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-2012-048
Date filed: December 11, 2012
Description:

BATS Options proposal to extend the Penny Pilot Program through June 30, 2013.

File number: SR-BATS-2012-046
Date filed: December 6, 2012
Description:

BATS is proposing to modify BATS Rule 11.23 governing auctions conducted for equity securities listed on the Exchange.

File number: SR-BATS-2012-045
Date filed: November 19, 2012
Description:

BATS is proposing to expand the availability of an Exchange Risk Management Tool.

File number: SR-BATS-2012-044
Date filed: November 5, 2012
Description:

BATS is proposing to amend Rule 14.11, entitled Other Securities, to adopt new criteria for certain securities to be listed on the Exchange as Trust Issued Receipts. BATS is also proposing to list and trade shares of the following funds: ProShares Managed Futures Strategy, ProShares Commodity Managed Futures Strategy, and ProShares Financial Managed Futures Strategy.

File number: SR-BATS-2012-043
Date filed: November 1, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-042
Date filed: October 12, 2012
Description:

BATS is proposing to list and trade shares of the iShares Sovereign Screened Global Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.

File number: SR-BATS-2012-041
Date filed: October 1, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-040
Date filed: September 28, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-039 Amendment 3
Date filed: January 11, 2013
Description:

Partial amendment to SR-BATS-2012-039.

File number: SR-BATS-2012-039 Amendment 2
Date filed: January 10, 2013
Description:

Partial amendment to SR-BATS-2012-039.

File number: SR-BATS-2012-039 Amendment 1
Date filed: October 8, 2012
Description:

Amendment replacing SR-BATS-2012-039.

File number: SR-BATS-2012-039
Date filed: September 25, 2012
Description:

BATS is proposing to amend Rule 14.10, entitled Corporate Governance Requirements, in accordance with Section 952 of the Dodd-Frank Act.

File number: SR-BATS-2012-038
Date filed: September 10, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-037
Date filed: August 31, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-036
Date filed: August 31, 2012
Description:

BATS is proposing to modify incentives in connection with its Competitive Liquidity Provider program.

File number: SR-BATS-2012-035
Date filed: August 3, 2012
Description:

BATS is proposing to modify the operation of price sliding functionality.

File number: SR-BATS-2012-034
Date filed: August 1, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-033 Amendment 1
Date filed: September 14, 2012
Description:

Partial amendment to SR-BATS-2012-033.

File number: SR-BATS-2012-033
Date filed: July 27, 2012
Description:

BATS is proposing to list and trade shares of the iShares Ultrashort Duration Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.

File number: SR-BATS-2012-032
Date filed: July 24, 2012
Description:

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

File number: SR-BATS-2012-031
Date filed: July 24, 2012
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-2012-030
Date filed: July 20, 2012
Description:

BATS is proposing to amend Rule 14.11 to modify the criteria for certain securities listed on BATS Exchange as Index Fund Shares.

File number: SR-BATS-2012-029
Date filed: July 16, 2012
Description:

BATS Options proposal to amend Rule 20.6, entitled Obvious Error.

File number: SR-BATS-2012-028
Date filed: July 6, 2012
Description:

BATS is proposing to adopt Rule 3.23 related to Telemarketing.

File number: SR-BATS-2012-027
Date filed: July 2, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-026 Amendment 1
Date filed: July 6, 2012
Description:

Partial amendment to SR-BATS-2012-026.

File number: SR-BATS-2012-026
Date filed: June 26, 2012
Description:

BATS is proposing to adopt a market maker peg order.

File number: SR-BATS-2012-025
Date filed: June 19, 2012
Description:

BATS Options proposal to extend the Penny Pilot Program through December 31, 2012.

File number: SR-BATS-2012-024
Date filed: June 15, 2012
Description:

BATS is proposing to modify system functionality when the consolidated market is crossed as well as the handling of certain orders that have been routed away.

File number: SR-BATS-2012-023
Date filed: June 15, 2012
Description:

BATS is proposing to adopt additional listing requirements for Reverse Merger companies.

File number: SR-BATS-2012-022
Date filed: June 5, 2012
Description:

Proposal to temporarily suspend the requirements of Rule 2.6 in connection with the membership of Apex Clearing.

File number: SR-BATS-2012-021
Date filed: June 1, 2012
Description:

BATS is proposing to adopt Rule 21.16, entitled Risk Monitor Mechanism, to codify the risk monitoring functionality offered to Users of BATS Options.

File number: SR-BATS-2012-020
Date filed: May 31, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-019
Date filed: May 24, 2012
Description:

BATS is proposing to amend BATS Rule 11.19, entitled Short Sales, in connection with the Exchange's status as the primary listing market for certain securities.

File number: SR-BATS-2012-018
Date filed: May 23, 2012
Description:

BATS is proposing to amend BATS Rules 11.9 and 21.1 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.

File number: SR-BATS-2012-017
Date filed: May 11, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-016
Date filed: April 25, 2012
Description:

BATS is proposing to modify BATS Rules 11.9 and 21.1 to allow optional attribution of orders submitted to the Exchange.

File number: SR-BATS-2012-015
Date filed: April 2, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-014
Date filed: March 19, 2012
Description:

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

File number: SR-BATS-2012-013
Date filed: March 8, 2012
Description:

BATS is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.

File number: SR-BATS-2012-012
Date filed: March 8, 2012
Description:

BATS is proposing to amend Rule 14.3 to include additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.

File number: SR-BATS-2012-011
Date filed: February 8, 2012
Description:

BATS is proposing to adopt incentives in connection with its Competitive Liquidity Provider program.

File number: SR-BATS-2012-010
Date filed: February 8, 2012
Description:

BATS is proposing to amend the fees applicable to securities listed on the Exchange.

File number: SR-BATS-2012-009
Date filed: February 3, 2012
Description:

BATS is proposing to allow certain Opening Auction orders to participate in an IPO Auction on the Exchange.

File number: SR-BATS-2012-008
Date filed: February 1, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-007
Date filed: February 1, 2012
Description:

BATS is proposing to add additional variations of the TRIM routing strategy.

File number: SR-BATS-2012-006
Date filed: February 1, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-004
Date filed: January 24, 2012
Description:

BATS is proposing to list and trade shares of the iShares MSCI Denmark Capped Investable Market Index Fund as Index Fund Shares.

File number: SR-BATS-2012-003
Date filed: January 24, 2012
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2012-002
Date filed: January 6, 2012
Description:

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

File number: SR-BATS-2012-001
Date filed: January 6, 2012
Description:

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