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-2020-094
December 31, 2020
The Exchange proposes to establish a policy relating to billing errors.
SR-CboeBZX-2020-093
December 14, 2020
The Exchange proposes to list and trade Shares of the ProShares Short VIX Short-Term Futures ETF and the ProShares Ultra VIX Short-Term Futures ETF under Rule 14.11(f)(4), which governs the listing and trading of Trust Issued Receipts on the Exchange.
SR-CboeBZX-2020-092
December 14, 2020
The Exchange proposes to list and trade Shares of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF under Rule 14.11(f)(4), which governs the listing and trading of Trust Issued Receipts on the Exchange.
SR-CboeBZX-2020-091
December 12, 2020
The Exchange proposes to list and trade shares of the Invesco Focused Discovery Growth ETF and the Invesco Select Growth ETF pursuant to Rule 14.11(m), Tracking Fund Shares.
SR-CboeBZX-2020-090
December 14, 2020
The Exchange proposes to list and trade shares of the Invesco Real Assets ESG ETF and the Invesco US Large Cap Core ESG ETF pursuant to Rule 14.11(m), Tracking Fund Shares.
SR-CboeBZX-2020-089
December 10, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-088
December 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-085
November 24, 2020
The Exchange proposes a rule change to list and trade shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF under Rule 14.11(m), Tracking Fund Shares.
SR-CboeBZX-2020-084
November 9, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-083
November 5, 2020
The Exchange proposes to automate the Exchange’s current process for initiating the re-opening of a security listed on the New York Stock Exchange LLC following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or Post-Closing Session.
SR-CboeBZX-2020-082
November 4, 2020
The Exchange is proposing to amend Rule 14.13(b)(2)(C) related to the listing of exchange traded products.
SR-CboeBZX-2020-080
November 2, 2020
The Exchange proposes to add certain fees related to the listing and trading of options contracts on the Mini-SPX Index (“XSP”) and update certain other language in the fee schedule.
SR-CboeBZX-2020-079
November 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-078
November 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-077
October 19, 2020
The Exchange proposes to extend the current pilot program related to Clearly Erroneous Executions, to the close of business on April 20, 2021.
SR-CboeBZX-2020-076
October 12, 2020
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
SR-CboeBZX-2020-075
October 9, 2020
The Exchange proposes to enhance its drill-through protections and make other clarifying changes.
SR-CboeBZX-2020-074
October 6, 2020
The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
SR-CboeBZX-2020-073
October 5, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-071
September 11, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-070 Amendment No. 3
February 19, 2021
The Exchange proposes a third amendment to SR-CboeBZX-2020-070.
SR-CboeBZX-2020-070
January 28, 2021
The Exchange proposes an amendment to SR-CboeBZX-2020-070.
SR-CboeBZX-2020-070
September 4, 2020
The Exchange proposes to list and trade shares of the -1x Short VIX Futures ETF, a series of VS Trust, under Rule 14.11(f)(4), Trust Issued Receipts.
SR-CboeBZX-2020-068
August 25, 2020
The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize MIAX PEARL market data from the CQSUQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeBZX-2020-067
August 19, 2020
The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize MEMX market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeBZX-2020-066
August 12, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-065
August 4, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-063
August 3, 2020
The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Intraday Open-Close Data.
SR-CboeBZX-2020-061
July 30, 2020
The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.
SR-CboeBZX-2020-060 Amendment No. 1
September 24, 2020
The Exchange proposes an amendment to SR-CboeBZX-2020-060.
SR-CboeBZX-2020-060
July 30, 2020
The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeBZX-2020-059
July 29, 2020
The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.
SR-CboeBZX-2020-058
July 29, 2020
The Exchange proposes to permit off-floor position transfers between accounts for the same person without providing notice to the Exchange and at any time.
SR-CboeBZX-2020-057
July 21, 2020
The Exchange proposes to to amend its Fees Schedule relating to the Options Regulatory Fee.
SR-CboeBZX-2020-056
July 8, 2020
The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rules 8.15 and 25.3.
SR-CboeBZX-2020-055
July 1, 2020
The Exchange proposes to amend its fees schedule.
SR-CboeBZX-2020-054
June 30, 2020
The Exchange proposes to adopt rules regarding off-floor transactions and transfers
SR-CboeBZX-2020-053 Amendment No. 4
February 19, 2021
The Exchange proposes a fourth amendment to SR-CboeBZX-2020-053.
SR-CboeBZX-2020-053 Amendment No. 2
February 1, 2021
The Exchange proposes a second amendment to SR-CboeBZX-2020-053.
SR-CboeBZX-2020-053 Amendment No. 1
June 26, 2020
The Exchange proposes an amendment to SR-CboeBZX-2020-053.
SR-CboeBZX-2020-053
June 23, 2020
The Exchange proposes to list and trade shares of the 2x Long VIX Futures ETF, a series of VS Trust, under Rule 14.11(f)(4), Trust Issued Receipts.
SR-CboeBZX-2020-052
June 22, 2020
The Exchange proposes to amend the CAT Compliance Rule to be consistent with certain proposed amendments to and exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.
SR-CboeBZX-2020-051
June 11, 2020
The Exchange proposes to amend Rule 21.5 to conform the rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options (the “OLPP”) and add new Rule 21.5(d).
SR-CboeBZX-2020-050
June 10, 2020
The Exchange proposes to amend the content of the Cboe One Feed under Rule 11.22(j) to identify the primary listing market’s official opening and closing price.
SR-CboeBZX-2020-049
June 3, 2020
The Exchange proposes a rule change to provide an exemption to certain governance requirements for series of Tracking Fund Shares listed on the Exchange pursuant to Rule 14.11(m).
SR-CboeBZX-2020-048
June 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-047
June 2, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2020-044
May 28, 2020
The Exchange proposes a rule change to allow Members and Clearing Members to establish or adjust the risk settings set forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a risk group identifier basis.
SR-CboeBZX-2020-043
May 19, 2020
The Exchange proposes to amend its fee schedule.
SR-CboeBZX-2020-040
May 8, 2020
The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.
SR-CboeBZX-2020-038
April 24, 2020
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
SR-CboeBZX-2020-037
April 24, 2020
The Exchange proposes to amend its definition of bulk messages in Rule 16.1 and amend Rule 21.1(l)(3).
SR-CboeBZX-2020-035
April 16, 2020
The Exchange proposes to amend its rules to allow the Hartford Core Bond ETF to hold other derivative product types in a manner that will comply with all generic listing standards.
SR-CboeBZX-2020-034
April 15, 2020
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-2020-033
April 8, 2020
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2020-032
April 8, 2020
The Exchange proposes a rule change to amend Rule 11.8(e) related to the Exchange's Lead Market Maker Program and to make corresponding changes to its Fee Schedule.
SR-CboeBZX-2020-031
April 6, 2020
The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeBZX-2020-029.pdf
March 25, 2020
The Exchange proposes to list and trade shares of the JPMorgan Large Cap Growth ETF under Rule 14.11(k), Managed Portfolio Shares.
SR-CboeBZX-2020-029 Amendment No. 1.pdf
April 29, 2020
The Exchange proposes an amendment to SR-CboeBZX-2020-029.
SR-CboeBZX-2020-028
March 23, 2020
The Exchange proposes to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions instead of just Regular Trading Hours.
SR-CboeBZX-2020-027
March 19, 2020
The Exchange proposes to amend the fee schedule to institute a fee code applicable to the Cboe Market Close.
SR-CboeBZX-2020-026
March 18, 2020
The Exchange proposes to extend the current pilot program related to BZX Rule 11.17, Clearly Erroneous Executions, to the close of business on October 20, 2020.
SR-CboeBZX-2020-025
March 17, 2020
The Exchange proposes a rule change to amend Rule 11.18(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rules 11.23(d) and 11.24(e).
SR-CboeBZX-2020-023
March 10, 2020
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2020-021
April 15, 2020
The Exchange proposes to list and trade shares of the Agility Shares Managed Risk Equity ETF, a series of the Northern Lights Fund Trust, under Rule 14.11(i).
SR-CboeBZX-2020-020
March 2, 2020
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2020-018
February 13, 2020
The Exchange proposes to allow the Franklin Liberty International Aggregate Bond Fund of the Franklin Templeton ETF Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2020-017
February 12, 2020
The Exchange proposes to codify the Cancel Back order type and amend the Post Only order instructions that may remove liquidity pursuant to Rule 21.1.
SR-CboeBZX-2020-015
February 4, 2020
The Exchange proposes to amend the logic that would be used by the Exchange to cancel Market-On-Close orders entered for participation in the Cboe Market Close in the event the Exchange becomes impaired.
SR-CboeBZX-2020-014
February 4, 2020
The Exchange proposes to introduce a Small Retail Broker Distribution Program.
SR-CboeBZX-2020-013
February 13, 2020
The Exchange proposes to allow the Franklin Liberty International Aggregate Bond Fund of the Franklin Templeton ETF Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2020-012
January 22, 2020
The Exchange proposes to amend the Exchange’s opening process to allow for an opening auction, similar to that available on Cboe Exchange, Inc. and Cboe EDGX Exchange, Inc., and make other conforming changes to Rules 16.1 and 21.17.
SR-CboeBZX-2020-010
January 22, 2020
The Exchange proposes a rule change to provide an exemption to certain governance requirements for series of Managed Portfolio Shares listed on the Exchange pursuant to Rule 14.11(k).
SR-CboeBZX-2020-008
January 21, 2020
The Exchange proposes to list and trade shares of the Hartford Core Bond ETF, a series of Hartford Funds Exchange-Traded Trust, under Rule 14.11(i) (Managed Fund Shares).
SR-CboeBZX-2020-007 Amendment No. 1
March 18, 2020
The Exchange proposes an amendment to SR-CboeBZX-2020-007.
SR-CboeBZX-2020-007
February 14, 2020
The Exchange proposes to eliminate the requirement that the Intraday Indicative Value be disseminated as set forth under Rule 14.11(c) (“Index Fund Shares”) for certain series of Index Fund Shares and under Rule 14.11(i) (“Managed Fund Shares”) for all series of Managed Fund Shares.
SR-CboeBZX-2020-007
February 14, 2020
The Exchange proposes to eliminate the requirement that the Intraday Indicative Value be disseminated as set forth under Rule 14.11(c) for certain series of Index Fund Shares and under Rule 14.11(i), Managed Fund Shares.
SR-CboeBZX-2020-006
February 12, 2020
The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.
SR-CboeBZX-2020-005
January 17, 2020
The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.
SR-CboeBZX-2020-004
January 21, 2020
The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
SR-CboeBZX-2020-002
January 2, 2020
The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.
SR-CboeBZX-2020-001
January 2, 2020
The Exchange proposes a rule change to add Market Maker Penny Pilot Volume Tier 9.