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-2010-039
- December 22, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-038
- December 21, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-037
- December 7, 2010
- BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BATS-2010-036
- December 2, 2010
- BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).
- SR-BATS-2010-035
- November 19, 2010
- BATS Options proposal to extend the Penny Pilot Program through December 31, 2011.
- SR-BATS-2010-033
- November 18, 2010
- BATS Options proposal to amend Rule 25.3, entitled Penalty for Minor Rule Violations, to expand the list of violations eligible for disposition under the BATS Options MRVP.
- SR-BATS-2010-032
- November 10, 2010
- BATS Options proposal to adopt a $.50 Strike Program and to modify the BATS Options $1 Strike Program.
- SR-BATS-2010-031
- October 29, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-030
- October 14, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-029
- October 13, 2010
- BATS is proposing to amend BATS Rule 11.13 (Order Execution) to add certain new routing strategies and to modify the description of certain existing routing strategies.
- SR-BATS-2010-028
- October 6, 2010
- BATS Exchange is proposing to amend its Rules to conform such Rules to the rules of the Exchange's affiliate, BATS Y-Exchange, Inc. (BYX).
- SR-BATS-2010-027
- October 4, 2010
- BATS is proposing to amend BATS Rule 21.9 (Order Execution) to modify the existing general description of BATS Options routing functionality and to describe available routing strategies in greater detail.
- SR-BATS-2010-026 Amendment 1
- October 12, 2010
- Amendment to SR-BATS-2010-026.
- SR-BATS-2010-026
- September 30, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-025 Amendment 1
- November 4, 2010
- Amendment to SR-BATS-2010-025
- SR-BATS-2010-025
- September 17, 2010
- Proposal to amend BATS Rule 11.8, which relates to the obligations of market makers registered with BATS.
- SR-BATS-2010-024
- September 9, 2010
- BATS is proposing to adopt new BATS Rule 2.12, entitled BATS Trading, Inc. as Inbound Router and to make other related changes.
- SR-BATS-2010-023
- August 30, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-022
- August 30, 2010
- BATS is proposing to amend BATS Rule 11.13 to rename one of the Exchange's routing strategies.
- SR-BATS-2010-021
- August 3, 2010
- BATS is proposing to amend BATS Rule 23.1 (Exercise of Options Contracts) to extend the cut-off time to submit contrary exercise advices.
- SR-BATS-2010-020
- July 27, 2010
- BATS is proposing to amend Rule 19.6 (Series of Options Contracts Open for Trading) and Rule 29.11 (Terms of Index Options Contracts) in order to list option series that expire one week after being opened for trading.
- SR-BATS-2010-019
- July 26, 2010
- BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on August 2, 2010.
- SR-BATS-2010-018
- June 30, 2010
- BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) to add securities included in the Russell 1000 Index and specified Exchange Traded Products to the pilot rule.
- SR-BATS-2010-017
- June 28, 2010
- BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the existing general description of Exchange routing functionality, to describe available routing options in greater detail, and to add certain new routing options.
- SR-BATS-2010-016
- June 17, 2010
- BATS is proposing to amend BATS Rule 11.17 (Clearly Erroneous Executions) to make various modifications to the Exchange's handling of clearly erroneous execution reviews, including in the context of securities subject to an individual stock trading pause and multi-stock events involving twenty or more securities.
- SR-BATS-2010-015
- May 28, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-013
- May 13, 2010
- BATS is proposing to eliminate BATS Rule 19.5, which requires that at least one Options Market Maker be registered for trading a particular series before it may be opened for trading on BATS Options.
- SR-BATS-2010-012
- May 4, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-011
- May 4, 2010
- BATS is proposing to modify its Match Trade Prevention functionality.
- SR-BATS-2010-009
- April 30, 2010
- BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on May 3, 2010.
- SR-BATS-2010-007
- March 31, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-006
- March 30, 2010
- BATS is proposing to amend BATS Rule 11.9(c)(12) (Destination Specific Order) to permit Exchange Users to designate an order that will first check the BATS Book for liquidity and then be routed to one or to multiple Alternative Trading Systems with which the Exchange has connections.
- SR-BATS-2010-005
- February 25, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-003
- February 11, 2010
- BATS is proposing to amend BATS Rule 5.5 ("Information Barrier Procedures") to modify the Exchange's rule regarding information barrier procedures required of certain Exchange Members and to add new Exchange Rule 12.13 ("Trading Ahead of Research Reports").
- SR-BATS-2010-002 Amendment 2
- April 8, 2010
- Partial amendment to SR-BATS-2010-002.
- SR-BATS-2010-002 Amendment 1
- February 22, 2010
- Partial amendment to SR-BATS-2010-002
- SR-BATS-2010-002
- February 2, 2010
- BATS is proposing to offer certain new BATS Exchange data products to Members of the Exchange and other market data recipients.
- SR-BATS-2010-001
- January 29, 2010
- Amendments to Fee Schedule for BATS Exchange.
- SR-BATS-2010-014
- May 18, 2010
- BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatilty) to allow the Exchange to pause trading in an individual stock when the primary listing market for such stock issues a trading pause.
- SR-BATS-2010-008 Amendment 1
- June 30, 2010
- Amendment to SR-BATS-2010-008.
- SR-BATS-2010-008
- April 9, 2010
- BATS is proposing to amend BATS Rule 2.5 (Restrictions), to require each Exchange Member to register with the Exchange: (i) at least two principals to supervise Authorized Traders of the Member (subject to certain exceptions), and (ii) at least one financial and operations principal.