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-CboeBZX-2018-096
December 26, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-095
December 21, 2018
The Exchange proposes to replace the current logical port fee with a new match capacity fee.
SR-CboeBZX-2018-094
December 20, 2018
The Exchange proposes a rule change to list and trade under BZX Rule 14.11(c)(4) shares of the VanEck Vectors Short High-Yield Municipal Index ETF of the VanEck Vectors ETF Trust.
SR-CboeBZX-2018-093
December 20, 2018
The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-CboeBZX-2018-092
December 18, 2018
The Exchange proposes to adopt definitions of ports and discontinue bulk order functionality and implement bulk message functionality.
SR-CboeBZX-2018-090
December 18, 2018
The Exchange proposes to amend the Halt Auction process.
SR-CboeBZX-2018-089
December 18, 2018
The Exchange proposes a rule change to list and trade shares from a series of funds of the VanEck Vectors ETF Trust under BZX Rule 14.11(c)(4), which governs the listing and trading of index fund shares based on fixed income securities indices.
SR-CboeBZX-2018-087
December 3, 2018
The Exchange proposes to amend the BZX Equities Fees Schedule.
SR-CboeBZX-2018-086
November 29, 2018
The Exchange proposes to amend its provision related to its Risk Monitor Mechanism.
SR-CboeBZX-2018-085
November 28, 2018
The Exchange proposes a rule change to list and trade shares of the Cambria Global Momentum ETF under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2018-084
November 23, 2018
The Exchange proposes a rule change to list up to 10 long-term options on SPY.
SR-CboeBZX-2018-083
November 13, 2018
The Exchange proposes to modify certain Routing Fees.
SR-CboeBZX-2018-082
November 6, 2018
The Exchange proposes a rule change to modify the handling of market orders to sell in no-bid series.
SR-CboeBZX-2018-079 Amendment No. 1
October 29, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-079.
SR-CboeBZX-2018-079
October 18, 2018
The Exchange proposes a rule change to establish how the BZX Official Closing Price would be determined for BZX-listed securities.
SR-CboeBZX-2018-078 Amendment No. 1
December 3, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-078.
SR-CboeBZX-2018-078
October 9, 2018
The Exchange proposes a rule change to list and trade shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, each a series of WisdomTree Trust.
SR-CboeBZX-2018-077 Amendment No. 1
February 20, 2019
The Exchange proposes an amendment to SR-CboeBZX-2018-077.
SR-CboeBZX-2018-077
November 2, 2018
The Exchange proposes a rule change to list and trade shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2018-076 Amendment No. 2
November 30, 2018
The Exchange proposes a second amendment to SR-CboeBZX-2018-076.
SR-CboeBZX-2018-076 Amendment No. 1
November 8, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-076.
SR-CboeBZX-2018-076
October 2, 2018
The Exchnage proposes a rule change to list and trade shares of the FormulaFolios Sector Rotation ETF, a series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2018-075
October 1, 2018
The Exchange proposes a rule change to add certain fees related to the listing and trading of options that overlie the Russell 2000 Index (“RUT options”).
SR-CboeBZX-2018-074
September 28, 2018
The Exchange proposes to: (1) establish Purge Ports for equities trading and amend the Interpretations and Policies to Rule 11.13, Order Execution and Routing, to reflect the proposed Purge Ports, and (2) modify the fee schedule applicable to the Exchange’s equities platform (“BZX Equities”) to identify and to set fees for Purge Ports.
SR-CboeBZX-2018-072
September 26, 2018
The Exchange proposes a rule change to list and trade shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2018-071
September 14, 2018
The Exchange proposes a rule change relating to the Securities Industry Essentials ("SIE") Examination.
SR-CboeBZX-2018-070
August 30, 2018
The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust.
SR-CboeBZX-2018-069
August 27, 2018
The Exchange proposes a rule change to delete obsolete language regarding the timing of listing long-term options series.
SR-CboeBZX-2018-066
October 11, 2018
The Exchange proposes to permit the listing and trading of P.M.-settled series on certain broad-based index options on a pilot basis.
SR-CboeBZX-2018-065
August 16, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-064
August 16, 2018
The Exhange proposes to amend certain representations made in a proposed rule change previously filed with the Commission pursuant to Rule 19b-4 relating to the Innovator S&P 500 Buffer ETFs.
SR-CboeBZX-2018-063
August 10, 2018
The Exchange proposes a rule chnage to modify the fee schedule applicable to the Exchange's options platform to amend the rate of its Options Regulatory Fee.
SR-CboeBZX-2018-061
August 9, 2018
The Exchange proposes a rule change to implement changes to its fee schedule for its equity options platform to clarify how the Options Regulatory Fee is assessed and collected.
SR-CboeBZX-2018-060
August 9, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-058 Amendment No. 2
September 24, 2018
The Exchange proposes a second amendment to SR-CboeBZX-2018-058.
SR-CboeBZX-2018-058 Amendment No. 1
September 18, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-058.
SR-CboeBZX-2018-058
August 2, 2018
The Exchange proposes a rule change to permit the listing and trading of options that overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average.
SR-CboeBZX-2018-057
August 1, 2018
The Exchange proposes a rule change to amend Rule 1.5(c), which defines the After Hours Trading Session, to allow trading until 8:00 p.m. ET.
SR-CboeBZX-2018-051
July 11, 2018
The Exchange proposes a rule change to amend the operation of the Super Aggressive order instruction under paragraph (b)(4)(C) of Exchange Rule 11.13.
SR-CboeBZX-2018-050
July 5, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-049
June 26, 2018
The Exchange proposes to extend the Penny Pilot Program.
SR-CboeBZX-2018-047 Amendment No. 4
October 8, 2018
The Exchange proposes a fourth amendment to SR-CboeBZX-2018-047.
SR-CboeBZX-2018-047 Amendment No. 2
September 24, 2018
The Exchange proposes a second amendment to SR-CboeBZX-2018-047.
SR-CboeBZX-2018-047
June 21, 2018
The Exchange proposes to amend its listing rules in Rule 14.8, General Listing Requirements - Tier I, in order to add listing standards applicable to Closed-End Funds.
SR-CboeBZX-2018-046
June 21, 2018
The Exchange proposes to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13, Company Listing Fees.
SR-CboeBZX-2018-042
June 18, 2018
The Exchange proposes to add a new optional order type modifier to be known as Non-Displayed Swap.
SR-CboeBZX-2018-039
June 1, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-038
June 1, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-037
June 1, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-036
May 24, 2018
The Exchange filed a proposal to amend a representation made in a proposed rule change previously approved by the Commission relating to the listing and trading of the iShares Inflation Hedged Corporate Bond ETF.
SR-CboeBZX-2018-035
May 14, 2018
The Exchange proposed a rule change to amend Rule 2.12 to add Cboe Options and C2 Options to the list of affiliated exchanges with respect to Cboe Trading’s role as an inbound router to Cboe exchanges.
SR-CboeBZX-2018-034
May 9, 2018
The Exchange proposes to amend a representation made in a rule change previously approved by the Commission relating to the listing and trading of the iShares Gold Strategy ETF, a series of the iShares U.S. ETF Trust.
SR-CboeBZX-2018-033
May 3, 2018
The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares Long-Term National Muni Bond ETF of iShares Trust.
SR-CboeBZX-2018-032
May 1, 2018
The Exchange filed a proposal to amend a representation made in a proposed rule change previously filed with the Commission pursuant to Rule 19b-4 relating to the Cambria Sovereign Bond ETF f/k/a Cambria Sovereign High Yield Bond ETF.
SR-CboeBZX-2018-031
May 1, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-030
May 1, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-029
April 17, 2018
The Exchange proposes a rule change to allow the Horizons Cadence Hedged US Dividend Yield ETF, a series of the Horizons ETF Trust I, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2018-027
April 5, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-026
April 2, 2018
The Exchange proposes to modify Rule 21.9 to modify the description of two existing routing strategies and to adopt a new routing strategy.
SR-CboeBZX-2018-025
March 29, 2018
The Exchange proposes a rule change to modify criteria for listing an option on an underlying covered security.
SR-CboeBZX-2018-023
March 29, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-022
March 16, 2018
The Exchange proposes to amend paragraph (c)(5) of Exchange Rule 11.9 describing the operation of Minimum Quantity Orders.
SR-CboeBZX-2018-020
March 8, 2018
The Exchange proposes to amend its listing rules under Rule 14.11(d)(2)(K)(i) related to Equity Index-Linked Securities.
SR-CboeBZX-2018-019 Amendment No. 3
August 14, 2018
The Exchange proposes a third amendment to SR-CboeBZX-2018-019.
SR-CboeBZX-2018-019 Amendment No. 2
May 17, 2018
The Exchange proposes a second amendment to SR-CboeBZX-2018-019.
SR-CboeBZX-2018-019 Amendment No. 1
April 25, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-019.
SR-CboeBZX-2018-019
March 2, 2018
The Exchange proposes to list and trade shares of eighteen different series of the Trust under Rule 14.11(i), which governs the listing and trading of Managed Fund Shares.
SR-CboeBZX-2018-017
March 6, 2018
The Exchange proposes to amend the Market Data section of the fee schedule applicable to its equity options platform .
SR-CboeBZX-2018-016
February 28, 2018
The Exchange proposes to delist the shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from listing pursuant to Rule 14.11(i) and approval orders issued by the Commission as a series of Managed Fund Shares, and to re-list pursuant to Rule 14.11(c)(4) as a series of Index Fund Shares.
SR-CboeBZX-2018-015
March 1, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-013
February 20, 2018
The Exchange proposes to introduce a new data feed on its equity options platform to be known as BZX Options Top.
SR-CboeBZX-2018-012
February 15, 2018
The Exchange proposes a rule change to permit listing of Monday SPY Expiration options.
SR-CboeBZX-2018-011
February 6, 2018
The Exchange filed a rule change to temporarily amend Rule 11.23(d)(2)(E) relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF.
SR-CboeBZX-2018-009
February 1, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-008
January 31, 2018
The Exchange proposes a rule change related to fees as they apply to the equity options platform.
SR-CboeBZX-2018-007
January 31, 2018
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2018-006
January 25, 2018
The Exchange proposes to update Rule 21.1, definitions, to adopt a new Time in Force and to modify an existing Time in Force applicable to the Exchange's equity options platform.
SR-CboeBZX-2018-005 Amendment No. 1
April 18, 2018
The Exchange proposes an amendment to SR-CboeBZX-2018-005.
SR-CboeBZX-2018-005
January 10, 2018
The Exchange proposes to list and trade shares of the Cboe Vest S&P 500 Premium Income ETF, a series of ETF Series Solutions, under Rule 14.11(c)(5), Index Fund Shares.
SR-CboeBZX-2018-003
January 8, 2018
The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non-Professional User" with that of its affiliates.
SR-CboeBZX-2018-002
January 17, 2018
The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of "Non -Professional User" with that of its affiliates.