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-2012-048
December 11, 2012
BATS Options proposal to extend the Penny Pilot Program through June 30, 2013.
SR-BATS-2012-046
December 6, 2012
BATS is proposing to modify BATS Rule 11.23 governing auctions conducted for equity securities listed on the Exchange.
SR-BATS-2012-045
November 19, 2012
BATS is proposing to expand the availability of an Exchange Risk Management Tool.
SR-BATS-2012-044
November 5, 2012
BATS is proposing to amend Rule 14.11, entitled Other Securities, to adopt new criteria for certain securities to be listed on the Exchange as Trust Issued Receipts. BATS is also proposing to list and trade shares of the following funds: ProShares Managed Futures Strategy, ProShares Commodity Managed Futures Strategy, and ProShares Financial Managed Futures Strategy.
SR-BATS-2012-043
November 1, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-042
October 12, 2012
BATS is proposing to list and trade shares of the iShares Sovereign Screened Global Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
SR-BATS-2012-041
October 1, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-040
September 28, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-039 Amendment 3
January 11, 2013
Partial amendment to SR-BATS-2012-039.
SR-BATS-2012-039 Amendment 2
January 10, 2013
Partial amendment to SR-BATS-2012-039.
SR-BATS-2012-039 Amendment 1
October 8, 2012
Amendment replacing SR-BATS-2012-039.
SR-BATS-2012-039
September 25, 2012
BATS is proposing to amend Rule 14.10, entitled Corporate Governance Requirements, in accordance with Section 952 of the Dodd-Frank Act.
SR-BATS-2012-038
September 10, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-037
August 31, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-036
August 31, 2012
BATS is proposing to modify incentives in connection with its Competitive Liquidity Provider program.
SR-BATS-2012-035
August 3, 2012
BATS is proposing to modify the operation of price sliding functionality.
SR-BATS-2012-034
August 1, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-033 Amendment 1
September 14, 2012
Partial amendment to SR-BATS-2012-033.
SR-BATS-2012-033
July 27, 2012
BATS is proposing to list and trade shares of the iShares Ultrashort Duration Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
SR-BATS-2012-032
July 24, 2012
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2012-031
July 24, 2012
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2012-030
July 20, 2012
BATS is proposing to amend Rule 14.11 to modify the criteria for certain securities listed on BATS Exchange as Index Fund Shares.
SR-BATS-2012-029
July 16, 2012
BATS Options proposal to amend Rule 20.6, entitled Obvious Error.
SR-BATS-2012-028
July 6, 2012
BATS is proposing to adopt Rule 3.23 related to Telemarketing.
SR-BATS-2012-027
July 2, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-026 Amendment 1
July 6, 2012
Partial amendment to SR-BATS-2012-026.
SR-BATS-2012-026
June 26, 2012
BATS is proposing to adopt a market maker peg order.
SR-BATS-2012-025
June 19, 2012
BATS Options proposal to extend the Penny Pilot Program through December 31, 2012.
SR-BATS-2012-024
June 15, 2012
BATS is proposing to modify system functionality when the consolidated market is crossed as well as the handling of certain orders that have been routed away.
SR-BATS-2012-023
June 15, 2012
BATS is proposing to adopt additional listing requirements for Reverse Merger companies.
SR-BATS-2012-022
June 5, 2012
Proposal to temporarily suspend the requirements of Rule 2.6 in connection with the membership of Apex Clearing.
SR-BATS-2012-021
June 1, 2012
BATS is proposing to adopt Rule 21.16, entitled Risk Monitor Mechanism, to codify the risk monitoring functionality offered to Users of BATS Options.
SR-BATS-2012-020
May 31, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-019
May 24, 2012
BATS is proposing to amend BATS Rule 11.19, entitled Short Sales, in connection with the Exchange's status as the primary listing market for certain securities.
SR-BATS-2012-018
May 23, 2012
BATS is proposing to amend BATS Rules 11.9 and 21.1 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.
SR-BATS-2012-017
May 11, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-016
April 25, 2012
BATS is proposing to modify BATS Rules 11.9 and 21.1 to allow optional attribution of orders submitted to the Exchange.
SR-BATS-2012-015
April 2, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-014
March 19, 2012
BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.
SR-BATS-2012-013
March 8, 2012
BATS is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.
SR-BATS-2012-012
March 8, 2012
BATS is proposing to amend Rule 14.3 to include additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
SR-BATS-2012-011
February 8, 2012
BATS is proposing to adopt incentives in connection with its Competitive Liquidity Provider program.
SR-BATS-2012-010
February 8, 2012
BATS is proposing to amend the fees applicable to securities listed on the Exchange.
SR-BATS-2012-009
February 3, 2012
BATS is proposing to allow certain Opening Auction orders to participate in an IPO Auction on the Exchange.
SR-BATS-2012-008
February 1, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-007
February 1, 2012
BATS is proposing to add additional variations of the TRIM routing strategy.
SR-BATS-2012-006
February 1, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-004
January 24, 2012
BATS is proposing to list and trade shares of the iShares MSCI Denmark Capped Investable Market Index Fund as Index Fund Shares.
SR-BATS-2012-003
January 24, 2012
Amendments to fee schedule of BATS Exchange.
SR-BATS-2012-002
January 6, 2012
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2012-001
January 6, 2012
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).