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-2015-99
November 2, 2015
BATS Exchange, Inc. proposes a rule change related to Fees.
SR-BATS-2015-98
November 2, 2015
BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
SR-BATS-2015-97
November 9, 2015
BATS Exchange, Inc. proposes a rule change to amend Rule 11.13, Order Execution and Routing.
SR-BATS-2015-96
October 27, 2015
BATS Exchange, Inc. proposal to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.
SR-BATS-2015-94 Amendment No. 3
April 7, 2016
The Exchange proposes a third amendment to SR-BATS-2015-94.
SR-BATS-2015-94 Amendment No. 2.
March 24, 2016
The Exchange proposes a second amendment to SR-BATS-2015-94.
SR-BATS-2015-94 Amendment No. 1
February 26, 2016
The Exchange proposes an amendment to SR-BATS-2015-94.
SR-BATS-2015-94
December 28, 2015
The Exchange proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust.
SR-BATS-2015-93
October 21, 2015
BATS Exchange, Inc. proposes a rule change to delete Rule 22.10, Limitations on Dealings.
SR-BATS-2015-92
October 28, 2015
BATS Exchange, Inc. proposes a rule change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time.
SR-BATS-2015-91
October 20, 2015
BATS Exchange, Inc. proposes a rule change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors.
SR-BATS-2015-90
October 14, 2015
BATS Exchange, Inc. proposes to amend Rule 11.25, Retail Order Attribution Program.
SR-BATS-2015-89
October 13, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to LMM Incentives.
SR-BATS-2015-87
October 9, 2015
BATS Exchange, Inc.proposes to amend Rule 11.13, Order Execution and Routing.
SR-BATS-2015-86
October 2, 2015
BATS Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.
SR-BATS-2015-85
October 2, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-83
October 1, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-82
September 30, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-80
September 30, 2015
Proposal to adopt an Issuer Incentive Program applicable to securities listed on BATS Exchange, Inc.
SR-BATS-2015-79
September 30, 2015
BATS Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.
SR-BATS-2015-78
September 24, 2015
BATS Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.
SR-BATS-2015-77
September 23, 2015
BATS Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.
SR-BATS-2015-76
September 21, 2015
BATS Exchange, Inc. proposes to to restructure and amend Rule 11.17, Clearly Erroneous Executions.
SR-BATS-2015-74
September 9, 2015
BATS Exchange, Inc. proposes a rule change related to fees to adopt a Tape B Volume Tier.
SR-BATS-2015-71
September 2, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-65
August 18, 2015
BATS Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.
SR-BATS-2015-64
August 24, 2015
Proposal to adopt fees for a market data product known as BZX Book Viewer.
SR-BATS-2015-63
August 12, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-62
August 7, 2015
Proposal to amend Rule 11.22 to describe the market data product BZX Book Viewer.
SR-BATS-2015-60
August 7, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-58
August 3, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-56 Amendment No. 2
September 4, 2015
Second amendment to SR-BATS-2015-56.
SR-BATS-2015-56 Amendment No. 1
August 19, 2015
Amendment to SR-BATS-2015-56.
SR-BATS-2015-56
July 30, 2015
BATS Exchange, Inc. proposes to list and trade shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11
SR-BATS-2015-55
July 23, 2015
BATS Exchange, Inc. proposes to extend the pilot period of the Supplemental Competitive Liquidity Provider Program.
SR-BATS-2015-54
July 23, 2015
BATS Exchange, Inc. proposes to Delay Implementation of SR-BATS-2015-51.
SR-BATS-2015-53
July 6, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-52
July 1, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-51
June 30, 2015
BATS Exchange, Inc. proposes to amend to Rule 21.1(d)(9), (h) and (i) to modify the operation of BATS Post Only Orders on its Options platform.
SR-BATS-2015-50
June 29, 2015
BATS Exchange, Inc. proposes to extend the Penny Pilot Program for BATS Options through June 30, 2016.
SR-BATS-2015-48
July 1, 2015
BATS Exchange proposes to amend the market data section of its fee schedule.
SR-BATS-2015-47
June 16, 2015
BATS Exchange, Inc. proposes to amend Rule 11.9 to modify its Price Adjust functionality.
SR-BATS-2015-46
June 19, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-45
June 9, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-44
June 9, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-43
June 5, 2015
BATS Exchange, Inc. proposes to amend Rule 19.3(i) with respect to BATS Options.
SR-BATS-2015-40
May 27, 2015
BATS Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.
SR-BATS-2015-39
May 22, 2015
BATS Exchange, Inc. proposes to amend fees applicable to securities listed on its Exchange pursuant to BATS Rule 14.13.
SR-BATS-2015-38
May 6, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-37-Amendment-No-1
May 15, 2015
Amendment to SR-BATS-2015-37
SR-BATS-2015-37
May 5, 2015
BATS Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.
SR-BATS-2015-35
May 1, 2015
Amendment to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-33
April 16, 2015
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-31
April 1, 2015
BATS Exchange, Inc. proposes to amend Rule 11.23, Auctions.
SR-BATS-2015-30
April 1, 2015
Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules
SR-BATS-2015-29
April 6, 2015
Proposal to amend the content of the BATS One Feed under Rule 11.22(j) to include consolidated volume for all listed equity securities.
SR-BATS-2015-28
April 1, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-26
April 1, 2015
Proposal to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, to adopt a new provision to account for erroneous trades occurring from disruptions and/or malfunctions of Exchange systems.
SR-BATS-2015-25
March 26, 2015
BATS Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.
SR-BATS-2015-24
March 17, 2015
BATS Exchange, Inc. proposes to amend the fees for the BATS One Market Data Product.
SR-BATS-2015-23
March 17, 2015
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-22
March 13, 2015
BATS Exchange, Inc. proposes to adopt new Rule 21.17, Exchange Sharing of User Designated Risk Settings.
SR-BATS-2015-20
March 2, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-17
February 20, 2015
BATS Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.
SR-BATS-2015-16
March 3, 2015
BATS Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.
SR-BATS-2015-15
February 18, 2015
BATS Exchange, Inc. proposes to amend Rule 11.22 to update the names of certain market data products.
SR-BATS-2015-14
February 12, 2015
BATS Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
SR-BATS-2015-13
February 10, 2015
Amendments to the fee schedule of BATS Exchange, Inc.
SR-BATS-2015-124 Amendment No. 5
March 28, 2016
The Exchange proposes a fifth amendment to SR-BATS-2015-124.
SR-BATS-2015-124 Amendment No. 2
February 12, 2016
The Exchange proposes a second amendment to SR-BATS-2015-124.
SR-BATS-2015-124 Amendment No. 1
February 10, 2016
The Exchange proposes an amendment to SR-BATS-2015-124.
SR-BATS-2015-124
December 30, 2015
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust.
SR-BATS-2015-123
December 30, 2015
BATS Exchange, Inc. proposes a rule change related to Fees.
SR-BATS-2015-122
December 28, 2015
BATS Exchange, Inc.; proposes rule changes to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders.
SR-BATS-2015-121
December 29, 2015
BATS Exchange, Inc. proposes rule changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers.
SR-BATS-2015-120
December 29, 2015
BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
SR-BATS-2015-12
February 5, 2015
BATS Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.
SR-BATS-2015-119
December 23, 2015
BATS Exchange, Inc.; proposes a rule change to amend Rule 11.22, Data Products, to describe IPO Auction Viewer.
SR-BATS-2015-118
December 22, 2015
BATS Exchange, Inc. proposes rule changes relating to Proprietary Trader and Proprietary Trader Principal registration categories, Securities Trader and Securities Trader Principal registration categories, and establishing the Series 57 Examination.
SR-BATS-2015-117
December 10, 2015
BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
SR-BATS-2015-116
December 9, 2015
BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
SR-BATS-2015-115
December 17, 2015
BATS Exchange, Inc. proposes a rule change related to Fees.
SR-BATS-2015-114
December 15, 2015
BATS Exchange, Inc. proposes a rule change related to Fees.
SR-BATS-2015-112
December 2, 2015
BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.
SR-BATS-2015-112
December 2, 2015
BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.
SR-BATS-2015-111
December 2, 2015
BATS Exchange, Inc. proposes a rule change to Rule 19.6, Series of Options Contracts Open for Trading.
SR-BATS-2015-110
December 2, 2015
BATS Exchange, Inc. proposes a rule change to Rule 13.3, Forwarding or Proxy and other Issuer Materials; Proxy Voting.
SR-BATS-2015-11
February 3, 2015
BATS Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BZX Top and BZX Last Sale.
SR-BATS-2015-108 Amendment No. 1
March 2, 2016
The Exchange proposes a partial amendment to SR-BATS-2015-108.
SR-BATS-2015-108
November 30, 2015
The Exchange proposes a rule change to adopt Rule 11.27 regarding the quoting and trading requirements of the Tick Size Pilot Program.
SR-BATS-2015-105 Amendment No. 3
March 22, 2016
The Exchange proposes a third amendment to SR-BATS-2015-105.
SR-BATS-2015-105 Amendment No. 2
February 24, 2016
The Exchange proposes a second amendment to SR-BATS-2015-105.
SR-BATS-2015-105 Amendment No. 1
February 18, 2016
The Exchange proposes an amendment to SR-BATS-2015-105.
SR-BATS-2015-105
December 18, 2015
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust.
SR-BATS-2015-102 Amendment No. 2
February 5, 2016
The Exchange proposes an amendment to SR-BATS-2015-102.
SR-BATS-2015-102
November 13, 2015
The Exchange proposes a rule change to adopt Rule 11.27 regarding the data collection requirements of the Tick Size Pilot Program.
SR-BATS-2015-101 Amendment No. 1
November 17, 2015
The Exchange proposes an amendment to SR-BATS-2015-101.
SR-BATS-2015-101
November 9, 2015
The Exchange proposes to adopt new Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit Disruptive Quoting and Trading Activity.
SR-BATS-2015-100 Amendment No. 6
July 21, 2016
The Exchange proposes a sixth amendment to SR-BATS-2015-100.
SR-BATS-2015-100 Amendment No. 5
June 3, 2016
The Exchange proposes a fifth amendment to SR-BATS-2015-100.
SR-BATS-2015-100 Amendment No. 4
February 17, 2016
The Exchange proposes a fourth amendment to SR-BATS-2015-100.
SR-BATS-2015-100 Amendment No. 3
February 11, 2016
The Exchange proposes a third amendment to SR-BATS-2015-100.
SR-BATS-2015-100 Amendment No. 1
February 10, 2016
The Exchange proposes an amendment to SR-BATS-2015-100.
SR-BATS-2015-100
November 18, 2015
The Exchange proposes a rule change to amend BATS Rule 14.11(i) to adopt Generic Listing Standards for Managed Fund Shares.
SR-BATS-2015-09
January 30, 2015
BATS Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.
SR-BATS-2015-08
January 22, 2015
Amendments to the fee schedule to adopt an Options Regulatory Fee (ORF), effective February 2, 2015.
SR-BATS-2015-07
January 22, 2015
BATS Exchange, Inc. proposes to amend Rules 2.5(c)(4) and 11.5 to harmonize with EDGA and EDGX Rules, its membership requirements applicable to clearing agencies that clear transactions for members.
SR-BATS-2015-06
January 22, 2015
BATS Exchange, Inc. proposes to amend the fees applicable to securities listed on its Exchange pursuant to Rule 14.13.
SR-BATS-2015-05
January 14, 2015
BATS Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.
SR-BATS-2015-04
January 7, 2015
BATS Exchange, Inc. proposed to clarify the use of certain data feeds.
SR-BATS-2015-02
January 2, 2015
Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
SR-BATS-2015-01
January 2, 2015
Amendments to the fee schedule of BATS Exchange, Inc.