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-2015-99
Date filed: November 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees.

File number: SR-BATS-2015-98
Date filed: November 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.

File number: SR-BATS-2015-97
Date filed: November 9, 2015
Description:

BATS Exchange, Inc. proposes a rule change to amend Rule 11.13, Order Execution and Routing.

File number: SR-BATS-2015-96
Date filed: October 27, 2015
Description:

BATS Exchange, Inc. proposal to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.

File number: SR-BATS-2015-94 Amendment No. 3
Date filed: April 7, 2016
Description:

The Exchange proposes a third amendment to SR-BATS-2015-94.

File number: SR-BATS-2015-94 Amendment No. 2.
Date filed: March 24, 2016
Description:

The Exchange proposes a second amendment to SR-BATS-2015-94.

File number: SR-BATS-2015-94 Amendment No. 1
Date filed: February 26, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2015-94.

File number: SR-BATS-2015-94
Date filed: December 28, 2015
Description:

The Exchange proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust.

File number: SR-BATS-2015-93
Date filed: October 21, 2015
Description:

BATS Exchange, Inc. proposes a rule change to delete Rule 22.10, Limitations on Dealings.

File number: SR-BATS-2015-92
Date filed: October 28, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time.

File number: SR-BATS-2015-91
Date filed: October 20, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors.

File number: SR-BATS-2015-90
Date filed: October 14, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.25, Retail Order Attribution Program.

File number: SR-BATS-2015-89
Date filed: October 13, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to LMM Incentives.

File number: SR-BATS-2015-87
Date filed: October 9, 2015
Description:

BATS Exchange, Inc.proposes to amend Rule 11.13, Order Execution and Routing.

File number: SR-BATS-2015-86
Date filed: October 2, 2015
Description:

BATS Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.

File number: SR-BATS-2015-85
Date filed: October 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-83
Date filed: October 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-82
Date filed: September 30, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-80
Date filed: September 30, 2015
Description:

Proposal to adopt an Issuer Incentive Program applicable to securities listed on BATS Exchange, Inc.

File number: SR-BATS-2015-79
Date filed: September 30, 2015
Description:

BATS Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.

File number: SR-BATS-2015-78
Date filed: September 24, 2015
Description:

BATS Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.

File number: SR-BATS-2015-77
Date filed: September 23, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.

File number: SR-BATS-2015-76
Date filed: September 21, 2015
Description:

BATS Exchange, Inc. proposes to to restructure and amend Rule 11.17, Clearly Erroneous Executions.

File number: SR-BATS-2015-74
Date filed: September 9, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to fees to adopt a Tape B Volume Tier.

File number: SR-BATS-2015-71
Date filed: September 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-65
Date filed: August 18, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.

File number: SR-BATS-2015-64
Date filed: August 24, 2015
Description:

Proposal to adopt fees for a market data product known as BZX Book Viewer.

File number: SR-BATS-2015-63
Date filed: August 12, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-62
Date filed: August 7, 2015
Description:

Proposal to amend Rule 11.22 to describe the market data product BZX Book Viewer.

File number: SR-BATS-2015-60
Date filed: August 7, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-58
Date filed: August 3, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-56 Amendment No. 2
Date filed: September 4, 2015
Description:

Second amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56 Amendment No. 1
Date filed: August 19, 2015
Description:

Amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56
Date filed: July 30, 2015
Description:

BATS Exchange, Inc. proposes to list and trade shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11

File number: SR-BATS-2015-55
Date filed: July 23, 2015
Description:

BATS Exchange, Inc. proposes to extend the pilot period of the Supplemental Competitive Liquidity Provider Program.

File number: SR-BATS-2015-54
Date filed: July 23, 2015
Description:

BATS Exchange, Inc. proposes to Delay Implementation of SR-BATS-2015-51.

File number: SR-BATS-2015-53
Date filed: July 6, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-52
Date filed: July 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-51
Date filed: June 30, 2015
Description:

BATS Exchange, Inc. proposes to amend to Rule 21.1(d)(9), (h) and (i) to modify the operation of BATS Post Only Orders on its Options platform.

File number: SR-BATS-2015-50
Date filed: June 29, 2015
Description:

BATS Exchange, Inc. proposes to extend the Penny Pilot Program for BATS Options through June 30, 2016.

File number: SR-BATS-2015-48
Date filed: July 1, 2015
Description:

BATS Exchange proposes to amend the market data section of its fee schedule.

File number: SR-BATS-2015-47
Date filed: June 16, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.9 to modify its Price Adjust functionality.

File number: SR-BATS-2015-46
Date filed: June 19, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-45
Date filed: June 9, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-44
Date filed: June 9, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-43
Date filed: June 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 19.3(i) with respect to BATS Options.

File number: SR-BATS-2015-40
Date filed: May 27, 2015
Description:

BATS Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.

File number: SR-BATS-2015-39
Date filed: May 22, 2015
Description:

BATS Exchange, Inc. proposes to amend fees applicable to securities listed on its Exchange pursuant to BATS Rule 14.13.

File number: SR-BATS-2015-38
Date filed: May 6, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-37-Amendment-No-1
Date filed: May 15, 2015
Description:

Amendment to SR-BATS-2015-37

File number: SR-BATS-2015-37
Date filed: May 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.

File number: SR-BATS-2015-35
Date filed: May 1, 2015
Description:

Amendment to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-33
Date filed: April 16, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-31
Date filed: April 1, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.23, Auctions.

File number: SR-BATS-2015-30
Date filed: April 1, 2015
Description:

Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules

File number: SR-BATS-2015-29
Date filed: April 6, 2015
Description:

Proposal to amend the content of the BATS One Feed under Rule 11.22(j) to include consolidated volume for all listed equity securities.

File number: SR-BATS-2015-28
Date filed: April 1, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-26
Date filed: April 1, 2015
Description:

Proposal to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, to adopt a new provision to account for erroneous trades occurring from disruptions and/or malfunctions of Exchange systems.

File number: SR-BATS-2015-25
Date filed: March 26, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.

File number: SR-BATS-2015-24
Date filed: March 17, 2015
Description:

BATS Exchange, Inc. proposes to amend the fees for the BATS One Market Data Product.

File number: SR-BATS-2015-23
Date filed: March 17, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-22
Date filed: March 13, 2015
Description:

BATS Exchange, Inc. proposes to adopt new Rule 21.17, Exchange Sharing of User Designated Risk Settings.

File number: SR-BATS-2015-20
Date filed: March 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-17
Date filed: February 20, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.

File number: SR-BATS-2015-16
Date filed: March 3, 2015
Description:

BATS Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.

File number: SR-BATS-2015-15
Date filed: February 18, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 11.22 to update the names of certain market data products.

File number: SR-BATS-2015-14
Date filed: February 12, 2015
Description:

BATS Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."

File number: SR-BATS-2015-13
Date filed: February 10, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2015-124 Amendment No. 5
Date filed: March 28, 2016
Description:

The Exchange proposes a fifth amendment to SR-BATS-2015-124.

File number: SR-BATS-2015-124 Amendment No. 2
Date filed: February 12, 2016
Description:

The Exchange proposes a second amendment to SR-BATS-2015-124.

File number: SR-BATS-2015-124 Amendment No. 1
Date filed: February 10, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2015-124.

File number: SR-BATS-2015-124
Date filed: December 30, 2015
Description:

The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust.

File number: SR-BATS-2015-123
Date filed: December 30, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees.

File number: SR-BATS-2015-122
Date filed: December 28, 2015
Description:

BATS Exchange, Inc.; proposes rule changes to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders.

File number: SR-BATS-2015-121
Date filed: December 29, 2015
Description:

BATS Exchange, Inc. proposes rule changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers.

File number: SR-BATS-2015-120
Date filed: December 29, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.

File number: SR-BATS-2015-12
Date filed: February 5, 2015
Description:

BATS Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.

File number: SR-BATS-2015-119
Date filed: December 23, 2015
Description:

BATS Exchange, Inc.; proposes a rule change to amend Rule 11.22, Data Products, to describe IPO Auction Viewer.

File number: SR-BATS-2015-118
Date filed: December 22, 2015
Description:

BATS Exchange, Inc. proposes rule changes relating to Proprietary Trader and Proprietary Trader Principal registration categories, Securities Trader and Securities Trader Principal registration categories, and establishing the Series 57 Examination.

File number: SR-BATS-2015-117
Date filed: December 10, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.

File number: SR-BATS-2015-116
Date filed: December 9, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.

File number: SR-BATS-2015-115
Date filed: December 17, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees.

File number: SR-BATS-2015-114
Date filed: December 15, 2015
Description:

BATS Exchange, Inc. proposes a rule change related to Fees.

File number: SR-BATS-2015-112
Date filed: December 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.

File number: SR-BATS-2015-112
Date filed: December 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.

File number: SR-BATS-2015-111
Date filed: December 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 19.6, Series of Options Contracts Open for Trading.

File number: SR-BATS-2015-110
Date filed: December 2, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 13.3, Forwarding or Proxy and other Issuer Materials; Proxy Voting.

File number: SR-BATS-2015-11
Date filed: February 3, 2015
Description:

BATS Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BZX Top and BZX Last Sale.

File number: SR-BATS-2015-108 Amendment No. 1
Date filed: March 2, 2016
Description:

The Exchange proposes a partial amendment to SR-BATS-2015-108.

File number: SR-BATS-2015-108
Date filed: November 30, 2015
Description:

The Exchange proposes a rule change to adopt Rule 11.27 regarding the quoting and trading requirements of the Tick Size Pilot Program.

File number: SR-BATS-2015-105 Amendment No. 3
Date filed: March 22, 2016
Description:

The Exchange proposes a third amendment to SR-BATS-2015-105.

File number: SR-BATS-2015-105 Amendment No. 2
Date filed: February 24, 2016
Description:

The Exchange proposes a second amendment to SR-BATS-2015-105.

File number: SR-BATS-2015-105 Amendment No. 1
Date filed: February 18, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2015-105.

File number: SR-BATS-2015-105
Date filed: December 18, 2015
Description:

The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust.

File number: SR-BATS-2015-102 Amendment No. 2
Date filed: February 5, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2015-102.

File number: SR-BATS-2015-102
Date filed: November 13, 2015
Description:

The Exchange proposes a rule change to adopt Rule 11.27 regarding the data collection requirements of the Tick Size Pilot Program.

File number: SR-BATS-2015-101 Amendment No. 1
Date filed: November 17, 2015
Description:

The Exchange proposes an amendment to SR-BATS-2015-101.

File number: SR-BATS-2015-101
Date filed: November 9, 2015
Description:

The Exchange proposes to adopt new Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit Disruptive Quoting and Trading Activity.

File number: SR-BATS-2015-100 Amendment No. 6
Date filed: July 21, 2016
Description:

The Exchange proposes a sixth amendment to SR-BATS-2015-100.

File number: SR-BATS-2015-100 Amendment No. 5
Date filed: June 3, 2016
Description:

The Exchange proposes a fifth amendment to SR-BATS-2015-100.

File number: SR-BATS-2015-100 Amendment No. 4
Date filed: February 17, 2016
Description:

The Exchange proposes a fourth amendment to SR-BATS-2015-100.

File number: SR-BATS-2015-100 Amendment No. 3
Date filed: February 11, 2016
Description:

The Exchange proposes a third amendment to SR-BATS-2015-100.

File number: SR-BATS-2015-100 Amendment No. 1
Date filed: February 10, 2016
Description:

The Exchange proposes an amendment to SR-BATS-2015-100.

File number: SR-BATS-2015-100
Date filed: November 18, 2015
Description:

The Exchange proposes a rule change to amend BATS Rule 14.11(i) to adopt Generic Listing Standards for Managed Fund Shares.

File number: SR-BATS-2015-09
Date filed: January 30, 2015
Description:

BATS Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.

File number: SR-BATS-2015-08
Date filed: January 22, 2015
Description:

Amendments to the fee schedule to adopt an Options Regulatory Fee (ORF), effective February 2, 2015.

File number: SR-BATS-2015-07
Date filed: January 22, 2015
Description:

BATS Exchange, Inc. proposes to amend Rules 2.5(c)(4) and 11.5 to harmonize with EDGA and EDGX Rules, its membership requirements applicable to clearing agencies that clear transactions for members.

File number: SR-BATS-2015-06
Date filed: January 22, 2015
Description:

BATS Exchange, Inc. proposes to amend the fees applicable to securities listed on its Exchange pursuant to Rule 14.13.

File number: SR-BATS-2015-05
Date filed: January 14, 2015
Description:

BATS Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.

File number: SR-BATS-2015-04
Date filed: January 7, 2015
Description:

BATS Exchange, Inc. proposed to clarify the use of certain data feeds.

File number: SR-BATS-2015-02
Date filed: January 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.

File number: SR-BATS-2015-01
Date filed: January 2, 2015
Description:

Amendments to the fee schedule of BATS Exchange, Inc.