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-2013-066 Amendment 1
January 15, 2014
Partial amendment to SR-BATS-2013-066.
SR-BATS-2013-066
December 19, 2013
BATS is proposing to amend BATS Rule 11.23 to allow the operation of a Volatility Closing Auction when a BATS listed security is halted in the last 10 minutes of regular trading hours.
SR-BATS-2013-064
December 12, 2013
BATS is proposing to extend the Penny Pilot for BATS Options through June 30, 2014.
SR-BATS-2013-063
December 9, 2013
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2013-062
December 5, 2013
Modifications to BATS Rule 22.6 with respect to Market Maker quoting obligations imposed by BATS Options.
SR-BATS-2013-061
December 2, 2013
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2013-060
November 18, 2013
BATS is proposing changes to the rules governing the BATS Options Risk Monitor Mechanism.
SR-BATS-2013-059
November 25, 2013
BATS proposal in connection with the proposed business combination of BATS Global Markets, Inc. and Direct Edge Holdings LLC.
SR-BATS-2013-058
October 31, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-057
November 12, 2013
BATS is proposing to amend the BATS Competitive Liquidity Provider program.
SR-BATS-2013-056
October 3, 2013
BATS is proposing to amend Rule 12.6 to make it substantially the same as FINRA Rule 5320.
SR-BATS-2013-055
October 1, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-054
October 1, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-053
September 24, 2013
BATS is proposing to extend a pilot program related to Rule 11.17 (Clearly Erroneous Executions) and to eliminate certain references in Rule 11.17.
SR-BATS-2013-052
September 20, 2013
BATS is proposing to amend BATS Options rules to authorize the nullification of trades that occur after a halt has been issued.
SR-BATS-2013-051
September 19, 2013
BATS is proposing to list and trade shares of the iShares Liquidity Income Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
SR-BATS-2013-050
September 12, 2013
BATS is eliminating references to an obsolete functionality and data feed.
SR-BATS-2013-049
August 30, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-048
August 28, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-047
August 16, 2013
BATS is proposing to set forth in its rules the fees charged for certain Continuing Education.
SR-BATS-2013-046
August 15, 2013
BATS is proposing to amend its registration rules to recognize additional registrations and to clarify existing qualification and continuing education rules.
SR-BATS-2013-045
August 15, 2013
Proposal to establish a revenue sharing agreement with respect to certain private labeled data products.
SR-BATS-2013-044
August 7, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-043
August 2, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-042
August 1, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-041
August 1, 2013
BATS is proposing to eliminate the CYCLE routing option effective September 3, 2013.
SR-BATS-2013-040
June 28, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-039
June 26, 2013
BATS is proposing to impose fees for certain BATS Equities market data products.
SR-BATS-2013-038 Amendment 1
July 2, 2013
Amendment replacing SR-BATS-2013-038.
SR-BATS-2013-038
June 21, 2013
BATS is proposing to amend its ETP listing rules and to adopt rules for the listing of certain securities on the Exchange.
SR-BATS-2013-037
June 20, 2013
BATS is proposing to amend the information barrier requirement of the CLP Program.
SR-BATS-2013-036
June 19, 2013
BATS is proposing to offer access to the Exchange via physical connections in certain additional data centers.
SR-BATS-2013-034
June 13, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-033
June 4, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-032
June 3, 2013
A proposed rule change with respect to the authority of the Exchange or BATS Trading, Inc. to cancel orders when a technical or system issue occurs and to describe the operation of an error account for BATS Trading, Inc.
SR-BATS-2013-030
June 11, 2013
BATS is proposing to extend the Penny Pilot for BATS Options through December 31, 2013.
SR-BATS-2013-026
May 7, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-025
May 1, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-024
April 29, 2013
Proposal to amend the Bylaws of BATS Exchange, Inc.
SR-BATS-2013-023
April 10, 2013
BATS Options is proposing to adopt a market order collar.
SR-BATS-2013-022
March 22, 2013
BATS is proposing to amend the functionality of the Market Maker Peg Order.
SR-BATS-2013-021
March 18, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-020
March 18, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-019
March 15, 2013
BATS Options is proposing to permit the minimum trading increment for Mini Options to be the same as the minimum trading increment permitted for standard options on the same underlying security.
SR-BATS-2013-018
March 13, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-017
March 1, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-016
March 1, 2013
BATS Options is proposing to suspend options market maker obligations in certain circumstances in connection with the Limit Up-Limit Down Plan.
SR-BATS-2013-015
February 28, 2013
BATS is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.
SR-BATS-2013-014
February 27, 2013
Proposal to reject Market Orders received by BATS Options when the underlying security is subject to a Limit or Straddle State under the Limit Up-Limit Down Plan.
SR-BATS-2013-013
February 20, 2013
BATS Options is proposing to list and trade option contracts overlying 10 shares of a security (Mini Options).
SR-BATS-2013-012
February 11, 2013
Amendments to fee schedule of BATS Exchange.
SR-BATS-2013-010
January 30, 2013
BATS is proposing to delay the operative date of changes to the market wide circuit breaker.
SR-BATS-2013-009
January 30, 2013
BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
SR-BATS-2013-008
January 30, 2013
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.
SR-BATS-2013-007
January 25, 2013
BATS is proposing to modify Rules 11.9 and 21.1.
SR-BATS-2013-006
January 23, 2013
BATS is proposing to add $0.50 strikes to the Short Term Option Series (STOS) Program and to expand the STOS Program.
SR-BATS-2013-005
January 18, 2013
BATS is proposing to amend its Competitive Liquidity Provider program.
SR-BATS-2013-003
January 18, 2013
BATS is proposing to eliminate the Discretionary Order order type for BATS Options.
SR-BATS-2013-002
January 7, 2013
Amendments to fee schedule of BATS Exchange.