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-2010-039
December 22, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-038
December 21, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-037
December 7, 2010
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2010-036
December 2, 2010
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2010-035
November 19, 2010
BATS Options proposal to extend the Penny Pilot Program through December 31, 2011.
SR-BATS-2010-033
November 18, 2010
BATS Options proposal to amend Rule 25.3, entitled Penalty for Minor Rule Violations, to expand the list of violations eligible for disposition under the BATS Options MRVP.
SR-BATS-2010-032
November 10, 2010
BATS Options proposal to adopt a $.50 Strike Program and to modify the BATS Options $1 Strike Program.
SR-BATS-2010-031
October 29, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-030
October 14, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-029
October 13, 2010
BATS is proposing to amend BATS Rule 11.13 (Order Execution) to add certain new routing strategies and to modify the description of certain existing routing strategies.
SR-BATS-2010-028
October 6, 2010
BATS Exchange is proposing to amend its Rules to conform such Rules to the rules of the Exchange's affiliate, BATS Y-Exchange, Inc. (BYX).
SR-BATS-2010-027
October 4, 2010
BATS is proposing to amend BATS Rule 21.9 (Order Execution) to modify the existing general description of BATS Options routing functionality and to describe available routing strategies in greater detail.
SR-BATS-2010-026 Amendment 1
October 12, 2010
Amendment to SR-BATS-2010-026.
SR-BATS-2010-026
September 30, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-025 Amendment 1
November 4, 2010
Amendment to SR-BATS-2010-025
SR-BATS-2010-025
September 17, 2010
Proposal to amend BATS Rule 11.8, which relates to the obligations of market makers registered with BATS.
SR-BATS-2010-024
September 9, 2010
BATS is proposing to adopt new BATS Rule 2.12, entitled BATS Trading, Inc. as Inbound Router and to make other related changes.
SR-BATS-2010-023
August 30, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-022
August 30, 2010
BATS is proposing to amend BATS Rule 11.13 to rename one of the Exchange's routing strategies.
SR-BATS-2010-021
August 3, 2010
BATS is proposing to amend BATS Rule 23.1 (Exercise of Options Contracts) to extend the cut-off time to submit contrary exercise advices.
SR-BATS-2010-020
July 27, 2010
BATS is proposing to amend Rule 19.6 (Series of Options Contracts Open for Trading) and Rule 29.11 (Terms of Index Options Contracts) in order to list option series that expire one week after being opened for trading.
SR-BATS-2010-019
July 26, 2010
BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on August 2, 2010.
SR-BATS-2010-018
June 30, 2010
BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) to add securities included in the Russell 1000 Index and specified Exchange Traded Products to the pilot rule.
SR-BATS-2010-017
June 28, 2010
BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the existing general description of Exchange routing functionality, to describe available routing options in greater detail, and to add certain new routing options.
SR-BATS-2010-016
June 17, 2010
BATS is proposing to amend BATS Rule 11.17 (Clearly Erroneous Executions) to make various modifications to the Exchange's handling of clearly erroneous execution reviews, including in the context of securities subject to an individual stock trading pause and multi-stock events involving twenty or more securities.
SR-BATS-2010-015
May 28, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-013
May 13, 2010
BATS is proposing to eliminate BATS Rule 19.5, which requires that at least one Options Market Maker be registered for trading a particular series before it may be opened for trading on BATS Options.
SR-BATS-2010-012
May 4, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-011
May 4, 2010
BATS is proposing to modify its Match Trade Prevention functionality.
SR-BATS-2010-009
April 30, 2010
BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on May 3, 2010.
SR-BATS-2010-007
March 31, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-006
March 30, 2010
BATS is proposing to amend BATS Rule 11.9(c)(12) (Destination Specific Order) to permit Exchange Users to designate an order that will first check the BATS Book for liquidity and then be routed to one or to multiple Alternative Trading Systems with which the Exchange has connections.
SR-BATS-2010-005
February 25, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-003
February 11, 2010
BATS is proposing to amend BATS Rule 5.5 ("Information Barrier Procedures") to modify the Exchange's rule regarding information barrier procedures required of certain Exchange Members and to add new Exchange Rule 12.13 ("Trading Ahead of Research Reports").
SR-BATS-2010-002 Amendment 2
April 8, 2010
Partial amendment to SR-BATS-2010-002.
SR-BATS-2010-002 Amendment 1
February 22, 2010
Partial amendment to SR-BATS-2010-002
SR-BATS-2010-002
February 2, 2010
BATS is proposing to offer certain new BATS Exchange data products to Members of the Exchange and other market data recipients.
SR-BATS-2010-001
January 29, 2010
Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2010-014
May 18, 2010
BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatilty) to allow the Exchange to pause trading in an individual stock when the primary listing market for such stock issues a trading pause.
SR-BATS-2010-008 Amendment 1
June 30, 2010
Amendment to SR-BATS-2010-008.
SR-BATS-2010-008
April 9, 2010
BATS is proposing to amend BATS Rule 2.5 (Restrictions), to require each Exchange Member to register with the Exchange: (i) at least two principals to supervise Authorized Traders of the Member (subject to certain exceptions), and (ii) at least one financial and operations principal.