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

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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

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SR-BATS-2009-032 Amendment 1: February 9, 2010; Partial amendment to SR-BATS-2009-032.
SR-BATS-2009-032: December 18, 2009; BATS is proposing to impose fees for physical ports used to connect to the Exchange's systems if any Member or non-Member wishes to obtain more than 4 physical ports at either of the Exchange's data center sites.
SR-BATS-2009-031 Amendment 1: January 20, 2010; Partial amendment to SR-BATS-2009-031.
SR-BATS-2009-031: November 10, 2009; BATS is proposing to adopt rules to govern the trading of options on BATS Exchange, Inc.
SR-BATS-2009-030: September 28, 2009; BATS is proposing to amend BATS Rule 11.17 ("Clearly Erroneous Executions").
SR-BATS-2009-029: September 8, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-028: August 21, 2009; BATS is proposing to amend BATS Rule 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to remove an order type and a pre-routing processing method through which a marketable order is displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
SR-BATS-2009-027: July 28, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-026, Amendment 1: August 27, 2009; Partial amendment to SR-BATS-2009-026.
SR-BATS-2009-026: July 21, 2009; BATS is proposing to impose fees for ports used for order entry and receipt of market data.
SR-BATS-2009-025: July 20, 2009; BATS is proposing to amend BATS Rule 11.9 to eliminate the ability of Exchange Users to execute market orders on the Exchange outside of Regular Trading Hours.
SR-BATS-2009-023: July 9, 2009; BATS is proposing to modify BATS Rule 15.1 to allow the Exchange to pass on certain, specific fees that it is charged by the company that operates the data center where the Exchange's System is located
SR-BATS-2009-022: July 6, 2009; BATS is proposing to make modifications to the existing technology that the Exchange provides to a User that wishes to avoid trading against orders from that same User ("Member Match Trade Prevention" or "MMTP").
SR-BATS-2009-021: June 29, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-020: June 29, 2009; BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") and BATS Rule 11.12 ("Priority of Orders") to permit Users of the Exchange to use a Replace Message to modify certain types of information originally submitted with an order without modifying the priority of such order.
SR-BATS-2009-019: June 26, 2009; BATS rule filing related to Sponsored Access Risk Management Tool.
SR-BATS-2009-018: May 28, 2009; BATS is proposing to amend the by-laws of the Exchange as they relate to the compositional requirements of the Exchange Nominating Committee.
SR-BATS-2009-017: May 28, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-016: May 21, 2009; Amendments to Fee Schedule for BATS Exchange to add references to RECYCLE routing.
SR-BATS-2009-015: May 19, 2009; BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange?s method of processing the unfilled balance of a limit order that is posted to the BATS Book after being routed away to one or more away Trading Centers for execution.
SR-BATS-2009-014, Amendment 1: May 29, 2009; Partial amendment to SR-BATS-2009-014
SR-BATS-2009-014: May 22, 2009; BATS is proposing to amend Rules 11.9 ("Orders and Modifiers") and 11.13 ("Order Execution") to add a new order type (a BATS Only BOLT Order) and a pre-routing processing method that will each include an optional display period through which a marketable order will be displayed to Exchange Users (and market data recipients) for a brief period of time designated by the Exchange prior to being routed, cancelled or posted to the BATS Book.
SR-BATS-2009-013: May 12, 2009; BATS is proposing to amend Rule 11.13 ("Order Execution") to provide Users of the Exchange with another option with respect to the Exchange's method of processing the unfilled balance of a limit order that returns to the Exchange after being routed away to one or more away Trading Centers for execution.
SR-BATS-2009-012: May 20, 2009; BATS is proposing to amend BATS Rules in order to begin offering an After Hours Trading Session that will last from 4:00 p.m. to 5:00 p.m. EST.
SR-BATS-2009-011: May 1, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-010: April 30, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-009: April 14, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-008: March 31, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-007: March 2, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-006: February 20, 2009; BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide for a new order type, a Partial Post Only at Limit Order, and to eliminate the Exchange order processing behavior described in Rule 11.9 as the "price sliding process".
SR-BATS-2009-005: January 23, 2009; Amendments to Fee Schedule for BATS Exchange.
SR-BATS-2009-003: January 16, 2009; BATS is proposing to amend BATS Rules to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination.
SR-BATS-2009-002: January 15, 2009; BATS is proposing to amend Rule 11.8 ("Obligations of Market Makers") to provide Exchange functionality to Market Makers who wish to have the Exchange automatically enter certain orders on their behalf to facilitate compliance with the continuous two-sided quoting requirement applicable to Market Makers.
SR-BATS-2009-001: January 12, 2009; BATS is proposing to amend Rule 11.9 ("Orders and Modifiers") to provide Exchange system functionality that will cancel any portion of a BATS Market Order that would otherwise execute outside of certain thresholds.