Cboe Options 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-2024-018
- 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-2023-107
- December 26, 2023
- The Exchange proposes to make permanent the operation of its programs that allow the Exchange to list options on the Mini-SPX Index (“XSP options”) with P.M.-settlement and to list broad-based index options with nonstandard expirations.
- 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-BATS-2013-066 Amendment 1
- January 15, 2014
- Partial amendment to SR-BATS-2013-066.
- SR-BATS-2013-066
- December 19, 2013
- BATS is proposing to amend BATS Rule 11.23 to allow the operation of a Volatility Closing Auction when a BATS listed security is halted in the last 10 minutes of regular trading hours.
- SR-BATS-2013-064
- December 12, 2013
- BATS is proposing to extend the Penny Pilot for BATS Options through June 30, 2014.
- SR-BATS-2013-063
- December 9, 2013
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2013-062
- December 5, 2013
- Modifications to BATS Rule 22.6 with respect to Market Maker quoting obligations imposed by BATS Options.
- SR-BATS-2013-061
- December 2, 2013
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2013-060
- November 18, 2013
- BATS is proposing changes to the rules governing the BATS Options Risk Monitor Mechanism.
- SR-BATS-2013-059
- November 25, 2013
- BATS proposal in connection with the proposed business combination of BATS Global Markets, Inc. and Direct Edge Holdings LLC.
- SR-BATS-2013-058
- October 31, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-057
- November 12, 2013
- BATS is proposing to amend the BATS Competitive Liquidity Provider program.
- SR-BATS-2013-056
- October 3, 2013
- BATS is proposing to amend Rule 12.6 to make it substantially the same as FINRA Rule 5320.
- SR-BATS-2013-055
- October 1, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-054
- October 1, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-053
- September 24, 2013
- BATS is proposing to extend a pilot program related to Rule 11.17 (Clearly Erroneous Executions) and to eliminate certain references in Rule 11.17.
- SR-BATS-2013-052
- September 20, 2013
- BATS is proposing to amend BATS Options rules to authorize the nullification of trades that occur after a halt has been issued.
- SR-BATS-2013-051
- September 19, 2013
- BATS is proposing to list and trade shares of the iShares Liquidity Income Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
- SR-BATS-2013-050
- September 12, 2013
- BATS is eliminating references to an obsolete functionality and data feed.
- SR-BATS-2013-049
- August 30, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-048
- August 28, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-047
- August 16, 2013
- BATS is proposing to set forth in its rules the fees charged for certain Continuing Education.
- SR-BATS-2013-046
- August 15, 2013
- BATS is proposing to amend its registration rules to recognize additional registrations and to clarify existing qualification and continuing education rules.
- SR-BATS-2013-045
- August 15, 2013
- Proposal to establish a revenue sharing agreement with respect to certain private labeled data products.
- SR-BATS-2013-044
- August 7, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-043
- August 2, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-042
- August 1, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-041
- August 1, 2013
- BATS is proposing to eliminate the CYCLE routing option effective September 3, 2013.
- SR-BATS-2013-040
- June 28, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-039
- June 26, 2013
- BATS is proposing to impose fees for certain BATS Equities market data products.
- SR-BATS-2013-038 Amendment 1
- July 2, 2013
- Amendment replacing SR-BATS-2013-038.
- SR-BATS-2013-038
- June 21, 2013
- BATS is proposing to amend its ETP listing rules and to adopt rules for the listing of certain securities on the Exchange.
- SR-BATS-2013-037
- June 20, 2013
- BATS is proposing to amend the information barrier requirement of the CLP Program.
- SR-BATS-2013-036
- June 19, 2013
- BATS is proposing to offer access to the Exchange via physical connections in certain additional data centers.
- SR-BATS-2013-034
- June 13, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-033
- June 4, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-032
- June 3, 2013
- A proposed rule change with respect to the authority of the Exchange or BATS Trading, Inc. to cancel orders when a technical or system issue occurs and to describe the operation of an error account for BATS Trading, Inc.
- SR-BATS-2013-030
- June 11, 2013
- BATS is proposing to extend the Penny Pilot for BATS Options through December 31, 2013.
- SR-BATS-2013-026
- May 7, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-025
- May 1, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-024
- April 29, 2013
- Proposal to amend the Bylaws of BATS Exchange, Inc.
- SR-BATS-2013-023
- April 10, 2013
- BATS Options is proposing to adopt a market order collar.
- SR-BATS-2013-022
- March 22, 2013
- BATS is proposing to amend the functionality of the Market Maker Peg Order.
- SR-BATS-2013-021
- March 18, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-020
- March 18, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-019
- March 15, 2013
- BATS Options is proposing to permit the minimum trading increment for Mini Options to be the same as the minimum trading increment permitted for standard options on the same underlying security.
- SR-BATS-2013-018
- March 13, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-017
- March 1, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-016
- March 1, 2013
- BATS Options is proposing to suspend options market maker obligations in certain circumstances in connection with the Limit Up-Limit Down Plan.
- SR-BATS-2013-015
- February 28, 2013
- BATS is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.
- SR-BATS-2013-014
- February 27, 2013
- Proposal to reject Market Orders received by BATS Options when the underlying security is subject to a Limit or Straddle State under the Limit Up-Limit Down Plan.
- SR-BATS-2013-013
- February 20, 2013
- BATS Options is proposing to list and trade option contracts overlying 10 shares of a security (Mini Options).
- SR-BATS-2013-012
- February 11, 2013
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2013-010
- January 30, 2013
- BATS is proposing to delay the operative date of changes to the market wide circuit breaker.
- SR-BATS-2013-009
- January 30, 2013
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2013-008
- January 30, 2013
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.
- SR-BATS-2013-007
- January 25, 2013
- BATS is proposing to modify Rules 11.9 and 21.1.
- SR-BATS-2013-006
- January 23, 2013
- BATS is proposing to add $0.50 strikes to the Short Term Option Series (STOS) Program and to expand the STOS Program.
- SR-BATS-2013-005
- January 18, 2013
- BATS is proposing to amend its Competitive Liquidity Provider program.
- SR-BATS-2013-003
- January 18, 2013
- BATS is proposing to eliminate the Discretionary Order order type for BATS Options.
- SR-BATS-2013-002
- January 7, 2013
- Amendments to fee schedule of BATS Exchange.