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-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
- 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
- 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-2020-070
- January 28, 2021
- The Exchange proposes an amendment to SR-CboeBZX-2020-070.
- 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.