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.