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-2024-026
- 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-BATS-2014-073
- December 22, 2014
- Proposal to amend Rule 2.12 to remove references to Direct Edge ECN LLC and DE Route.
- SR-BATS-2014-072
- December 17, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-071
- December 17, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-070
- December 17, 2014
- Proposed to extend the Penny Pilot Program for BATS Options through June 30, 2015.
- SR-BATS-2014-068
- December 10, 2014
- Proposed to amend Rules 11.9(a)(2) and 11.18(e) to modify the operation of BATS market orders.
- SR-BATS-2014-067 Amendment No. 2
- March 13, 2015
- Second amendment to SR-BATS-2014-067.
- SR-BATS-2014-067 Amendment No. 1
- December 17, 2014
- Amendment to SR-BATS-2014-067.
- SR-BATS-2014-067
- December 4, 2014
- Proposal to replace Rule 20.6, entitled Obvious Error, with new Rule 20.6 entitled Nullification and Adjustment of Options Transactions including Obvious Errors.
- SR-BATS-2014-066
- December 3, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-064
- December 1, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-063
- December 1, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-062
- November 28, 2014
- Proposed to amend Rule 11.1.
- SR-BATS-2014-058
- November 17, 2014
- Proposed to re-number Rule 11.24, entitled Retail Order Attribution Program, as Rule 11.25.
- SR-BATS-2014-057
- November 21, 2014
- Proposed to amend Rule 14.11(j)(5) to harmonize its restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC.
- SR-BATS-2014-056 Amendment No. 1
- February 12, 2015
- Amendment to SR-BATS-2014-056.
- SR-BATS-2014-056
- December 19, 2014
- BATS Exchange, Inc. proposed to list and trade shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust under BATS Rule 14.11(i).
- SR-BATS-2014-055 Amendment No. 2
- December 15, 2014
- Second amendment to SR-BATS-2014-055.
- SR-BATS-2014-055 Amendment No. 1
- November 13, 2014
- Amendment to SR-BATS-2014-055.
- SR-BATS-2014-055
- October 30, 2014
- BATS is proposing to establish a new market data product called the BATS One Feed.
- SR-BATS-2014-054
- December 12, 2014
- BATS Exchange, Inc. proposed to list and trade shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i).
- SR-BATS-2014-053
- October 24, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-052
- October 17, 2014
- Proposed to amend Rules 11.9 and 11.13.
- SR-BATS-2014-051
- October 16, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-050
- October 16, 2014
- Proposal to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.
- SR-BATS-2014-047
- October 6, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-045
- October 7, 2014
- Proposed to amend Rule 11.16 (Limitation of Liability).
- SR-BATS-2014-044
- September 25, 2014
- Proposal to amend Rules 11.13 for BATS Equities and 21.9 for BATS Options.
- SR-BATS-2014-043
- September 18, 2014
- Proposed to adopt a retail attribution program under new Rule 11.24.
- SR-BATS-2014-042
- September 15, 2014
- Proposed to amend Rule 11.9(c) to adopt a Supplemental Peg Order.
- SR-BATS-2014-041
- September 12, 2014
- Proposal to provide additional functionality with respect to Primary Pegged Orders offered pursuant to Rule 11.9(c)(8).
- SR-BATS-2014-040 Amendment No. 1
- October 10, 2014
- Partial amendment to SR-BATS-2014-040.
- SR-BATS-2014-040
- September 12, 2014
- Proposed rule change to amend Rule 21.7 to modify the process by which BATS Options opens trading at the beginning of the day and after trading halts.
- SR-BATS-2014-039
- August 28, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-038
- August 26, 2014
- Proposal to amend Rules 11.9 for BATS Equities and 21.1 for BATS Options.
- SR-BATS-2014-037
- September 3, 2014
- Proposed rule change to add Rule 11.24, entitled Opening Process for Non-BATS-Listed Securities, as well as to make several corresponding changes in order to modify the manner in which the Exchange opens trading for non-listed securities at the beginning of the day and after trading halts.
- SR-BATS-2014-036
- August 15, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-034
- August 11, 2014
- Proposed to amend Rules 11.9(f) to adopt a new Match Trade Prevention Modifier (MTP) called Cancel Smallest with respect to the Exchanges cash equities trading platform and 21.1(g) to add similar functionality to BATS Options.
- SR-BATS-2014-033
- August 11, 2014
- Proposed to amend Rule 11.13 to add an additional routing strategy.
- SR-BATS-2014-031
- August 4, 2014
- Proposed rule change to reflect changes to the means of achieving the investment objective applicable to the iShares Short Maturity Bond Fund.
- SR-BATS-2014-030
- August 1, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-029
- July 15, 2014
- BATS Exchange, Inc. proposes to clarify for its Members and non-Members the use of certain data feeds for order handling and execution, order routing, and regulatory compliance.
- SR-BATS-2014-027
- July 9, 2014
- Proposal to amend Rules 11.9, 11.12, 11.18, 21.1 and 21.7.
- SR-BATS-2014-026 Amendment No. 3
- September 12, 2014
- Third amendment to SR-BATS-2014-026.
- SR-BATS-2014-026 Amendment No. 2
- August 26, 2014
- Second amendment to SR-BATS-2014-026.
- SR-BATS-2014-026 Amendment No. 1
- August 15, 2014
- Amendment to SR-BATS-2014-026.
- SR-BATS-2014-026
- August 26, 2014
- BATS proposed to list and trade shares of certain funds of the Alpha Architect ETF Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.
- SR-BATS-2014-025
- July 1, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-024
- June 4, 2014
- Proposed to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.
- SR-BATS-2014-023
- June 4, 2014
- Proposed to extend the Penny Pilot Program for BATS Options through December 31, 2014.
- SR-BATS-2014-022
- June 3, 2014
- Proposal to amend the Competitive Liquidity Provider Program.
- SR-BATS-2014-021
- May 30, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-019
- May 28, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-017
- April 28, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-016
- April 17, 2014
- Proposed rule change to amend Rule 21.7, entitled Market Opening Procedures.
- SR-BATS-2014-015
- April 17, 2014
- Proposed rule change to institute an incentive program for market makers registered with the Exchange in ETPs listed on the Exchange (the LMM Program).
- SR-BATS-2014-014
- April 17, 2014
- Proposed rule change to add new paragraphs (i) and (j) to Rule 11.17, entitled Clearly Erroneous Executions.
- SR-BATS-2014-013
- April 24, 2014
- BATS Exchange, Inc. proposed to amend Interpretation and Policy .05 to Rule 19.6, entitled Series of Options Contracts Open for Trading, and Rule 29.11, entitled Terms of Index Options Contracts.
- SR-BATS-2014-011
- April 1, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-010
- March 31, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-008
- March 18, 2014
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2014-007
- March 13, 2014
- BATS is proposing to list and trade shares of the ProShares Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.
- SR-BATS-2014-006
- March 7, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-005
- March 3, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2014-003 Amendment 1
- January 16, 2014
- Partial amendment to SR-BATS-2014-003.
- SR-BATS-2014-003
- January 6, 2014
- Proposal to modify the opening process for BATS Options.
- SR-BATS-2014-002
- January 3, 2014
- Proposal to extend the applicability of the CLP program to a maximum of 3 years.
- SR-BATS-2014-001
- January 2, 2014
- Amendments to the fee schedule of BATS Exchange, Inc.