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-2019-109
December 23, 2019
The Exchange proposes a rule change to list shares of the ARK Genomic Revolution ETF and ARK Autonomous Technology and Robotics ETF under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-108
December 13, 2019
The Exchange proposes to amend Interpretation and Policy .01 of Rule 2.4 to allow the Exchange to provide annual notification to individual Members that are subject to paragraph (b) of Rule 2.4.
SR-CboeBZX-2019-107 Amendment No. 5
May 18, 2020
The Exchange proposes a fifth amendment to SR-CboeBZX-2019-107.
SR-CboeBZX-2019-107 Amendment No. 4
May 12, 2020
The Exchange proposes a fourth amendment to SR-CboeBZX-2019-107.
SR-CboeBZX-2019-107 Amendment No. 3
April 7, 2020
The Exchange proposes a third amendment to SR-CboeBZX-2019-107.
SR-CboeBZX-2019-107 Amendment No. 1
February 12, 2020
The Exchange proposes an amendment to SR-CboeBZX-2019-107.
SR-CboeBZX-2019-107
May 18, 2020
The Exchange proposes a rule change to adopt Rule 14.11(m), Portfolio Fund Shares, and to list and trade shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, each a series of the Fidelity Beach Street Trust, under such proposed Rule 14.11(m).
SR-CboeBZX-2019-106
December 10, 2019
The Exchange proposes to amend Rule 5.4 by extending the Penny Pilot Program through June 30, 2020.
SR-CboeBZX-2019-103
December 5, 2019
The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
SR-CboeBZX-2019-102 Amendment No. 3
February 19, 2020
The Exchange proposes a third amendment to SR-CboeBZX-2019-102.
SR-CboeBZX-2019-102 Amendment No. 2
February 13, 2020
The Exchange proposes a second amendment to SR-CboeBZX-2019-102.
SR-CboeBZX-2019-102 Amendment No. 1
December 16, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-102.
SR-CboeBZX-2019-102
November 27, 2019
The Exchange proposes a rule change to list and trade shares of the Clearbridge Focus Value ETF under currently proposed Rule 14.11(k).
SR-CboeBZX-2019-100
November 21, 2019
The Exchange proposes to remove its Partial Post Only at Limit Order type.
SR-CboeBZX-2019-099
November 20, 2019
The Exchange proposes to allow the Hartford Short Duration ETF (the “Fund”), a series of Hartford Funds Exchange-Traded Trust (the “Trust”), to hold certain fixed income instruments in a manner that does not comply with Rule 14.11(i) (“Managed Fund Shares”).
SR-CboeBZX-2019-098
November 19, 2019
The Exchange proposes to amend paragraph (a) of Rule 11.1 to allow the Exchange to accept Stop Orders entered between 6:00 and 7:00 a.m. Eastern Time.
SR-CboeBZX-2019-097 Amendment No. 2
March 19, 2020
The Exchange proposes a second amendment to SR-CboeBZX-2019-097.
SR-CboeBZX-2019-097 Amendment No. 1
February 12, 2020
The Exchange proposes an amendment to SR-CboeBZX-2019-097.
SR-CboeBZX-2019-097
November 15, 2019
The Exchange proposes a rule change to adopt BZX Rule 14.11(l) to permit the listing and trading of Exchange-Traded Fund Shares that are permitted to operate in reliance on Rule 6c-11 under the Investment Company Act of 1940.
SR-CboeBZX-2019-096
November 12, 2019
The Exchange proposes to amend the fat finger check in Rule 21.17 as it applies to Stop Limit Orders.
SR-CboeBZX-2019-095
November 12, 2019
The Exchange proposes to amend the definition of the Final Last Sale Eligible Trade (“FLSET”) such that odd lot trades executed on BZX would not be eligible to establish the FLSET for a security.
SR-CboeBZX-2019-094
November 1, 2019
The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. using the ALLB, TRIM, or SLIM routing strategy.
SR-CboeBZX-2019-093
October 29, 2019
The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Open-Close Data.
SR-CboeBZX-2019-090
October 17, 2019
The Exchange proposes to make permanent an options market rule linked to the equity market Plan to Address Extraordinary Market Volatility.
SR-CboeBZX-2019-089
October 17, 2019
The Exchange proposes to extend the current pilot program related to BZX Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2020.
SR-CboeBZX-2019-088
October 15, 2019
The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
SR-CboeBZX-2019-087
October 1, 2019
The Exchange proposes to amend the fee schedule to institute a Derived Data API Service.
SR-CboeBZX-2019-084
September 23, 2019
The Exchange proposes to list and trade shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs under the First Trust Exchange-Traded Fund VIII (the “Trust”), under Rule 14.11(i) (“Managed Fund Shares”).
SR-CboeBZX-2019-083
September 16, 2019
The Exchange proposes a rule change to allow the Aptus Collared Income Opportunity ETF, a series of ETF Series Solutions, to hold certain instruments in a manner that does not necessarily comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-082
September 10, 2019
The Exchange proposes a rule change to waive the fees for a single 1 gigabyte physical port in its secondary data center for Members that are registered as an LMM on the Exchange for the first twelve months following the Member establishing physical connectivity to the secondary data center.
SR-CboeBZX-2019-081
August 30, 2019
The Exchange proposes a rule change to amend the fees applicable to securities listed on the Exchange, which areset forth in BZX Rule 14.13, Company Listing Fees.
SR-CboeBZX-2019-079
August 21, 2019
The Exchange proposes to introduce a new data product on its equity options platform to be known as Open-Close Data.
SR-CboeBZX-2019-077
August 13, 2019
The Exchange proposes a rule change to list and trade shares of the Innovator S&P 500 Total Buffer ETF Series under the Innovator ETFs Trust, under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-075 Amendment No. 1
August 20, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-075.
SR-CboeBZX-2019-075
August 7, 2019
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares. Specifically relating to generic listing standards for Managed Fund Shares applicable to holdings in fixed income securities.
SR-CboeBZX-2019-073
August 6, 2019
The Exchange proposes to make three changes to Rule 14.3(e), Additional Requirements for Securities Issued by the Exchange or its Affiliates.
SR-CboeBZX-2019-067 Amendment No. 3
September 24, 2019
The Exchange proposes a third amendment to SR-CboeBZX-2019-067.
SR-CboeBZX-2019-067 Amendment No. 2
September 19, 2019
The Exchange proposes a second amendment to SR-CboeBZX-2019-067.
SR-CboeBZX-2019-067 Amendment No. 1
August 29, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-067.
SR-CboeBZX-2019-067
July 18, 2019
The Exchange proposes a rule change to list and trade shares of the Innovator-100 Buffer, Power Buffer, and Ultra Buffer ETF Series and the Innovator Russell 2000 Buffer, Power Buffer, and Ultra Buffer ETF Series under the Innovator ETFs Trust under Rule 14.11(i) (“Managed Fund Shares”).
SR-CboeBZX-2019-066
July 17, 2019
The Exchange proposes to update Rule 16.1 to include the definition of capacity, as well as amend its fee schedule to reflect this update.
SR-CboeBZX-2019-065
July 12, 2019
The Exchange proposes to amend the BZX Equities Fee Schedule.
SR-CboeBZX-2019-064
July 11, 2019
The Exchange proposes to amend the BZX Equities Fee Schedule.
SR-CboeBZX-2019-060
June 25, 2019
The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGX Exchange, Inc.
SR-CboeBZX-2019-059
June 19, 2019
The Exchange proposes to adopt a new Step-Up Tier.
SR-CboeBZX-2019-058
June 14, 2019
The Exchange proposes to amend the fee schedule applicable to its equities trading platform to replace the rebates applicable to Lead Market Makers in BZX-listed securities with daily incentives that are directly tied to meeting market quality metrics without regard to transactions executed.
SR-CboeBZX-2019-057 Amendment No. 2
February 11, 2020
The Exchange proposes a second amendment to SR-CboeBZX-2019-057.
SR-CboeBZX-2019-057 Amendment No. 1
December 17, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-057.
SR-CboeBZX-2019-057
June 5, 2019
The Exchange proposes a rule change to list and trade shares of the following under currently proposed Rule 14.11(k): American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF.
SR-CboeBZX-2019-055 Amendment No. 1
June 7, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-055.
SR-CboeBZX-2019-055
June 4, 2019
The Exchange proposes a rule change to allow the Cambria Tail Risk ETF, a series of the Cambria ETF Trust, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-052
June 3, 2019
The Exchange proposes to allow the Exchange to determine the availability of order types and times-in-force.
SR-CboeBZX-2019-051
May 31, 2019
The Exchange proposes a rule change to extend the Penny Pilot Program.
SR-CboeBZX-2019-050
June 6, 2019
The Exchange proposes to adopt limit-on-close and market-on-close orders.
SR-CboeBZX-2019-049
June 4, 2019
The Exchange proposes to allow for a User to elect that a bulk message opt-out of the display-price sliding process, as well as be subject to the lock-only display-price sliding process.
SR-CboeBZX-2019-047 Amendment No. 5
December 4, 2019
The Exchange proposes a fifth amendment to SR-CboeBZX-2019-047.
SR-CboeBZX-2019-047 Amendment No. 4
November 21, 2019
The Exchange proposes a fourth amendment to SR-CboeBZX-2019-047.
SR-CboeBZX-2019-047 Amendment No. 3
November 6, 2019
The Exchange proposes a third amendment to SR-CboeBZX-2019-047.
SR-CboeBZX-2019-047 Amendment No. 2
September 23, 2019
The Exchange proposes a second amendment to SR-CboeBZX-2019-047.
SR-CboeBZX-2019-047 Amendment No 1
September 20, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-047.
SR-CboeBZX-2019-047
June 5, 2019
The Exchange proposes a rule change to adopt BZX Rule 14.11(k) to permit the listing and trading of Managed Portfolio Shares, which are shares of actively managed exchange-traded funds for which the portfolio is disclosed in accordance with standard mutual fund disclosure rules.
SR-CboeBZX-2019-046
May 22, 2019
The Exchange proposes to amend Rule 21.7.
SR-CboeBZX-2019-045
May 16, 2019
The Exchange proposes to allow for $1 strike prices on additional options on certain Index Fund Shares.
SR-CboeBZX-2019-043
May 7, 2019
The Exchange proposes to delay the operative date of rule change pursuant to SR-CboeBZX-2019-025.
SR-CboeBZX-2019-042
May 3, 2019
The Exchange proposes a rule change 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-2019-040
May 1, 2019
The Exchange proposes to amend the BZX Equities fee schedule to correct an inadvertent drafting error introduced in a previous rule filing.
SR-CboeBZX-2019-039
May 1, 2019
The Exchange proposes to amend the fee schedule as it relates to pricing for the use of the TRIM routing strategy.
SR-CboeBZX-2019-038
April 30, 2019
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2019-037
April 29, 2019
The Exchange proposes to amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to delete references to the TRIM2 and SWPB routing options.
SR-CboeBZX-2019-035
April 26, 2019
The Exchange proposes a rule change to to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds 2021, 2022, 2023, 2024 & 2025 Term High Yield and Income ETFs of iShares Trust.
SR-CboeBZX-2019-034
May 2, 2019
The Exchange proposed a rule change to allow the Main Sector Rotation ETF, a series of the Northern Lights Fund Trust IV, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-032
April 25, 2019
The Exchange proposes a rule change to list and trade under BZX Rule 14.11(d)(2)(K)(i) shares of the iPath S&P MLP ETN issued by Barclays Bank PLC.
SR-CboeBZX-2019-031
July 31, 2019
The Exchange proposes to clarify portions of rule 14.11 (Other Securities) related to the applicability of certain disclosure requirements.
SR-CboeBZX-2019-030
April 17, 2019
The Exchange proposes to replace obsolete terminology.
SR-CboeBZX-2019-028
April 12, 2019
The Exchange proposes to extend the pilot program related to BZX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.
SR-CboeBZX-2019-026
April 9, 2019
The Exchange proposes to extend the pilot for certain options market rules that are linked to the LULD Plan.
SR-CboeBZX-2019-025
April 8, 2019
The Exchange proposes to amend Chapter 22 of the Exchange’s rulebook.
SR-CboeBZX-2019-024
April 3, 2019
The Exchange proposes to modify its fee schedule.
SR-CboeBZX-2019-023 Amendment No. 1
October 31, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-023.
SR-CboeBZX-2019-023
April 3, 2019
The Exchange proposes a rule change to amend Exchange Rule 14.11(c), Index Fund Shares, to adopt generic listing standards for Index Fund Shares based on an index of municipal bond securities.
SR-CboeBZX-2019-022
April 2, 2019
The Exchange proposes to extend the current pilot program related to Rule 11.17, Clearly Erroneous Executions, to the close of business on October 18, 2019.
SR-CboeBZX-2019-021
March 29, 2019
The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
SR-CboeBZX-2019-020
March 22, 2019
The Exchange proposes to amend Rule 21.5, Interpretation and Policy .01 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.
SR-CboeBZX-2019-019
March 15, 2019
The Exchange proposes to list and trade shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund pursuant to Rule 14.11(I).
SR-CboeBZX-2019-017
March 8, 2019
The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds Dec 2026 Term Muni Bond ETF, iShares iBonds Dec 2027 Term Muni Bond ETF, and iShares iBonds Dec 2028 Term Muni Bond ETF of iShares Trust.
SR-CboeBZX-2019-016 Amendment No. 1
March 28, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-016.
SR-CboeBZX-2019-016
March 5, 2019
The Exchange proposes a rule change to allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2019-014
March 1, 2019
The Exchange proposes a rule change related to fees.
SR-CboeBZX-2019-013
February 21, 2019
The Exchange proposes to allow the addition of new series of options on an individual stock until the close of trading on the business day prior to expiration in unusual market conditions.
SR-CboeBZX-2019-012
February 21, 2019
The Exchange proposes to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
SR-CboeBZX-2019-009
February 11, 2019
The Exchange proposes a rule change to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
SR-CboeBZX-2019-008
February 5, 2019
The Exchange proposes a rule change to clarify that BZX’s Halt Auction process is applicable only to Halt Auctions following a Regulatory Halt.
SR-CboeBZX-2019-006
February 1, 2019
The Exchange proposes a rule change to amend the fee schedule as it relates to pricing for the use of certain routing strategies.
SR-CboeBZX-2019-002
January 7, 2019
The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeBZX-2019-001 Amendment No. 2
April 4, 2019
The Exchange proposes a second amendment to SR-CboeBZX-2019-001.
SR-CboeBZX-2019-001 Amendment No. 1
March 14, 2019
The Exchange proposes an amendment to SR-CboeBZX-2019-001.
SR-CboeBZX-2019-001
January 2, 2019
The Exchange submits this proposal to list and trade under Rule 14.11(c)(3) shares of the Global X Russell 2000 Covered Call ETF of Global X Funds.