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-2009-032 Amendment 1
February 9, 2010
Partial amendment to SR-BATS-2009-032.
SR-BATS-2009-032
December 18, 2009
BATS is proposing to impose fees for physical ports used to connect to the Exchange's systems if any Member or non-Member wishes to obtain more than 4 physical ports at either of the Exchange's data center sites.
SR-BATS-2009-031 Amendment 1
January 20, 2010
Partial amendment to SR-BATS-2009-031.
SR-BATS-2009-031
November 10, 2009
BATS is proposing to adopt rules to govern the trading of options on BATS Exchange, Inc.
SR-BATS-2009-030
September 28, 2009
BATS is proposing to amend BATS Rule 11.17 ("Clearly Erroneous Executions").
SR-BATS-2009-029
September 8, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-028
August 21, 2009
BATS is proposing to amend BATS Rule 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to remove an order type and a pre-routing processing method through which a marketable order is displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
SR-BATS-2009-027
July 28, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-026, Amendment 1
August 27, 2009
Partial amendment to SR-BATS-2009-026.
SR-BATS-2009-026
July 21, 2009
BATS is proposing to impose fees for ports used for order entry and receipt of market data.
SR-BATS-2009-025
July 20, 2009
BATS is proposing to amend BATS Rule 11.9 to eliminate the ability of Exchange Users to execute market orders on the Exchange outside of Regular Trading Hours.
SR-BATS-2009-023
July 9, 2009
BATS is proposing to modify BATS Rule 15.1 to allow the Exchange to pass on certain, specific fees that it is charged by the company that operates the data center where the Exchange's System is located
SR-BATS-2009-022
July 6, 2009
BATS is proposing to make modifications to the existing technology that the Exchange provides to a User that wishes to avoid trading against orders from that same User ("Member Match Trade Prevention" or "MMTP").
SR-BATS-2009-021
June 29, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-020
June 29, 2009
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") and BATS Rule 11.12 ("Priority of Orders") to permit Users of the Exchange to use a Replace Message to modify certain types of information originally submitted with an order without modifying the priority of such order.
SR-BATS-2009-019
June 26, 2009
BATS rule filing related to Sponsored Access Risk Management Tool.
SR-BATS-2009-018
May 28, 2009
BATS is proposing to amend the by-laws of the Exchange as they relate to the compositional requirements of the Exchange Nominating Committee.
SR-BATS-2009-017
May 28, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-016
May 21, 2009
Amendments to Fee Schedule for BATS Exchange to add references to RECYCLE routing.
SR-BATS-2009-015
May 19, 2009
BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange?s method of processing the unfilled balance of a limit order that is posted to the BATS Book after being routed away to one or more away Trading Centers for execution.
SR-BATS-2009-014, Amendment 1
May 29, 2009
Partial amendment to SR-BATS-2009-014
SR-BATS-2009-014
May 22, 2009
BATS is proposing to amend Rules 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to add a new order type (a BATS Only BOLT Order) and a pre-routing processing method that will each include an optional display period through which a marketable order will be displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
SR-BATS-2009-013
May 12, 2009
BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange's method of processing the unfilled balance of a limit order that returns to the Exchange after being routed away to one or more away Trading Centers for execution.
SR-BATS-2009-012
May 20, 2009
BATS is proposing to amend BATS Rules in order to begin offering an After Hours Trading Session that will last from 4:00 p.m. to 5:00 p.m. EST.
SR-BATS-2009-011
May 1, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-010
April 30, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-009
April 14, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-008
March 31, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-007
March 2, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-006
February 20, 2009
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide for a new order type, a Partial Post Only at Limit Order, and to eliminate the Exchange order processing behavior described in Rule 11.9 as the "price sliding process".
SR-BATS-2009-005
January 23, 2009
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-003
January 16, 2009
BATS is proposing to amend BATS Rules to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination.
SR-BATS-2009-002
January 15, 2009
BATS is proposing to amend Rule 11.8 ("Obligations of Market Makers") to provide Exchange functionality to Market Makers who wish to have the Exchange automatically enter certain orders on their behalf to facilitate compliance with the continuous two-sided quoting requirement applicable to Market Makers.
SR-BATS-2009-001
January 12, 2009
BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide Exchange system functionality that will cancel any portion of a BATS Market Order that would otherwise execute outside of certain thresholds.