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-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
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-2023-072
September 26, 2023
The Exchange proposes to list and trade shares of the Franklin Bitcoin ETF, a series of Franklin Templeton Digital Holdings Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
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
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-2023-063
September 19, 2023
The Exchange proposes to adopt an alternative to the minimum $4 price requirement for companies seeking to list Tier II securities on the Exchange.
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).
SR-CboeBZX-2023-058
August 4, 2023
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-2023-044 Amendment No. 2
July 13, 2023
The Exchange proposes a second amendment to SR-CboeBZX-2023-044.
SR-CboeBZX-2023-044 Amendment No. 1
July 11, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-044.
SR-CboeBZX-2023-044
June 30, 2023
The Exchange proposes to list and trade shares of the Wise Origin Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-042 Amendment No. 1
July 11, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-042.
SR-CboeBZX-2023-042
June 30, 2023
The Exchange proposes to list and trade shares of the WisdomTree Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-040 Amendment No. 1
July 11, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-040.
SR-CboeBZX-2023-040
June 30, 2023
The Exchange proposes to list and trade shares of the VanEck Bitcoin Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-038 Amendment No. 1
July 11, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-038.
SR-CboeBZX-2023-038
June 30, 2023
The Exchange proposes to list and trade shares of the Invesco Galaxy Bitcoin ETF, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
SR-CboeBZX-2023-028 Amendment No. 4
October 24, 2023
The Exchange proposes a fourth amendment to SR-CboeBZX-2023-028.
SR-CboeBZX-2023-028 Amendment No. 3
July 11, 2023
The Exchange proposes a third amendment to SR-CboeBZX-2023-028.
SR-CboeBZX-2023-028 Amendment No. 2
June 30, 2023
The Exchange proposes a second amendment to SR-CboeBZX-2023-028.
SR-CboeBZX-2023-028 Amendment No. 1
June 28, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-028.
SR-CboeBZX-2023-028
April 25, 2023
The Exchange proposes to list and trade shares of the ARK 21Shares Bitcoin ETF, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.

Approved and Immediately Effective Rule Changes

SR-CboeBZX-2023-100
December 4, 2023
The Exchange proposes to adopt a Low Priced Stock Strike Price Interval Program.
SR-CboeBZX-2023-099
December 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-098
December 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-097
December 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-096
November 22, 2023
The Exchange proposes to amend its Short Term Option Series Program.
SR-CboeBZX-2023-094
November 15, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-093
November 16, 2023
The Exchange proposes to amend its Rules to adopt Monthly Options Series.
SR-CboeBZX-2023-092
November 8, 2023
The Exchange proposes to amend Rule 14.13.
SR-CboeBZX-2023-091
November 1, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-085
October 19, 2023
The Exchange proposes to amend its rules relating to the Continuing Education for Registered Persons as provided under Exchange Rule 2.16.01.
SR-CboeBZX-2023-084
October 16, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-083
October 13, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-081
October 4, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-075
September 29, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-074
September 28, 2023
The Exchange proposes to amend its Fees Schedule relating to the Options Regulatory Fee.
SR-CboeBZX-2023-073
September 28, 2023
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-2023-071
September 12, 2023
The Exchange proposes to amend its Fee Schedule related to the Options Regulatory Fee.
SR-CboeBZX-2023-068
September 1, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-067
September 1, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-065
September 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-064
September 1, 2023
The Exchange proposes a rule change to waive three day lookback period to list options on certain IPOd stocks.
SR-CboeBZX-2023-061
August 8, 2023
The Exchange proposes to amend its Fee Schedule related to the Options Regulatory Fee.
SR-CboeBZX-2023-060
August 8, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-059
August 8, 2023
The Exchange proposes to amend Exchange Rule 11.22 (“Data Products”) to eliminate one of the Exchange’s data offerings.
SR-CboeBZX-2023-056
August 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-055
July 27, 2023
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-2023-054
July 26, 2023
The Exchange proposes to amend Rule 11.9(f) to allow Match Trade Prevention between Users that access the Exchange with both a direct connection and Sponsored Access.
SR-CboeBZX-2023-053
July 24, 2023
The Exchange proposes to enhance its drill-through protection processes for simple orders and make other clarifying changes.
SR-CboeBZX-2023-051
July 14, 2023
The Exchange proposes to update its Fees Schedule.
SR-CboeBZX-2023-050
July 14, 2023
The Exchange proposes to amend Exchange rules to provide Users with a risk setting they may elect to apply to their orders that will allow them to reject market orders during continuous trading and/or auctions.
SR-CboeBZX-2023-049
July 12, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-043
June 27, 2023
The Exchange proposes to list and trade shares of the Principal Focused Blue Chip ETF, a series of Principal Exchange-Traded Funds, under Exchange Rule 14.11(m), Tracking Fund Shares.
SR-CboeBZX-2023-039
June 22, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-037
June 1, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-034
May 2, 2023
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-2023-033
May 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-031
May 1, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-030
April 28, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-029
April 25, 2023
The Exchange proposes changes to describe how the System handles cancel/replace messages, including no-change orders.
SR-CboeBZX-2023-027
April 21, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-024
April 5, 2023
The Exchange proposes to introduce a new data product to be known as the US Equity Short Volume & Trades Report.
SR-CboeBZX-2023-023
April 3, 2023
The Exchange proposes to amend its Fees Schedule.
SR-CboeBZX-2023-015
February 28, 2023
The Exchange proposes to amend applicable “Sponsored Participants” Rules, to: (1) define the term “Sponsored Access”; (2) provide that the Sponsored Participant rules of the Exchange apply only to the trading of equities; and (3) to codify that the agreement required by and between the Sponsoring Member and Sponsored Participant must include a provision that any Sponsored Access relationship must follow the requirements of SEC Rule 15c3-5, the Market Access Rule (“MAR”).
SR-CboeBZX-2023-014
February 27, 2023
The Exchange proposes to adopt a new data product called the Cboe One Options Feed.
SR-CboeBZX-2023-013 Amendment No. 2
June 7, 2023
The Exchange proposes a second amendment to SR-CboeBZX-2023-013.
SR-CboeBZX-2023-013 Amendment No. 1
March 3, 2023
The Exchange proposes an amendment to SR-CboeBZX-2023-013.
SR-CboeBZX-2023-013
February 24, 2023
The Exchange proposes to establish listing standards related to recovery of erroneously awarded executive compensation as required by SEC Rule 10D-1.
SR-CboeBZX-2023-012
February 15, 2023
The Exchange proposes to amend Rule 11.9, Orders and Modifiers, and Rule 11.12, Priority of Orders, to provide that an order marked sell short will receive a new timestamp when its position is modified using a Replace Message during a Short Sale Circuit Breaker. The Exchange also proposes to amend Rule 11.13, Order Execution and Routing.
SR-CboeBZX-2023-011
February 14, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-010
February 9, 2023
The Exchange proposes to amend applicable exchange rules, Usage of Data feeds, to disclose that the Exchange will utilize direct data feeds from MEMX LLC.
SR-CboeBZX-2023-007
February 2, 2023
The Exchange proposes to amend its Fee Schedule.
SR-CboeBZX-2023-002
January 3, 2023
The Exchange proposes to amend its Fees Schedule.