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

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SR-CboeBZX-2024-026: April 15, 2024; The Exchange proposes to amend Rule 14.11(l).
SR-CboeBZX-2024-018: February 22, 2024; The Exchange proposes to list and trade shares of the Franklin Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2024-007: January 25, 2024; The Exchange proposes to amend the definition of Retail Order, and codify interps and policies regarding permissible uses of algorithms by RMOs.
SR-CboeBZX-2024-006: January 8, 2024; The Exchange proposes to amend Rule 11.9(c)(6) and 11.13(a)(4)(D) to permit the use of BZX Post Only Orders at prices below $1.00.
SR-CboeBZX-2024-004: January 2, 2024; The Exchange proposes to adopt a CAT Fee Schedule.
SR-CboeBZX-2023-101: December 5, 2023; The Exchange proposes to list and trade shares of the Pando Asset Spot Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-095 Amendment No. 1: March 18, 2024; The Exchange proposes an amendment to SR-CboeBZX-2023-095.
SR-CboeBZX-2023-095: November 17, 2023; The Exchange proposes to list and trade shares of the Fidelity Ethereum Fund, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-087: October 20, 2023; The Exchange proposes to list and trade shares of the Invesco Galaxy Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-070 Amendment No. 1: February 14, 2024; The Exchange proposes an amendment to SR-CboeBZX-2023-070.
SR-CboeBZX-2023-070: September 6, 2023; The Exchange proposes to list and trade shares of the ARK 21Shares Ethereum ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-069 Amendment No. 1: February 16, 2024; The Exchange proposes an amendment to SR-CboeBZX-2023-069.
SR-CboeBZX-2023-069: September 6, 2023; The Exchange proposes to list and trade shares of the VanEck Ethereum ETF, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-062: August 14, 2023; The Exchange proposes to amend the initial period after commencement of trading of a series of ETF Shares on the Exchange as it relates to the holders of record and/or beneficial holders, as provided in Exchange Rule 14.11(l).

Approved and Immediately Effective Rule Changes

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SR-CboeBZX-2017-023 Amendment No. 2: April 4, 2018; The Exchange proposes a second amendment to SR-CboeBZX-2017-023.
SR-CboeBZX-2017-023 Amendment No. 1: February 28, 2018; The Exchange proposes an amendment to SR-CboeBZX-2017-023.
SR-CboeBZX-2017-023: December 21, 2017; The Exchange proposes a rule change to list and trade shares of the iShares Gold Exposure ETF, a series of the iShares U.S. ETF Trust, under Exchange Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2017-022: December 21, 2017; The Exchange proposed a rule change to update Rule 21.1, Rule 21.10, and Rule 21.17 to make modifications to the Exchange's rules and functionality applicable to the Exchange's options platform in preparation for the technology migration of the Exchange's affiliated options exchanges onto the same technology as the Exchange.
SR-CboeBZX-2017-019: December 28, 2017; The Exchange proposed a rule change related to market data fees.
SR-CboeBZX-2017-018: December 27, 2017; The Exchange proposes to amend the Market Data section of its fee schedule to introduce new fees for Non-Display Usage of BZX Depth.
SR-CboeBZX-2017-016: December 14, 2017; The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-CboeBZX-2017-015: December 15, 2017; The Exchange proposes a rule change to amend the definition of "Non-Professional User" in the market data section of the equity options platform fee schedule.
SR-CboeBZX-2017-014: December 12, 2017; The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2017-012 Amendment No. 2: February 13, 2018; The Exchange proposes a second amendment to SR-CboeBZX-2017-012.
SR-CboeBZX-2017-012 Amendment No. 1: January 31, 2018; The Exchange proposes an amendment to SR-CboeBZX-2017-012.
SR-CboeBZX-2017-012: December 7, 2017; The Exchange proposes a rule change to list and trade shares of the LHA Market State Tactical U.S. Equity ETF, a series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2017-011 Amendment No. 1: March 6, 2018; The Exchange proposes an amendment to SR-CboeBZX-2017-011.
SR-CboeBZX-2017-011: December 1, 2017; The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(3) the common shares of beneficial interest of the PowerShares Income Builder Portfolio, a series of PowerShares Exchange-Traded Fund Trust II.
SR-CboeBZX-2017-009: November 30, 2017; The Exchange proposes a rule change related to fees.
SR-CboeBZX-2017-008: November 29, 2017; The Exchange proposes a rule change to amend Exchange Rule 11.9, Primary Pegged Order.
SR-CboeBZX-2017-007: November 28, 2017; The Exchange proposes to amend the Market Data section of its fee schedule applicable to its equity options platform to adopt fees for receipt of historical market data.
SR-CboeBZX-2017-005 Amendment No. 2: August 6, 2018; The Exchange proposes a second amendment to SR-CboeBZX-2017-005.
SR-CboeBZX-2017-005 Amendment No. 1: April 13, 2018; The Exchange proposes an amendment to SR-CboeBZX-2017-005.
SR-CboeBZX-2017-005: November 21, 2017; The Exchange proposes to list and trade shares of a series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.
SR-CboeBZX-2017-002: November 15, 2017; The Exchange proposes a rule change to specify the strike increment regime for IVV, SPY, and DIA options.
SR-CboeBZX-2017-001: November 15, 2017; The Exchange proposed a rule change to amend the Exchange's governance documents.
SR-BatsBZX-2017-76: November 2, 2017; The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports as they apply to the Exchange's equity options platform.
SR-BatsBZX-2017-75: November 2, 2017; The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports.
SR-BatsBZX-2017-72 Amendment No. 4: July 18, 2018; The Exchange proposes a fourth amendment to SR-BatsBZX-2017-72.
SR-BatsBZX-2017-72 Amendment No. 3: July 12, 2018; The Exchange proposes a third amendment to SR-BatsBZX-2017-72.
SR-BatsBZX-2017-72 Amendment No. 1: April 4, 2018; The Exchange proposes an amendment to SR-BatsBZX-2017-72.
SR-BatsBZX-2017-72: November 7, 2017; The Exchange proposes to list and trade shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series and Innovator S&P 500 Ultra ETF Series under the Innovator ETFs Trust.
SR-BatsBZX-2017-71: October 20, 2017; The Exchange proposes to update Rule 21.1, Definitions, to adopt a new Time in Force applicable to the Exchange's equity options platform.
SR-BatsBZX-2017-70: October 16, 2017; The Exchange proposes a rule change to reflect in the Exchange’s governing documents, rulebook and fees schedules, a non substantive corporate branding change, including changes to the Company’s name, the Intermediate’s name, and the Exchange’s name.
SR-BatsBZX-2017-69: October 13, 2017; The Exchange proposes a rule change relating to its Amended and Restated Certificate of Incorporation.
SR-BatsBZX-2017-68: October 10, 2017; The Exchange proposes a rule change to Rule 21.1, Definitions, to modify Stop Orders and Stop Limit Orders applicable to the Exchange's equity options platform in preparation for the C2 Options Exchange, Incorporated technology migration.
SR-BatsBZX-2017-67: October 10, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-65: October 2, 2017; The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.
SR-BatsBZX-2017-63: September 28, 2017; The Exchange proposes a rule change to extend the date on which the Exchange will adopt rule changes to add additional continued listing standards for ETPs.
SR-BatsBZX-2017-62: September 26, 2017; The Exchnage proposed a rule change to Rule 11.9, Orders and Modifiers, to add new optional functionality to Minimum Quantity Orders.
SR-BatsBZX-2017-61: September 29, 2017; The Exchange proposed a rule change to provide interpretation with respect to the meaning, administration, or enforcement of Rule 14.11, Other Securities and 14.12, Failure to Meet Listing Standards.
SR-BatsBZX-2017-58-Amendment No. 1: December 29, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-58.
SR-BatsBZX-2017-58 Amendment No. 2: January 2, 2018; The Exchange proposes a second amendment to SR-BatsBZX-2017-58.
SR-BatsBZX-2017-58: September 19, 2017; The Exchange proposed a rule change to list and trade shares of the CBOE S&P 500 Dividend Aristocrats Target Income Index ETF under the ETF Series Solutions Trust, under Rule 14.11(c)(3), Index Fund Shares.
SR-BatsBZX-2017-57: September 6, 2017; The Exchange proposes a rule change to amend Rule 11.13, Order Execution and Routing, to account for IEX as a primary listing market and to amend certain rules to reflect the name change of NYSE MKT to NYSE American.
SR-BatsBZX-2017-55: August 23, 2017; The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated.
SR-BatsBZX-2017-54 Amendment No.4: January 11, 2018; The Exchange proposes a fourth amendment to SR-BatsBZX-2017-54.
SR-BatsBZX-2017-54 Amendment No. 3: January 9, 2018; The Exchange proposes a third amendment to SR-BatsBZX-2017-54.
SR-BatsBZX-2017-54 Amendment No. 2: December 15, 2017; The Exchange proposes a second amendment to SR-BatsBZX-2017-54.
SR-BatsBZX-2017-54: September 7, 2017; The Exchange proposes to list and trade shares of the iShares Inflation Hedged Corporate Bond ETF, a series of the iShares U.S. ETF Trust, under Rule 14.11(i), Managed Fund Shares.
SR-BatsBZX-2017-53: August 18, 2017; The Exchange proposes a rule change to list and trade shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a series of the WisdomTree Trust, under Rule 14.11(c)(3), Index Fund Shares.
SR-BatsBZX-2017-52: August 2, 2017; The Exchange proposes a rule change to amend Rule 21.2, Days and Hours of Business.
SR-BatsBZX-2017-51: July 31, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-48: July 25, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-47: July 24, 2017; The Exchange proposes a rule change related to fees as they apply to Equity and the Equity Options Platforms.
SR-BatsBZX-2017-46 Amendment No. 3: October 24, 2017; The Exchange proposes a third amendment to SR-BatsBZX-2017-46.
SR-BatsBZX-2017-46 Amendment No. 2: October 6, 2017; The Exchange proposes a second amendment to SR-BatsBZX-2017-46.
SR-BatsBZX-2017-46 Amendment No. 1: August 31, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-46.
SR-BatsBZX-2017-46: July 10, 2017; The Exchange proposes to list and trade shares of the Aptus Fortified Value ETF, a series of ETF Series Solutions, under Rule 14.11(c), Index Fund Shares.
SR-BatsBZX-2017-45: July 3, 2017; The Exchange proposed a rule change to BZX Rule 14.13, Company Listing Fees, to amend the fees applicable to securities listed on the Exchange.
SR-BatsBZX-2017-44: July 12, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-43: June 16, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-42: June 1, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-41: June 1, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-40: June 13, 2017; The Exchange proposes a rule change to Rule 21.5 of Bats BZX Exchange, Inc. to extend through December 31, 2017, the Penny Pilot Program in options classes in certain issues.
SR-BatsBZX-2017-39 Amendment No. 1: August 24, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-39.
SR-BatsBZX-2017-39: May 23, 2017; The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.
SR-BatsBZX-2017-38 Amendment No. 2: December 7, 2017; The Exchange proposes a second amendment to SR-BatsBZX-2017-38.
SR-BatsBZX-2017-38 Amendment No. 1: November 3, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-38.
SR-BatsBZX-2017-38: May 16, 2017; The Exchange proposes to amend fees for its Equities Platform and to amend fees for its Options Platform to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail.
SR-BatsBZX-2017-36: May 17, 2017; The Exchange proposes to amend the Market Data section of its fee schedule to adopt fees for a new market data product called the ETF Implied Liquidity Feed.
SR-BatsBZX-2017-35: May 5, 2017; The Exchange proposes to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors. Rule 20.6 relates to the adjustment and nullification of transactions that occur on the Exchange's equity options platform.
SR-BatsBZX-2017-34 Amendment No. 2: October 14, 2018; The Exchange proposes a second amendment to SR-BatsBZX-2017-34.
SR-BatsBZX-2017-34 Amendment No. 1: November 30, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-34.
SR-BatsBZX-2017-34: May 5, 2017; The Exchange proposes to introduce Bats Market Close, a closing match process for non-BZX Listed Securities under new Exchange Rule 11.28.
SR-BatsBZX-2017-31: May 4, 2017; The Exchange proposes a change to Rule 11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
SR-BatsBZX-2017-29: May 1, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-28: May 1, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-26: May 12, 2017; The Exchange proposes a change to Rule 14.11, Other Securities, to provide for the inclusion of cash in an index underlying a series of Index Fund Shares.
SR-BatsBZX-2017-25: April 28, 2017; The Exchange proposes a change to Rule 11.22, Data Products, to adopt a new market data product known as the ETF Implied Liquidity Feed.
SR-BatsBZX-2017-24: April 25, 2017; The Exchange proposes a rule change to rule 11.15 of Bats BZX Exchange, Inc. to authorize the Exchange to share any of the user’s risk settings with the clearing member that clears transactions on behalf of the user.
SR-BatsBZX-2017-23: April 12, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-22: April 12, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-19: March 8, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-17: March 1, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-15: February 28, 2017; The Exchange filed a proposal to amend Rule11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
SR-BatsBZX-2017-14 Amendment No. 5: April 24, 2017; The Exchange proposes a fifth amendment to SR-BatsBZX-2017-14.
SR-BatsBZX-2017-14 Amendment No. 4: April 19, 2017; The Exchange proposes a fourth amendment to SR-BatsBZX-2017-14.
SR-BatsBZX-2017-14 Amendment No. 3: April 7, 2017; The Exchange proposes a third amendment to SR-BatsBZX-2017-14.
SR-BatsBZX-2017-14 Amendment No. 2: March 30, 2017; The Exchange proposes a second amendment to SR-BatsBZX-2017-14.
SR-BatsBZX-2017-14: February 17, 2017; The Exchange proposes a rule change to list and trade shares of the Amplify YieldShares Oil Hedged MLP Fund, a series of the Amplify ETF Trust , under Rule 14.11(i), Managed Fund Shares.
SR-BatsBZX-2017-13: February 8, 2017; The Exchange proposes a rule change to amend its Option Regulatory Fees as they relate to the equity options platform.
SR-BatsBZX-2017-12: February 1, 2017; The Exchange proposes a rule change related to fees as they apply to the Equity Options Platform.
SR-BatsBZX-2017-11: February 1, 2017; The Exchange proposes a rule change related to fees.
SR-BatsBZX-2017-10 Amendment No. 2: March 30, 2017; The Exchange proposes a second amendment to SR-BatsBZX-2017-10.
SR-BatsBZX-2017-10 Amendment No. 1: March 28, 2017; The Exchange proposes an amendment to SR-BatsBZX-2017-10.
SR-BatsBZX-2017-10: January 31, 2017; The Exchange proposes a rule change to list and trade shares of the iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust under Bats Rule 14.11(i), Managed Fund Shares.
SR-BatsBZX-2017-08: January 30, 2017; The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.
SR-BatsBZX-2017-05: January 20, 2017; The Exchange proposes a rule change to adopt a new type of logical port known as a Purge Port.
SR-BatsBZX-2017-03: January 13, 2017; The Exchange proposes to convert the listing of the shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, both of which are a Series of the SSGA Active Trust, pursuant to BZX Rule 14.11(i), Managed Fund Shares.
SR-BatsBZX-2017-01: January 3, 2017; The Exchange proposes rule changes to fees as they apply to the Equity Options Platform.