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-2014-073
December 22, 2014
Proposal to amend Rule 2.12 to remove references to Direct Edge ECN LLC and DE Route.
SR-BATS-2014-072
December 17, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-071
December 17, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-070
December 17, 2014
Proposed to extend the Penny Pilot Program for BATS Options through June 30, 2015.
SR-BATS-2014-068
December 10, 2014
Proposed to amend Rules 11.9(a)(2) and 11.18(e) to modify the operation of BATS market orders.
SR-BATS-2014-067 Amendment No. 2
March 13, 2015
Second amendment to SR-BATS-2014-067.
SR-BATS-2014-067 Amendment No. 1
December 17, 2014
Amendment to SR-BATS-2014-067.
SR-BATS-2014-067
December 4, 2014
Proposal to replace Rule 20.6, entitled Obvious Error, with new Rule 20.6 entitled Nullification and Adjustment of Options Transactions including Obvious Errors.
SR-BATS-2014-066
December 3, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-064
December 1, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-063
December 1, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-062
November 28, 2014
Proposed to amend Rule 11.1.
SR-BATS-2014-058
November 17, 2014
Proposed to re-number Rule 11.24, entitled Retail Order Attribution Program, as Rule 11.25.
SR-BATS-2014-057
November 21, 2014
Proposed to amend Rule 14.11(j)(5) to harmonize its restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC.
SR-BATS-2014-056 Amendment No. 1
February 12, 2015
Amendment to SR-BATS-2014-056.
SR-BATS-2014-056
December 19, 2014
BATS Exchange, Inc. proposed to list and trade shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust under BATS Rule 14.11(i).
SR-BATS-2014-055 Amendment No. 2
December 15, 2014
Second amendment to SR-BATS-2014-055.
SR-BATS-2014-055 Amendment No. 1
November 13, 2014
Amendment to SR-BATS-2014-055.
SR-BATS-2014-055
October 30, 2014
BATS is proposing to establish a new market data product called the BATS One Feed.
SR-BATS-2014-054
December 12, 2014
BATS Exchange, Inc. proposed to list and trade shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i).
SR-BATS-2014-053
October 24, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-052
October 17, 2014
Proposed to amend Rules 11.9 and 11.13.
SR-BATS-2014-051
October 16, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-050
October 16, 2014
Proposal to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.
SR-BATS-2014-047
October 6, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-045
October 7, 2014
Proposed to amend Rule 11.16 (Limitation of Liability).
SR-BATS-2014-044
September 25, 2014
Proposal to amend Rules 11.13 for BATS Equities and 21.9 for BATS Options.
SR-BATS-2014-043
September 18, 2014
Proposed to adopt a retail attribution program under new Rule 11.24.
SR-BATS-2014-042
September 15, 2014
Proposed to amend Rule 11.9(c) to adopt a Supplemental Peg Order.
SR-BATS-2014-041
September 12, 2014
Proposal to provide additional functionality with respect to Primary Pegged Orders offered pursuant to Rule 11.9(c)(8).
SR-BATS-2014-040 Amendment No. 1
October 10, 2014
Partial amendment to SR-BATS-2014-040.
SR-BATS-2014-040
September 12, 2014
Proposed rule change to amend Rule 21.7 to modify the process by which BATS Options opens trading at the beginning of the day and after trading halts.
SR-BATS-2014-039
August 28, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-038
August 26, 2014
Proposal to amend Rules 11.9 for BATS Equities and 21.1 for BATS Options.
SR-BATS-2014-037
September 3, 2014
Proposed rule change to add Rule 11.24, entitled Opening Process for Non-BATS-Listed Securities, as well as to make several corresponding changes in order to modify the manner in which the Exchange opens trading for non-listed securities at the beginning of the day and after trading halts.
SR-BATS-2014-036
August 15, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-034
August 11, 2014
Proposed to amend Rules 11.9(f) to adopt a new Match Trade Prevention Modifier (MTP) called Cancel Smallest with respect to the Exchanges cash equities trading platform and 21.1(g) to add similar functionality to BATS Options.
SR-BATS-2014-033
August 11, 2014
Proposed to amend Rule 11.13 to add an additional routing strategy.
SR-BATS-2014-031
August 4, 2014
Proposed rule change to reflect changes to the means of achieving the investment objective applicable to the iShares Short Maturity Bond Fund.
SR-BATS-2014-030
August 1, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-029
July 15, 2014
BATS Exchange, Inc. proposes to clarify for its Members and non-Members the use of certain data feeds for order handling and execution, order routing, and regulatory compliance.
SR-BATS-2014-027
July 9, 2014
Proposal to amend Rules 11.9, 11.12, 11.18, 21.1 and 21.7.
SR-BATS-2014-026 Amendment No. 3
September 12, 2014
Third amendment to SR-BATS-2014-026.
SR-BATS-2014-026 Amendment No. 2
August 26, 2014
Second amendment to SR-BATS-2014-026.
SR-BATS-2014-026 Amendment No. 1
August 15, 2014
Amendment to SR-BATS-2014-026.
SR-BATS-2014-026
August 26, 2014
BATS proposed to list and trade shares of certain funds of the Alpha Architect ETF Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.
SR-BATS-2014-025
July 1, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-024
June 4, 2014
Proposed to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.
SR-BATS-2014-023
June 4, 2014
Proposed to extend the Penny Pilot Program for BATS Options through December 31, 2014.
SR-BATS-2014-022
June 3, 2014
Proposal to amend the Competitive Liquidity Provider Program.
SR-BATS-2014-021
May 30, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-019
May 28, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-017
April 28, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-016
April 17, 2014
Proposed rule change to amend Rule 21.7, entitled Market Opening Procedures.
SR-BATS-2014-015
April 17, 2014
Proposed rule change to institute an incentive program for market makers registered with the Exchange in ETPs listed on the Exchange (the LMM Program).
SR-BATS-2014-014
April 17, 2014
Proposed rule change to add new paragraphs (i) and (j) to Rule 11.17, entitled Clearly Erroneous Executions.
SR-BATS-2014-013
April 24, 2014
BATS Exchange, Inc. proposed to amend Interpretation and Policy .05 to Rule 19.6, entitled Series of Options Contracts Open for Trading, and Rule 29.11, entitled Terms of Index Options Contracts.
SR-BATS-2014-011
April 1, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-010
March 31, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-008
March 18, 2014
BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
SR-BATS-2014-007
March 13, 2014
BATS is proposing to list and trade shares of the ProShares Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.
SR-BATS-2014-006
March 7, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-005
March 3, 2014
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2014-003 Amendment 1
January 16, 2014
Partial amendment to SR-BATS-2014-003.
SR-BATS-2014-003
January 6, 2014
Proposal to modify the opening process for BATS Options.
SR-BATS-2014-002
January 3, 2014
Proposal to extend the applicability of the CLP program to a maximum of 3 years.
SR-BATS-2014-001
January 2, 2014
Amendments to the fee schedule of BATS Exchange, Inc.