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.
The Exchange proposes to amend Rule 11.9(d) to permit an Intermarket Sweep Order containing a time-in-force other than IOC to be entered as a Non-Displayed Order.
The Exchange proposes to list and trade shares of the GraniteShares 4x Long Russell 1000 Daily ETF (“4x Long Fund”) and the GraniteShares 4x Short Russell 1000 Daily ETF (“4x Short Fund” together with the 4x Long Fund, the “Funds”), each a series of GraniteShares ETP Trust (the “Trust”), under Rule 14.11(f)(4) (“Trust Issued Receipts”).
The Exchange proposes a rule change to list shares of the ARK Genomic Revolution ETF and ARK Autonomous Technology and Robotics ETF under Rule 14.11(i), Managed Fund Shares.
The Exchange proposes to amend Interpretation and Policy .01 of Rule 2.4 to allow the Exchange to provide annual notification to individual Members that are subject to paragraph (b) of Rule 2.4.
The Exchange proposes a rule change to adopt Rule 14.11(m), Portfolio Fund Shares, and to list and trade shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, each a series of the Fidelity Beach Street Trust, under such proposed Rule 14.11(m).
The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
The Exchange proposes to allow the Hartford Short Duration ETF (the “Fund”), a series of Hartford Funds Exchange-Traded Trust (the “Trust”), to hold certain fixed income instruments in a manner that does not comply with Rule 14.11(i) (“Managed Fund Shares”).
The Exchange proposes a rule change to adopt BZX Rule 14.11(l) to permit the listing and trading of Exchange-Traded Fund Shares that are permitted to operate in reliance on Rule 6c-11 under the Investment Company Act of 1940.
The Exchange proposes to amend the definition of the Final Last Sale Eligible Trade (“FLSET”) such that odd lot trades executed on BZX would not be eligible to establish the FLSET for a security.
The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. using the ALLB, TRIM, or SLIM routing strategy.
The Exchange proposes to extend the current pilot program related to BZX Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2020.
The Exchange proposes to list and trade shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs under the First Trust Exchange-Traded Fund VIII (the “Trust”), under Rule 14.11(i) (“Managed Fund Shares”).
The Exchange proposes a rule change to allow the Aptus Collared Income Opportunity ETF, a series of ETF Series Solutions, to hold certain instruments in a manner that does not necessarily comply with Rule 14.11(i), Managed Fund Shares.
The Exchange proposes a rule change to waive the fees for a single 1 gigabyte physical port in its secondary data center for Members that are registered as an LMM on the Exchange for the first twelve months following the Member establishing physical connectivity to the secondary data center.
The Exchange proposes a rule change to amend the fees applicable to securities listed on the Exchange, which areset forth in BZX Rule 14.13, Company Listing Fees.
The Exchange proposes a rule change to list and trade shares of the Innovator S&P 500 Total Buffer ETF Series under the Innovator ETFs Trust, under Rule 14.11(i), Managed Fund Shares.
The Exchange proposes a rule change to Rule 14.11(i), Managed Fund Shares. Specifically relating to generic listing standards for Managed Fund Shares applicable to holdings in fixed income securities.
The Exchange proposes a rule change to list and trade shares of the Innovator-100 Buffer, Power Buffer, and Ultra Buffer ETF Series and the Innovator Russell 2000 Buffer, Power Buffer, and Ultra Buffer ETF Series under the Innovator ETFs Trust under Rule 14.11(i) (“Managed Fund Shares”).
The Exchange proposes to amend the fee schedule applicable to the BZX equities trading platform as it relates to pricing for orders routed to Cboe EDGX Exchange, Inc.
The Exchange proposes to amend the fee schedule applicable to its equities trading platform to replace the rebates applicable to Lead Market Makers in BZX-listed securities with daily incentives that are directly tied to meeting market quality metrics without regard to transactions executed.
The Exchange proposes a rule change to list and trade shares of the following under currently proposed Rule 14.11(k): American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF.
The Exchange proposes a rule change to allow the Cambria Tail Risk ETF, a series of the Cambria ETF Trust, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
The Exchange proposes to allow for a User to elect that a bulk message opt-out of the display-price sliding process, as well as be subject to the lock-only display-price sliding process.
The Exchange proposes a rule change to adopt BZX Rule 14.11(k) to permit the listing and trading of Managed Portfolio Shares, which are shares of actively managed exchange-traded funds for which the portfolio is disclosed in accordance with standard mutual fund disclosure rules.
The Exchange proposes a rule change to amend the fees applicable to securities listed on the Exchange, which are set forth in BZX Rule 14.13, Company Listing Fees.
The Exchange proposes to amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to delete references to the TRIM2 and SWPB routing options.
The Exchange proposes a rule change to to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds 2021, 2022, 2023, 2024 & 2025 Term High Yield and Income ETFs of iShares Trust.
The Exchange proposed a rule change to allow the Main Sector Rotation ETF, a series of the Northern Lights Fund Trust IV, to hold listed options contracts in a manner that does not comply with Rule 14.11(i), Managed Fund Shares.
The Exchange proposes to extend the pilot program related to BZX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the close of business on October 18, 2019.
The Exchange proposes a rule change to amend Exchange Rule 14.11(c), Index Fund Shares, to adopt generic listing standards for Index Fund Shares based on an index of municipal bond securities.
The Exchange proposes to extend the current pilot program related to Rule 11.17, Clearly Erroneous Executions, to the close of business on October 18, 2019.
The Exchange proposes to amend Rule 21.5, Interpretation and Policy .01 to specify that replacement issues may be added to the Penny Pilot Program on a quarterly basis, without altering the expiration date of the Pilot, which is June 30, 2019.
The Exchange proposes to list and trade shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund pursuant to Rule 14.11(I).
The Exchange proposes to list and trade under BZX Rule 14.11(c)(4) the shares of the iShares iBonds Dec 2026 Term Muni Bond ETF, iShares iBonds Dec 2027 Term Muni Bond ETF, and iShares iBonds Dec 2028 Term Muni Bond ETF of iShares Trust.
The Exchange proposes a rule change to allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust to hold certain instruments in a manner that may not comply with Rule 14.11(i), Managed Fund Shares.
The Exchange proposes to allow the addition of new series of options on an individual stock until the close of trading on the business day prior to expiration in unusual market conditions.
The Exchange proposes a rule change to amend the fee schedule applicable to Members and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c).
The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
