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

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SR-CboeBZX-2021-078: November 17, 2021; The Exchange proposes to introduce a new data product to be known as the Short Volume Report.
SR-CboeBZX-2021-076: November 8, 2021; The Exchange proposes to amend Interpretation and Policy .01 to Rule 11.13 in connection with a risk setting that Users may elect to apply to their orders in hard to borrow securities.
SR-CboeBZX-2021-056 Amendment No. 2: November 16, 2021; The Exchange proposes a second amendment to SR-CboeBZX-2021-056.
SR-CboeBZX-2021-056 Amendment No. 1: November 5, 2021; The Exchange proposes an amendment to SR-CboeBZX-2021-056.
SR-CboeBZX-2021-056: August 12, 2021; The Exchange proposes to allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF, each a series of the Invesco Actively Managed Exchange-Traded Fund Trust, to strike and publish an intra-day net asset value and an end-of-day NAV.
SR-CboeBZX-2021-052: August 3, 2021; The Exchange proposes to list and trade shares of the Global X Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-051: July 20, 2021; The Exchange proposes a rule change to list and trade shares of the ARK 21Shares Bitcoin ETF, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-039: May 10, 2021; The Exchange proposes a rule change to list and trade shares of the Wise Origin Bitcoin Trust (the “Trust”), under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-029: April 9, 2021; The Exchange proposes a rule change to list and trade shares of the Kryptoin Bitcoin ETF Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-024: March 26, 2021; The Exchange rule change to list and trade shares of the WisdomTree Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2021-019 Amendment No. 3: November 4, 2021; The Exchange proposes a third amendment to SR-CboeBZX-2021-019.
SR-CboeBZX-2021-019 Amendment No. 2: October 1, 2021; The Exchange proposes a second amendment to SR-CboeBZX-2021-019.
SR-CboeBZX-2021-019: March 1, 2021; The Exchange proposes a rule change to list and trade shares of the VanEck Bitcoin Trust (the “Trust”), under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.

Approved and Immediately Effective Rule Changes

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SR-CboeBZX-2021-075: November 2, 2021; The Exchange proposes to allow certain Tracking Fund Shares listed pursuant to Exchange Rule 14.11(m) to include select securities from the universe from which a Fund's investments are selected in the Fund's Tracking Basket.
SR-CboeBZX-2021-073: November 9, 2021; The Exchange proposes to amend how the BZX Official Closing Price is determined for a BZX-listed security that is not a corporate security, pursuant to Rule 11.23(c)(2)(B)(ii)(b).
SR-CboeBZX-2021-072: October 25, 2021; The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options through May 2, 2022.
SR-CboeBZX-2021-071: October 14, 2021; The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
SR-CboeBZX-2021-070: October 14, 2021; The Exchange proposes to extend the current pilot program related to Clearly Erroneous Executions, to the close of business on April 20, 2022.
SR-CboeBZX-2021-069: October 1, 2021; The Exchange proposes to amend Rule 19.6.05 to allow Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on IWM.
SR-CboeBZX-2021-068: September 30, 2021; The Exchange proposes to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13, Company Listing Fees.
SR-CboeBZX-2021-067: September 30, 2021; The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2021-066: September 29, 2021; The Exchange proposes to adopt rules regarding off-floor transactions.
SR-CboeBZX-2021-065: September 24, 2021; The Exchange proposes to amend Rule 21.1 in connection with Time-in-Force instructions available for bulk messages and to make a clarifying change.
SR-CboeBZX-2021-064: September 21, 2021; The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2021-063: September 29, 2021; The Exchange proposes to list and trade shares of Hartford Large Cap Growth ETF, a series of Hartford Funds Exchange-Traded Trust, under Rule 14.11(m), Tracking Fund Shares.
SR-CboeBZX-2021-060: August 31, 2021; The Exchange proposes to reflect an amendment to the Application and Exemptive Order governing the following funds, shares of which are listed and traded on the Exchange under BZX Rule 14.11(m).
SR-CboeBZX-2021-059: September 22, 2021; The Exchange proposes to exempt certain categories of investment companies registered under the Investment Company Act of 1940 from the requirement to obtain shareholder approval prior to the issuance of securities in connection with certain acquisitions of the stock or assets of another company.
SR-CboeBZX-2021-058: August 30, 2021; The Exchange proposes to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13.
SR-CboeBZX-2021-055: August 2, 2021; The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2021-054: July 28, 2021; The Exchange proposes to modify the bulk message fat finger check.
SR-CboeBZX-2021-053: August 3, 2021; The Exchange proposes to amend Rule 14.11(m) (Tracking Fund Shares) to provide for the use of “Custom Baskets” consistent with the exemptive relief issued pursuant to the Investment Company Act of 1940 applicable to a series of Tracking Fund Shares.
SR-CboeBZX-2021-050: July 12, 2021; The Exchange proposes to amend the Fee Schedule.
SR-CboeBZX-2021-048: July 1, 2021; The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2021-047: August 31, 2021; The Exchange proposes to amend Rule 11.22 to introduce a new product to be known as Cboe Premium Exchange Tools and to amend its Fee Schedule to establish a fee for a user login that elects to subscribe to the Cboe Premium Exchange Tools.
SR-CboeBZX-2021-046: June 17, 2021; The Exchange proposes to amend the content of the Cboe One Feed under Rule 11.22(j) to identify the consolidated high and low price.
SR-CboeBZX-2021-045: June 9, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2021-043: June 1, 2021; The Exchange proposes to amend Open-Close Data fees.
SR-CboeBZX-2021-041: May 19, 2021; The Exchange proposes to define the terms Derivative Security and UTP Derivative Security in Exchange Rule 1.5 and to make certain amendments to Rules 3.21 and 14.11 to both simplify and clarify the Exchanges Rulebook.
SR-CboeBZX-2021-040: May 12, 2021; The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2021-038: May 3, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2021-035 Amendment No. 1: June 18, 2021; The Exchange proposes an amendment to SR-CboeBZX-2021-035.
SR-CboeBZX-2021-035: April 26, 2021; The Exchange proposes to amend its process for re-opening securities listed on other national securities exchanges following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or After Hours Session.
SR-CboeBZX-2021-034: April 21, 2021; The Exchange proposes to adopt a Consolidated Audit Trail (CAT) Fee Schedule.
SR-CboeBZX-2021-033: April 21, 2021; The Exchange proposes to amend Rule 19.6.05 to allow Monday and Wednesday expirations for options listed pursuant to the Short Term Option Series Program on the Invesco QQQ Trust (“QQQ”).
SR-CboeBZX-2021-031: April 16, 2021; The Exchange proposes to extend the pilot programs in connection with the listing and trading of P.M.-settled series on certain broad-based index options.
SR-CboeBZX-2021-030: April 12, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2021-028 Amendment No. 1: July 28, 2021; The Exchange proposes an amendment to SR-CboeBZX-2021-028.
SR-CboeBZX-2021-028: April 16, 2021; The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeBZX-2021-027: April 5, 2021; The Exchange proposes to extend the current pilot program related to Clearly Erroneous Executions, to the close of business on October 20, 2021.
SR-CboeBZX-2021-025: April 1, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2021-023: March 26, 2021; The Exchange proposes to extend the cutoff time for accepting on close orders entered for participation in the Exchange’s Closing Auction and make clarifying changes to the definitions of Late-Limit-On-Close (“LLOC”) and Late-Limit-On-Open (“LLOO”) orders as provided in Exchange Rule 11.23.
SR-CboeBZX-2021-022: March 19, 2021; The Exchange proposes to amend its Rules in connection with limiting the number of strikes listed for Short Term Options Series which are available for quoting and trading on the Exchange.
SR-CboeBZX-2021-021: March 4, 2021; The Exchange proposes to amend the Fee Schedule to expand the existing Financial Product Distribution Program to provide for a Derived Data Platform Service.
SR-CboeBZX-2021-020: March 4, 2021; The Exchange proposes to amend the fees applicable to the BZX Top Feed.
SR-CboeBZX-2021-018: March 1, 2021; The Exchange proposes to amend Rule 11.13, as well as its Fee Schedule, to delete references to the INET, RDOX, and TRIM- routing options.
SR-CboeBZX-2021-017: February 18, 2021; The Exchange proposes the correction of certain billing errors.
SR-CboeBZX-2021-016: February 10, 2021; The Exchange proposes to amend the fee schedule.
SR-CboeBZX-2021-013: January 15, 2021; The Exchange proposes to amend the CAT compliance rule to be consistent with a conditional exemption granted by the SEC from certain allocation reporting requirements.
SR-CboeBZX-2021-012: January 13, 2021; The Exchange proposes to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13.
SR-CboeBZX-2021-011: January 13, 2021; The Exchange proposes to amend its fee schedule to establish a fee in connection with a Member’s Market Participant Identifier(s).
SR-CboeBZX-2021-010: January 13, 2021; The Exchange proposes to amend the fee schedule.
SR-CboeBZX-2021-009: January 11, 2021; The Exchange proposes a rule change to adopt an automated process pursuant to which an option will open if it is open for trading on another exchange after a specified amount of time.
SR-CboeBZX-2021-005: January 4, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2021-004: January 4, 2021; The Exchange proposes to amend its Fees Schedule.
SR-CbeoBZX-2021-079: November 23, 2021; The Exchange proposes to amend its Fee Schedule.