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-2024-018
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-2008-013
December 11, 2008
Amendments to BATS Rules and Corporate Documents to Reflect Name Change of BATS Holdings, Inc. to BATS Global Markets, Inc.
SR-BATS-2008-012
December 9, 2008
Amendments to Fee Schedule for BATS Exchange (effective December 12, 2008).
SR-BATS-2008-011
November 25, 2008
BATS is proposing to amend Rule 8.15.01 (List of Exchange Rule Violations and Recommended Fine Schedule Pursuant to Rule 8.15) to expand the list of violations eligible for disposition under the Exchange's Minor Rule Violation Plan.
SR-BATS-2008-010
November 19, 2008
BATS is proposing to amend Rule 11.17 (Clearly Erroneous Executions) with respect to fees of other market centers related to clearly erroneous rulings.
SR-BATS-2008-009
October 21, 2008
Initial Fee Schedule for BATS Exchange.
SR-BATS-2008-008
October 20, 2008
BATS is proposing to amend its Rule 11.16 ("Limitation of Liability").
SR-BATS-2008-007
October 10, 2008
BATS is proposing to amend its Rule 11.13 ("Order Execution") to provide the Exchange's Outbound Router with additional flexibility when routing orders away from the Exchange.
SR-BATS-2008-005
September 19, 2008
BATS is proposing amendments to its rules to add definitions of Market Maker and Market Maker Authorized Trader and to add rules regarding the registration and obligations of Market Makers.
SR-BATS-2008-004
September 17, 2008
BATS is proposing to amend its Rule 14.1 ("Unlisted Trading Privileges") to consolidate into a single rule certain requirements for trading products on the Exchange pursuant tounlisted trading privileges.
SR-BATS-2008-003
September 12, 2008
BATS is proposing to amend its Rule 11.5 ("Orders and Modifiers") to add a new order type - Modified Destination Specific Order.