategy.

File number: SR-BATS-2011-004
Date filed: January 31, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-003
Date filed: January 28, 2011
Description:

BATS Options proposal to adopt a $5 Strike Program.

File number: SR-BATS-2011-002
Date filed: January 14, 2011
Description:

BATS is proposing to amend Rules 11.9, 11.13, and 11.19 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO.

File number: SR-BATS-2011-001
Date filed: January 4, 2011
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2011-009 Amendment 2
Date filed: June 2, 2011
Description:

Partial amendment to SR-BATS-2011-009.