Cboe BZX U.S. Equities 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: January 21, 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 Rule 14.11(i) (“Managed Fund Shares”).

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
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. 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
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-2019-068 Amendment No. 1
Date filed: October 1, 2019
Description:

The Exchange proposes an amendment to SR-CboeBZX-2019-068.

File number: SR-CboeBZX-2019-068
Date filed: July 19, 2019
Description:

The Exchange proposes a rule change to list and trade shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i), Managed Fund Shares.

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-CboeBZX-2020-012
Date filed: January 22, 2020
Description:

The Exchange proposes to amend the Exchange’s opening process to allow for an opening auction, similar to that available on Cboe Exchange, Inc. and Cboe EDGX Exchange, Inc., and make other conforming changes to Rules 16.1 and 21.17.

File number: SR-CboeBZX-2020-010
Date filed: January 22, 2020
Description:

The Exchange proposes a rule change to provide an exemption to certain governance requirements for series of Managed Portfolio Shares listed on the Exchange pursuant to Rule 14.11(k).

File number: SR-CboeBZX-2020-009
Date filed: January 24, 2020
Description:

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeBZX-2020-008
Date filed: January 21, 2020
Description:

The Exchange proposes to list and trade shares of the Hartford Core Bond ETF, a series of Hartford Funds Exchange-Traded Trust, under Rule 14.11(i) (Managed Fund Shares).

File number: SR-CboeBZX-2020-006
Date filed: January 17, 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-2020-005
Date filed: January 17, 2020
Description:

The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.

File number: SR-CboeBZX-2020-004
Date filed: January 21, 2020
Description:

The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.

File number: SR-CboeBZX-2020-002
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.

File number: SR-CboeBZX-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes a rule change to add Market Maker Penny Pilot Volume Tier 9.