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-2011-053
December 30, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-051
December 16, 2011
BATS is proposing to implement a Competitive Liquidity Provider program to incent competitive and aggressive quoting by market makers registered with the Exchange.
SR-BATS-2011-050
December 2, 2011
BATS Options proposal to extend the Penny Pilot Program through June 30, 2012.
SR-BATS-2011-049
November 30, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-048
November 22, 2011
BATS is proposing to modify Rule 11.18 to exclude rights and warrants from the single stock circuit breaker rule.
SR-BATS-2011-047
November 22, 2011
BATS is proposing to amend Rule 14.1 to include exchange traded products as Tier I securities.
SR-BATS-2011-046
November 1, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-045
October 25, 2011
BATS is proposing to modify the market opening procedures for BATS Options.
SR-BATS-2011-044
September 30, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-043
September 30, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-042
September 30, 2011
Proposal to establish a revenue sharing program with Correlix, Inc.
SR-BATS-2011-041
September 29, 2011
Proposal to adopt a professional customer designation for BATS Options.
SR-BATS-2011-040
September 29, 2011
Proposal to extend a pilot program related to BATS Trading, Inc.'s status as inbound router.
SR-BATS-2011-038 Amendment 1
May 23, 2012
Partial amendment to SR-BATS-2011-038.
SR-BATS-2011-038
September 27, 2011
BATS is proposing to modify BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2011-037
September 19, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-036
September 16, 2011
BATS is proposing to amend Rule 13.3 (Forwarding of Issuer Materials).
SR-BATS-2011-035 Amendment 1
November 3, 2011
Partial Amendment to SR-BATS-2011-035.
SR-BATS-2011-035
September 7, 2011
BATS is proposing to amend the Bylaws of BATS Global Markets, Inc.
SR-BATS-2011-034
September 2, 2011
BATS is proposing to extend the availability of its bulk-quoting interface to all Users of BATS Options.
SR-BATS-2011-033
August 29, 2011
BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.
SR-BATS-2011-032
August 19, 2011
BATS is proposing to adopt rules governing auctions conducted on the Exchange for securities listed on the Exchange.
SR-BATS-2011-029
August 9, 2011
BATS is proposing to offer bulk-quoting functionality for BATS Options.
SR-BATS-2011-028
August 8, 2011
BATS is proposing to modify a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2011-027
August 8, 2011
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2011-026
August 8, 2011
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2011-025
July 29, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-024
July 29, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-023
July 22, 2011
BATS Options is proposing to eliminate its directed order program.
SR-BATS-2011-022
July 13, 2011
BATS Options is proposing to expand the Short Term Option Series Program so that BATS Options may select fifteen option classes on which Short Term Option Series may be opened.
SR-BATS-2011-021
July 12, 2011
BATS is proposing to amend Rules 11.13 and 21.9 to make certain changes consistent with the upcoming implementation of the Market Access Rule.
SR-BATS-2011-020
July 5, 2011
BATS is proposing to extend the availability of the TCP FAST PITCH data feed until August 1, 2011.
SR-BATS-2011-019
July 1, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-018
May 12, 2011
BATS is proposing to adopt rules for the qualification, listing and delisting of companies on the Exchange.
SR-BATS-2011-017
May 5, 2011
Proposal related to data feeds provided by the Exchange free of charge, including proposal to offer a Latency Monitoring feed.
SR-BATS-2011-016 Amendment 1
June 20, 2011
BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).
SR-BATS-2011-016
May 4, 2011
BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).
SR-BATS-2011-015
May 9, 2011
BATS is proposing changes to Rules 11.9 and 11.13 to modify BATS order handling procedures in certain specific circumstances involving non-displayed orders and orders subject to price sliding.
SR-BATS-2011-013
April 28, 2011
BATS Options is proposing to allow certain products to trade until 4:15 p.m. Eastern Time.
SR-BATS-2011-012
April 1, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-011
April 1, 2011
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2011-010
April 1, 2011
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2011-009 Amendment 1
March 24, 2011
Partial amendment to SR-BATS-2011-009.
SR-BATS-2011-009
March 16, 2011
BATS is proposing to create a directed order program for BATS Options.
SR-BATS-2011-008
March 1, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-007
February 18, 2011
BATS is proposing to adopt new Rule 11.21 to require Members to identify each order accurately as a Principal, Agency, or Riskless Principal Order.
SR-BATS-2011-005
February 14, 2011
BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the description of the SLIM routing strategy.
SR-BATS-2011-004
January 31, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-003
January 28, 2011
BATS Options proposal to adopt a $5 Strike Program.
SR-BATS-2011-002
January 14, 2011
BATS is proposing to amend Rules 11.9, 11.13, and 11.19 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO.
SR-BATS-2011-001
January 4, 2011
Amendments to fee schedule of BATS Exchange.
SR-BATS-2011-009 Amendment 2
June 2, 2011
Partial amendment to SR-BATS-2011-009.