Cboe BZX U.S. Equities Exchange 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

File number: SR-CboeBZX-2020-060
Date filed: July 30, 2020
Description:

The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.

File number: SR-CboeBZX-2020-053 Amendment No. 1
Date filed: June 26, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2020-053.

File number: SR-CboeBZX-2020-053
Date filed: June 23, 2020
Description:

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”).

File number: SR-CboeBZX-2020-042
Date filed: May 15, 2020
Description:

The Exchange proposes to amend Exchange Rule 14.11(d) to accommodate Exchange listing and trading of Options-Linked Securities.

File number: SR-CboeBZX-2020-036
Date filed: April 29, 2020
Description:

The Exchange proposes a rule change to Rule 14.11, Other Securities, in order to amend the continued listing standards applicable to ETPs listed on the Exchange.

File number: SR-CboeBZX-2020-003 Amendment No. 3
Date filed: July 31, 2020
Description:

The Exchange proposes a third amendment to SR-CboeBZX-2020-003.

File number: SR-CboeBZX-2020-003 Amendment No. 2
Date filed: April 13, 2020
Description:

The Exchange proposes a second amendment to SR-CboeBZX-2020-003.

File number: SR-CboeBZX-2020-003 Amendment No. 1
Date filed: March 24, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2020-003.

File number: SR-CboeBZX-2020-003
Date filed: January 3, 2020
Description:

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”).

Approved and Immediately Effective Rule Changes

File number: SR-CboeBZX-2020-065
Date filed: August 4, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeBZX-2020-064
Date filed: August 3, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeBZX-2020-063
Date filed: August 3, 2020
Description:

The Exchange proposes to adopt fees for a new data product on its equity options platform to be known as Intraday Open-Close Data.

File number: SR-CboeBZX-2020-061
Date filed: July 30, 2020
Description:

The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.

File number: SR-CboeBZX-2020-059
Date filed: July 29, 2020
Description:

The Exchange proposes a rule change to introduce a new data product to be known as Intraday Open-Close Data.

File number: SR-CboeBZX-2020-058
Date filed: July 29, 2020
Description:

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.

File number: SR-CboeBZX-2020-057
Date filed: July 21, 2020
Description:

The Exchange proposes to to amend its Fees Schedule relating to the Options Regulatory Fee.

File number: SR-CboeBZX-2020-056
Date filed: July 8, 2020
Description:

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.

File number: SR-CboeBZX-2020-055
Date filed: July 1, 2020
Description:

The Exchange proposes to amend its fees schedule.

File number: SR-CboeBZX-2020-054
Date filed: June 30, 2020
Description:

The Exchange proposes to adopt rules regarding off-floor transactions and transfers

File number: SR-CboeBZX-2020-052
Date filed: June 22, 2020
Description:

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.

File number: SR-CboeBZX-2020-051
Date filed: June 11, 2020
Description:

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).

File number: SR-CboeBZX-2020-050
Date filed: June 10, 2020
Description:

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.

File number: SR-CboeBZX-2020-049
Date filed: June 3, 2020
Description:

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).

File number: SR-CboeBZX-2020-048
Date filed: June 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeBZX-2020-047
Date filed: June 2, 2020
Description:

The Exchange proposes to amend its Fees Schedule.

File number: SR-CboeBZX-2020-044
Date filed: May 28, 2020
Description:

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.

File number: SR-CboeBZX-2020-043
Date filed: May 19, 2020
Description:

The Exchange proposes to amend its fee schedule.

File number: SR-CboeBZX-2020-040
Date filed: May 8, 2020
Description:

The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.

File number: SR-CboeBZX-2020-038
Date filed: April 24, 2020
Description:

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.

File number: SR-CboeBZX-2020-037
Date filed: April 24, 2020
Description:

The Exchange proposes to amend its definition of bulk messages in Rule 16.1 and amend Rule 21.1(l)(3).

File number: SR-CboeBZX-2020-035
Date filed: April 16, 2020
Description:

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.

File number: SR-CboeBZX-2020-034
Date filed: April 15, 2020
Description:

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.

File number: SR-CboeBZX-2020-033
Date filed: April 8, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeBZX-2020-032
Date filed: April 8, 2020
Description:

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.

File number: SR-CboeBZX-2020-031
Date filed: April 6, 2020
Description:

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.

File number: SR-CboeBZX-2020-029.pdf
Date filed: March 25, 2020
Description:

The Exchange proposes to list and trade shares of the JPMorgan Large Cap Growth ETF under Rule 14.11(k), Managed Portfolio Shares.

File number: SR-CboeBZX-2020-029 Amendment No. 1.pdf
Date filed: April 29, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2020-029.

File number: SR-CboeBZX-2020-028
Date filed: March 23, 2020
Description:

The Exchange proposes to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions instead of just Regular Trading Hours.

File number: SR-CboeBZX-2020-027
Date filed: March 19, 2020
Description:

The Exchange proposes to amend the fee schedule to institute a fee code applicable to the Cboe Market Close.

File number: SR-CboeBZX-2020-026
Date filed: March 18, 2020
Description:

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.

File number: SR-CboeBZX-2020-025
Date filed: March 17, 2020
Description:

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).

File number: SR-CboeBZX-2020-023
Date filed: March 10, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeBZX-2020-021
Date filed: April 15, 2020
Description:

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).

File number: SR-CboeBZX-2020-020
Date filed: March 2, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeBZX-2020-018
Date filed: February 13, 2020
Description:

The Exchange proposes to allow the Franklin Liberty International Aggregate Bond Fund (the “Fund”) of the Franklin Templeton ETF Trust (the “Trust”) to hold certain instruments in a manner that may not comply with Rule 14.11(i) (“Managed Fund Shares”).

File number: SR-CboeBZX-2020-017
Date filed: February 12, 2020
Description:

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.

File number: SR-CboeBZX-2020-015
Date filed: February 4, 2020
Description:

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.

File number: SR-CboeBZX-2020-014
Date filed: February 4, 2020
Description:

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeBZX-2020-013
Date filed: January 31, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeBZX-2020-012
Date filed: January 22, 2020
Description:

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.

File number: SR-CboeBZX-2020-010
Date filed: January 22, 2020
Description:

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).

File number: SR-CboeBZX-2020-008
Date filed: January 21, 2020
Description:

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).

File number: SR-CboeBZX-2020-007 Amendment No. 1
Date filed: March 18, 2020
Description:

The Exchange proposes an amendment to SR-CboeBZX-2020-007.

File number: SR-CboeBZX-2020-007
Date filed: February 14, 2020
Description:

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.

File number: SR-CboeBZX-2020-006
Date filed: February 12, 2020
Description:

The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.

File number: SR-CboeBZX-2020-005
Date filed: January 17, 2020
Description:

The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.

File number: SR-CboeBZX-2020-004
Date filed: January 21, 2020
Description:

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.

File number: SR-CboeBZX-2020-002
Date filed: January 2, 2020
Description:

The Exchange proposes to amend its rules governing the give up of a Clearing Member by a User on Exchange transactions.

File number: SR-CboeBZX-2020-001
Date filed: January 2, 2020
Description:

The Exchange proposes a rule change to add Market Maker Penny Pilot Volume Tier 9.