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-2024-026
- 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-CboeBZX-2024-031
- April 23, 2024
- The Exchange proposes to amend the Franklin Bitcoin ETF, shares of which are listed and traded on the Exchange pursuant to BZX Rule 14.11(e)(4), to amend the time at which purchase orders for cash transaction creation baskets must be placed.
- SR-CboeBZX-2024-030
- April 18, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-029
- April 15, 2024
- The Exchange proposes to amend the Short Term Options Series Program in Rule 19.6, Interpretation and Policy .05.
- SR-CboeBZX-2024-027
- April 9, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-025
- April 1, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-024
- April 1, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-023
- March 19, 2024
- The Exchange proposes to amend Rule 2.8, related to the voluntary termination of rights as an Exchange Member.
- SR-CboeBZX-2024-022
- March 4, 2024
- The Exchange proposes to amend the VanEck Bitcoin Trust, shares of which are listed and traded on the Exchange pursuant to BZX Rule 14.11(e)(4), to amend the creation basket size.
- SR-CboeBZX-2024-021
- March 1, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-020
- March 1, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-019
- February 22, 2024
- The Exchange proposes to modify the Company Listing Fees as provided under Exchange Rule 14.13.
- SR-CboeBZX-2024-013
- February 2, 2024
- The Exchange proposes to modify the Minimum Performance Standards applicable to Primary Equity Securities under the Lead Market Maker program (“LMM Program”) as set forth in Rule 11.8(e)(1)(E), and to make corresponding changes to its Fee Schedule.
- SR-CboeBZX-2024-011
- February 1, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-010
- January 29, 2024
- The Exchange proposes to amend its Corporate Governance Requirements, as provided under Exchange Rule 14.10 and make certain other changes to its listing rules as provided under Exchange Rules 14.3, 14.6, 14.7, and 14.12.
- SR-CboeBZX-2024-005
- January 3, 2024
- The Exchange proposes to exclude ISOs from the drill-through protection.
- SR-CboeBZX-2024-003
- January 2, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-002
- January 2, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-001
- January 2, 2024
- The Exchange proposes to amend its Fees Schedule.