Cboe Global Markets

Cboe Equities Exchanges 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

SR-CboeBZX-2021-039
May 10, 2021
The Exchange proposes a rule change to list and trade shares of the Wise Origin Bitcoin Trust (the “Trust”), under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-036
April 29, 2021
The Exchange proposes to exclude a National Best Bid or Offer (“NBBO”) from the calculation of the BZX Official Closing Price, as provided in Rule 11.23(c)(2)(B)(ii)(b), that is outside the bands provided under the Plan to Address Extraordinary Market Volatility (the “Limit Up-Limit Down” or “LULD” Plan).
SR-CboeBZX-2021-035
April 26, 2021
The Exchange proposes to amend its process for re-opening securities listed on other national securities exchanges following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or After Hours Session.
SR-CboeBZX-2021-029
April 9, 2021
The Exchange proposes a rule change to list and trade shares of the Kryptoin Bitcoin ETF Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-028
April 16, 2021
The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeBZX-2021-024
March 26, 2021
The Exchange rule change to list and trade shares of the WisdomTree Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-023
March 26, 2021
The Exchange proposes to extend the cutoff time for accepting on close orders entered for participation in the Exchange’s Closing Auction and make clarifying changes to the definitions of Late-Limit-On-Close (“LLOC”) and Late-Limit-On-Open (“LLOO”) orders as provided in Exchange Rule 11.23.
SR-CboeBZX-2021-019
March 1, 2021
The Exchange proposes a rule change to list and trade shares of the VanEck Bitcoin Trust (the “Trust”), under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-014
January 22, 2021
The Exchange proposes to allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF, each a series of the Invesco Actively Managed Exchange-Traded Fund Trust, to strike and publish multiple intra-day net asset values and an end-of-day NAV.

Approved and Immediately Effective Rule Changes

SR-BATS-2008-013
December 11, 2008
Amendments to BATS Rules and Corporate Documents to Reflect Name Change of BATS Holdings, Inc. to BATS Global Markets, Inc.
SR-BATS-2008-012
December 9, 2008
Amendments to Fee Schedule for BATS Exchange (effective December 12, 2008).
SR-BATS-2008-011
November 25, 2008
BATS is proposing to amend Rule 8.15.01 (List of Exchange Rule Violations and Recommended Fine Schedule Pursuant to Rule 8.15) to expand the list of violations eligible for disposition under the Exchange's Minor Rule Violation Plan.
SR-BATS-2008-010
November 19, 2008
BATS is proposing to amend Rule 11.17 (Clearly Erroneous Executions) with respect to fees of other market centers related to clearly erroneous rulings.
SR-BATS-2008-009
October 21, 2008
Initial Fee Schedule for BATS Exchange.
SR-BATS-2008-008
October 20, 2008
BATS is proposing to amend its Rule 11.16 ("Limitation of Liability").
SR-BATS-2008-007
October 10, 2008
BATS is proposing to amend its Rule 11.13 ("Order Execution") to provide the Exchange's Outbound Router with additional flexibility when routing orders away from the Exchange.
SR-BATS-2008-005
September 19, 2008
BATS is proposing amendments to its rules to add definitions of Market Maker and Market Maker Authorized Trader and to add rules regarding the registration and obligations of Market Makers.
SR-BATS-2008-004
September 17, 2008
BATS is proposing to amend its Rule 14.1 ("Unlisted Trading Privileges") to consolidate into a single rule certain requirements for trading products on the Exchange pursuant tounlisted trading privileges.
SR-BATS-2008-003
September 12, 2008
BATS is proposing to amend its Rule 11.5 ("Orders and Modifiers") to add a new order type - Modified Destination Specific Order.