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-2011-053
- December 30, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-051
- December 16, 2011
- BATS is proposing to implement a Competitive Liquidity Provider program to incent competitive and aggressive quoting by market makers registered with the Exchange.
- SR-BATS-2011-050
- December 2, 2011
- BATS Options proposal to extend the Penny Pilot Program through June 30, 2012.
- SR-BATS-2011-049
- November 30, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-048
- November 22, 2011
- BATS is proposing to modify Rule 11.18 to exclude rights and warrants from the single stock circuit breaker rule.
- SR-BATS-2011-047
- November 22, 2011
- BATS is proposing to amend Rule 14.1 to include exchange traded products as Tier I securities.
- SR-BATS-2011-046
- November 1, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-045
- October 25, 2011
- BATS is proposing to modify the market opening procedures for BATS Options.
- SR-BATS-2011-044
- September 30, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-043
- September 30, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-042
- September 30, 2011
- Proposal to establish a revenue sharing program with Correlix, Inc.
- SR-BATS-2011-041
- September 29, 2011
- Proposal to adopt a professional customer designation for BATS Options.
- SR-BATS-2011-040
- September 29, 2011
- Proposal to extend a pilot program related to BATS Trading, Inc.'s status as inbound router.
- SR-BATS-2011-038 Amendment 1
- May 23, 2012
- Partial amendment to SR-BATS-2011-038.
- SR-BATS-2011-038
- September 27, 2011
- BATS is proposing to modify BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2011-037
- September 19, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-036
- September 16, 2011
- BATS is proposing to amend Rule 13.3 (Forwarding of Issuer Materials).
- SR-BATS-2011-035 Amendment 1
- November 3, 2011
- Partial Amendment to SR-BATS-2011-035.
- SR-BATS-2011-035
- September 7, 2011
- BATS is proposing to amend the Bylaws of BATS Global Markets, Inc.
- SR-BATS-2011-034
- September 2, 2011
- BATS is proposing to extend the availability of its bulk-quoting interface to all Users of BATS Options.
- SR-BATS-2011-033
- August 29, 2011
- BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.
- SR-BATS-2011-032
- August 19, 2011
- BATS is proposing to adopt rules governing auctions conducted on the Exchange for securities listed on the Exchange.
- SR-BATS-2011-029
- August 9, 2011
- BATS is proposing to offer bulk-quoting functionality for BATS Options.
- SR-BATS-2011-028
- August 8, 2011
- BATS is proposing to modify a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2011-027
- August 8, 2011
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2011-026
- August 8, 2011
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2011-025
- July 29, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-024
- July 29, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-023
- July 22, 2011
- BATS Options is proposing to eliminate its directed order program.
- SR-BATS-2011-022
- July 13, 2011
- BATS Options is proposing to expand the Short Term Option Series Program so that BATS Options may select fifteen option classes on which Short Term Option Series may be opened.
- SR-BATS-2011-021
- July 12, 2011
- BATS is proposing to amend Rules 11.13 and 21.9 to make certain changes consistent with the upcoming implementation of the Market Access Rule.
- SR-BATS-2011-020
- July 5, 2011
- BATS is proposing to extend the availability of the TCP FAST PITCH data feed until August 1, 2011.
- SR-BATS-2011-019
- July 1, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-018
- May 12, 2011
- BATS is proposing to adopt rules for the qualification, listing and delisting of companies on the Exchange.
- SR-BATS-2011-017
- May 5, 2011
- Proposal related to data feeds provided by the Exchange free of charge, including proposal to offer a Latency Monitoring feed.
- SR-BATS-2011-016 Amendment 1
- June 20, 2011
- BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).
- SR-BATS-2011-016
- May 4, 2011
- BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).
- SR-BATS-2011-015
- May 9, 2011
- BATS is proposing changes to Rules 11.9 and 11.13 to modify BATS order handling procedures in certain specific circumstances involving non-displayed orders and orders subject to price sliding.
- SR-BATS-2011-013
- April 28, 2011
- BATS Options is proposing to allow certain products to trade until 4:15 p.m. Eastern Time.
- SR-BATS-2011-012
- April 1, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-011
- April 1, 2011
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2011-010
- April 1, 2011
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2011-009 Amendment 1
- March 24, 2011
- Partial amendment to SR-BATS-2011-009.
- SR-BATS-2011-009
- March 16, 2011
- BATS is proposing to create a directed order program for BATS Options.
- SR-BATS-2011-008
- March 1, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-007
- February 18, 2011
- BATS is proposing to adopt new Rule 11.21 to require Members to identify each order accurately as a Principal, Agency, or Riskless Principal Order.
- SR-BATS-2011-005
- February 14, 2011
- BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the description of the SLIM routing strategy.
- SR-BATS-2011-004
- January 31, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-003
- January 28, 2011
- BATS Options proposal to adopt a $5 Strike Program.
- SR-BATS-2011-002
- January 14, 2011
- BATS is proposing to amend Rules 11.9, 11.13, and 11.19 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO.
- SR-BATS-2011-001
- January 4, 2011
- Amendments to fee schedule of BATS Exchange.
- SR-BATS-2011-009 Amendment 2
- June 2, 2011
- Partial amendment to SR-BATS-2011-009.