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-2012-048
- December 11, 2012
- BATS Options proposal to extend the Penny Pilot Program through June 30, 2013.
- SR-BATS-2012-046
- December 6, 2012
- BATS is proposing to modify BATS Rule 11.23 governing auctions conducted for equity securities listed on the Exchange.
- SR-BATS-2012-045
- November 19, 2012
- BATS is proposing to expand the availability of an Exchange Risk Management Tool.
- SR-BATS-2012-044
- November 5, 2012
- BATS is proposing to amend Rule 14.11, entitled Other Securities, to adopt new criteria for certain securities to be listed on the Exchange as Trust Issued Receipts. BATS is also proposing to list and trade shares of the following funds: ProShares Managed Futures Strategy, ProShares Commodity Managed Futures Strategy, and ProShares Financial Managed Futures Strategy.
- SR-BATS-2012-043
- November 1, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-042
- October 12, 2012
- BATS is proposing to list and trade shares of the iShares Sovereign Screened Global Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
- SR-BATS-2012-041
- October 1, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-040
- September 28, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-039 Amendment 3
- January 11, 2013
- Partial amendment to SR-BATS-2012-039.
- SR-BATS-2012-039 Amendment 2
- January 10, 2013
- Partial amendment to SR-BATS-2012-039.
- SR-BATS-2012-039 Amendment 1
- October 8, 2012
- Amendment replacing SR-BATS-2012-039.
- SR-BATS-2012-039
- September 25, 2012
- BATS is proposing to amend Rule 14.10, entitled Corporate Governance Requirements, in accordance with Section 952 of the Dodd-Frank Act.
- SR-BATS-2012-038
- September 10, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-037
- August 31, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-036
- August 31, 2012
- BATS is proposing to modify incentives in connection with its Competitive Liquidity Provider program.
- SR-BATS-2012-035
- August 3, 2012
- BATS is proposing to modify the operation of price sliding functionality.
- SR-BATS-2012-034
- August 1, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-033 Amendment 1
- September 14, 2012
- Partial amendment to SR-BATS-2012-033.
- SR-BATS-2012-033
- July 27, 2012
- BATS is proposing to list and trade shares of the iShares Ultrashort Duration Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.
- SR-BATS-2012-032
- July 24, 2012
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2012-031
- July 24, 2012
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2012-030
- July 20, 2012
- BATS is proposing to amend Rule 14.11 to modify the criteria for certain securities listed on BATS Exchange as Index Fund Shares.
- SR-BATS-2012-029
- July 16, 2012
- BATS Options proposal to amend Rule 20.6, entitled Obvious Error.
- SR-BATS-2012-028
- July 6, 2012
- BATS is proposing to adopt Rule 3.23 related to Telemarketing.
- SR-BATS-2012-027
- July 2, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-026 Amendment 1
- July 6, 2012
- Partial amendment to SR-BATS-2012-026.
- SR-BATS-2012-026
- June 26, 2012
- BATS is proposing to adopt a market maker peg order.
- SR-BATS-2012-025
- June 19, 2012
- BATS Options proposal to extend the Penny Pilot Program through December 31, 2012.
- SR-BATS-2012-024
- June 15, 2012
- BATS is proposing to modify system functionality when the consolidated market is crossed as well as the handling of certain orders that have been routed away.
- SR-BATS-2012-023
- June 15, 2012
- BATS is proposing to adopt additional listing requirements for Reverse Merger companies.
- SR-BATS-2012-022
- June 5, 2012
- Proposal to temporarily suspend the requirements of Rule 2.6 in connection with the membership of Apex Clearing.
- SR-BATS-2012-021
- June 1, 2012
- BATS is proposing to adopt Rule 21.16, entitled Risk Monitor Mechanism, to codify the risk monitoring functionality offered to Users of BATS Options.
- SR-BATS-2012-020
- May 31, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-019
- May 24, 2012
- BATS is proposing to amend BATS Rule 11.19, entitled Short Sales, in connection with the Exchange's status as the primary listing market for certain securities.
- SR-BATS-2012-018
- May 23, 2012
- BATS is proposing to amend BATS Rules 11.9 and 21.1 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.
- SR-BATS-2012-017
- May 11, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-016
- April 25, 2012
- BATS is proposing to modify BATS Rules 11.9 and 21.1 to allow optional attribution of orders submitted to the Exchange.
- SR-BATS-2012-015
- April 2, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-014
- March 19, 2012
- BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.
- SR-BATS-2012-013
- March 8, 2012
- BATS is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.
- SR-BATS-2012-012
- March 8, 2012
- BATS is proposing to amend Rule 14.3 to include additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.
- SR-BATS-2012-011
- February 8, 2012
- BATS is proposing to adopt incentives in connection with its Competitive Liquidity Provider program.
- SR-BATS-2012-010
- February 8, 2012
- BATS is proposing to amend the fees applicable to securities listed on the Exchange.
- SR-BATS-2012-009
- February 3, 2012
- BATS is proposing to allow certain Opening Auction orders to participate in an IPO Auction on the Exchange.
- SR-BATS-2012-008
- February 1, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-007
- February 1, 2012
- BATS is proposing to add additional variations of the TRIM routing strategy.
- SR-BATS-2012-006
- February 1, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-004
- January 24, 2012
- BATS is proposing to list and trade shares of the iShares MSCI Denmark Capped Investable Market Index Fund as Index Fund Shares.
- SR-BATS-2012-003
- January 24, 2012
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2012-002
- January 6, 2012
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2012-001
- January 6, 2012
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).