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-2015-99
- November 2, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees.
- SR-BATS-2015-98
- November 2, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
- SR-BATS-2015-97
- November 9, 2015
- BATS Exchange, Inc. proposes a rule change to amend Rule 11.13, Order Execution and Routing.
- SR-BATS-2015-96
- October 27, 2015
- BATS Exchange, Inc. proposal to extend the pilot period for the Exchange's Supplemental Competitive Liquidity Provider Program.
- SR-BATS-2015-94 Amendment No. 3
- April 7, 2016
- The Exchange proposes a third amendment to SR-BATS-2015-94.
- SR-BATS-2015-94 Amendment No. 2.
- March 24, 2016
- The Exchange proposes a second amendment to SR-BATS-2015-94.
- SR-BATS-2015-94 Amendment No. 1
- February 26, 2016
- The Exchange proposes an amendment to SR-BATS-2015-94.
- SR-BATS-2015-94
- December 28, 2015
- The Exchange proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust.
- SR-BATS-2015-93
- October 21, 2015
- BATS Exchange, Inc. proposes a rule change to delete Rule 22.10, Limitations on Dealings.
- SR-BATS-2015-92
- October 28, 2015
- BATS Exchange, Inc. proposes a rule change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time.
- SR-BATS-2015-91
- October 20, 2015
- BATS Exchange, Inc. proposes a rule change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors.
- SR-BATS-2015-90
- October 14, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.25, Retail Order Attribution Program.
- SR-BATS-2015-89
- October 13, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to LMM Incentives.
- SR-BATS-2015-87
- October 9, 2015
- BATS Exchange, Inc.proposes to amend Rule 11.13, Order Execution and Routing.
- SR-BATS-2015-86
- October 2, 2015
- BATS Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.
- SR-BATS-2015-85
- October 2, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-83
- October 1, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-82
- September 30, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-80
- September 30, 2015
- Proposal to adopt an Issuer Incentive Program applicable to securities listed on BATS Exchange, Inc.
- SR-BATS-2015-79
- September 30, 2015
- BATS Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.
- SR-BATS-2015-78
- September 24, 2015
- BATS Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.
- SR-BATS-2015-77
- September 23, 2015
- BATS Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.
- SR-BATS-2015-76
- September 21, 2015
- BATS Exchange, Inc. proposes to to restructure and amend Rule 11.17, Clearly Erroneous Executions.
- SR-BATS-2015-74
- September 9, 2015
- BATS Exchange, Inc. proposes a rule change related to fees to adopt a Tape B Volume Tier.
- SR-BATS-2015-71
- September 2, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-65
- August 18, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.
- SR-BATS-2015-64
- August 24, 2015
- Proposal to adopt fees for a market data product known as BZX Book Viewer.
- SR-BATS-2015-63
- August 12, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-62
- August 7, 2015
- Proposal to amend Rule 11.22 to describe the market data product BZX Book Viewer.
- SR-BATS-2015-60
- August 7, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-58
- August 3, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-56 Amendment No. 2
- September 4, 2015
- Second amendment to SR-BATS-2015-56.
- SR-BATS-2015-56 Amendment No. 1
- August 19, 2015
- Amendment to SR-BATS-2015-56.
- SR-BATS-2015-56
- July 30, 2015
- BATS Exchange, Inc. proposes to list and trade shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11
- SR-BATS-2015-55
- July 23, 2015
- BATS Exchange, Inc. proposes to extend the pilot period of the Supplemental Competitive Liquidity Provider Program.
- SR-BATS-2015-54
- July 23, 2015
- BATS Exchange, Inc. proposes to Delay Implementation of SR-BATS-2015-51.
- SR-BATS-2015-53
- July 6, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-52
- July 1, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-51
- June 30, 2015
- BATS Exchange, Inc. proposes to amend to Rule 21.1(d)(9), (h) and (i) to modify the operation of BATS Post Only Orders on its Options platform.
- SR-BATS-2015-50
- June 29, 2015
- BATS Exchange, Inc. proposes to extend the Penny Pilot Program for BATS Options through June 30, 2016.
- SR-BATS-2015-48
- July 1, 2015
- BATS Exchange proposes to amend the market data section of its fee schedule.
- SR-BATS-2015-47
- June 16, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.9 to modify its Price Adjust functionality.
- SR-BATS-2015-46
- June 19, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-45
- June 9, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-44
- June 9, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-43
- June 5, 2015
- BATS Exchange, Inc. proposes to amend Rule 19.3(i) with respect to BATS Options.
- SR-BATS-2015-40
- May 27, 2015
- BATS Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.
- SR-BATS-2015-39
- May 22, 2015
- BATS Exchange, Inc. proposes to amend fees applicable to securities listed on its Exchange pursuant to BATS Rule 14.13.
- SR-BATS-2015-38
- May 6, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-37-Amendment-No-1
- May 15, 2015
- Amendment to SR-BATS-2015-37
- SR-BATS-2015-37
- May 5, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.
- SR-BATS-2015-35
- May 1, 2015
- Amendment to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-33
- April 16, 2015
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-31
- April 1, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.23, Auctions.
- SR-BATS-2015-30
- April 1, 2015
- Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules
- SR-BATS-2015-29
- April 6, 2015
- Proposal to amend the content of the BATS One Feed under Rule 11.22(j) to include consolidated volume for all listed equity securities.
- SR-BATS-2015-28
- April 1, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-26
- April 1, 2015
- Proposal to amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, to adopt a new provision to account for erroneous trades occurring from disruptions and/or malfunctions of Exchange systems.
- SR-BATS-2015-25
- March 26, 2015
- BATS Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.
- SR-BATS-2015-24
- March 17, 2015
- BATS Exchange, Inc. proposes to amend the fees for the BATS One Market Data Product.
- SR-BATS-2015-23
- March 17, 2015
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-22
- March 13, 2015
- BATS Exchange, Inc. proposes to adopt new Rule 21.17, Exchange Sharing of User Designated Risk Settings.
- SR-BATS-2015-20
- March 2, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-17
- February 20, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.
- SR-BATS-2015-16
- March 3, 2015
- BATS Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.
- SR-BATS-2015-15
- February 18, 2015
- BATS Exchange, Inc. proposes to amend Rule 11.22 to update the names of certain market data products.
- SR-BATS-2015-14
- February 12, 2015
- BATS Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
- SR-BATS-2015-13
- February 10, 2015
- Amendments to the fee schedule of BATS Exchange, Inc.
- SR-BATS-2015-124 Amendment No. 5
- March 28, 2016
- The Exchange proposes a fifth amendment to SR-BATS-2015-124.
- SR-BATS-2015-124 Amendment No. 2
- February 12, 2016
- The Exchange proposes a second amendment to SR-BATS-2015-124.
- SR-BATS-2015-124 Amendment No. 1
- February 10, 2016
- The Exchange proposes an amendment to SR-BATS-2015-124.
- SR-BATS-2015-124
- December 30, 2015
- The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust.
- SR-BATS-2015-123
- December 30, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees.
- SR-BATS-2015-122
- December 28, 2015
- BATS Exchange, Inc.; proposes rule changes to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders.
- SR-BATS-2015-121
- December 29, 2015
- BATS Exchange, Inc. proposes rule changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers.
- SR-BATS-2015-120
- December 29, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
- SR-BATS-2015-12
- February 5, 2015
- BATS Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.
- SR-BATS-2015-119
- December 23, 2015
- BATS Exchange, Inc.; proposes a rule change to amend Rule 11.22, Data Products, to describe IPO Auction Viewer.
- SR-BATS-2015-118
- December 22, 2015
- BATS Exchange, Inc. proposes rule changes relating to Proprietary Trader and Proprietary Trader Principal registration categories, Securities Trader and Securities Trader Principal registration categories, and establishing the Series 57 Examination.
- SR-BATS-2015-117
- December 10, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
- SR-BATS-2015-116
- December 9, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees for BZX Options.
- SR-BATS-2015-115
- December 17, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees.
- SR-BATS-2015-114
- December 15, 2015
- BATS Exchange, Inc. proposes a rule change related to Fees.
- SR-BATS-2015-112
- December 2, 2015
- BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.
- SR-BATS-2015-112
- December 2, 2015
- BATS Exchange, Inc. proposes a rule change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), amending Aggressive Re-Route Instruction.
- SR-BATS-2015-111
- December 2, 2015
- BATS Exchange, Inc. proposes a rule change to Rule 19.6, Series of Options Contracts Open for Trading.
- SR-BATS-2015-110
- December 2, 2015
- BATS Exchange, Inc. proposes a rule change to Rule 13.3, Forwarding or Proxy and other Issuer Materials; Proxy Voting.
- SR-BATS-2015-11
- February 3, 2015
- BATS Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BZX Top and BZX Last Sale.
- SR-BATS-2015-108 Amendment No. 1
- March 2, 2016
- The Exchange proposes a partial amendment to SR-BATS-2015-108.
- SR-BATS-2015-108
- November 30, 2015
- The Exchange proposes a rule change to adopt Rule 11.27 regarding the quoting and trading requirements of the Tick Size Pilot Program.
- SR-BATS-2015-105 Amendment No. 3
- March 22, 2016
- The Exchange proposes a third amendment to SR-BATS-2015-105.
- SR-BATS-2015-105 Amendment No. 2
- February 24, 2016
- The Exchange proposes a second amendment to SR-BATS-2015-105.
- SR-BATS-2015-105 Amendment No. 1
- February 18, 2016
- The Exchange proposes an amendment to SR-BATS-2015-105.
- SR-BATS-2015-105
- December 18, 2015
- The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares, to list and trade the shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust.
- SR-BATS-2015-102 Amendment No. 2
- February 5, 2016
- The Exchange proposes an amendment to SR-BATS-2015-102.
- SR-BATS-2015-102
- November 13, 2015
- The Exchange proposes a rule change to adopt Rule 11.27 regarding the data collection requirements of the Tick Size Pilot Program.
- SR-BATS-2015-101 Amendment No. 1
- November 17, 2015
- The Exchange proposes an amendment to SR-BATS-2015-101.
- SR-BATS-2015-101
- November 9, 2015
- The Exchange proposes to adopt new Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit Disruptive Quoting and Trading Activity.
- SR-BATS-2015-100 Amendment No. 6
- July 21, 2016
- The Exchange proposes a sixth amendment to SR-BATS-2015-100.
- SR-BATS-2015-100 Amendment No. 5
- June 3, 2016
- The Exchange proposes a fifth amendment to SR-BATS-2015-100.
- SR-BATS-2015-100 Amendment No. 4
- February 17, 2016
- The Exchange proposes a fourth amendment to SR-BATS-2015-100.
- SR-BATS-2015-100 Amendment No. 3
- February 11, 2016
- The Exchange proposes a third amendment to SR-BATS-2015-100.
- SR-BATS-2015-100 Amendment No. 1
- February 10, 2016
- The Exchange proposes an amendment to SR-BATS-2015-100.
- SR-BATS-2015-100
- November 18, 2015
- The Exchange proposes a rule change to amend BATS Rule 14.11(i) to adopt Generic Listing Standards for Managed Fund Shares.
- SR-BATS-2015-09
- January 30, 2015
- BATS Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.
- SR-BATS-2015-08
- January 22, 2015
- Amendments to the fee schedule to adopt an Options Regulatory Fee (ORF), effective February 2, 2015.
- SR-BATS-2015-07
- January 22, 2015
- BATS Exchange, Inc. proposes to amend Rules 2.5(c)(4) and 11.5 to harmonize with EDGA and EDGX Rules, its membership requirements applicable to clearing agencies that clear transactions for members.
- SR-BATS-2015-06
- January 22, 2015
- BATS Exchange, Inc. proposes to amend the fees applicable to securities listed on its Exchange pursuant to Rule 14.13.
- SR-BATS-2015-05
- January 14, 2015
- BATS Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.
- SR-BATS-2015-04
- January 7, 2015
- BATS Exchange, Inc. proposed to clarify the use of certain data feeds.
- SR-BATS-2015-02
- January 2, 2015
- Amendments to the fee schedule of BATS Exchange, Inc. with respect to BATS Options pricing.
- SR-BATS-2015-01
- January 2, 2015
- Amendments to the fee schedule of BATS Exchange, Inc.