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-2024-112
- November 8, 2024
- The Exchange proposes to amend Rule 14.11(l).
- SR-CboeBZX-2024-091
- September 19, 2024
- The Exchange proposes to list and trade shares of the Franklin Crypto Index ETF, a series of the Franklin Crypto Trust, under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares.
- SR-CboeBZX-2024-087
- October 11, 2024
- The Exchange proposes a rule change with respect to amendments to the Seventh Amended and Restated Bylaws.
- SR-CboeBZX-2024-055 Amendment No. 1
- July 2, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2024-055.
- SR-CboeBZX-2024-055
- June 25, 2024
- The Exchange proposes to exempt closed-end management investment companies registered under the Investment Company Act of 1940 from the annual meeting of Shareholders requirement set forth in Exchange Rule 14.10(f).
- SR-CboeBZX-2024-032 Amendment No. 3
- August 14, 2024
- The Exchange proposes a third amendment to SR-CboeBZX-2024-032.
- SR-CboeBZX-2024-032 Amendment No. 2
- August 12, 2024
- The Exchange proposes a second amendment to SR-CboeBZX-2024-032.
- SR-CboeBZX-2024-032 Amendment No. 1
- May 13, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2024-032.
- SR-CboeBZX-2024-032
- April 29, 2024
- The Exchange proposes to amend Rule 11.28(a) to add four additional MOC Cut-Off Times to Cboe Market Close.
Approved and Immediately Effective Rule Changes
- SR-CboeBZX-2024-115
- November 20, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-113
- November 12, 2024
- The Exchange proposes to adopt fees for new logical ports in connection with a new connectivity offering on its equity options platform.
- SR-CboeBZX-2024-111
- November 1, 2024
- The Exchange proposes to adopt fees for its new offering of market data reports.
- SR-CboeBZX-2024-109
- October 28, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-108
- October 28, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-104
- October 18, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-103
- October 18, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-102
- October 18, 2024
- 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-2024-101
- October 16, 2024
- The Exchange proposes to amend the Short Term Option Series Program in Rule 19.6, Interpretation and Policy .05.
- SR-CboeBZX-2024-099
- October 10, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-098
- October 10, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-097
- October 9, 2024
- 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-2024-094
- September 30, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-093
- September 26, 2024
- The Exchange proposes to extend the implementation date of functionality that will provide Members and Clearing Members with the option to utilize additional credit risk settings.
- SR-CboeBZX-2024-089
- September 16, 2024
- The Exchange proposes to amend Exchange Rule 14.11(e)(10) to add certain financial instruments that an issue of Managed Trust Securities may hold and list and trade shares of the Dynamic Short Short-Term Volatility Futures ETF, a series of Dynamic Shares Trust, under Rule 14.11(e)(10) (Managed Trust Securities).
- SR-CboeBZX-2024-084
- September 12, 2024
- The Exchange proposes to amend the ARK 21Shares Bitcoin ETF and the 21Shares Core Ethereum ETF, shares of which have been approved by the Commission to list and trade on the Exchange pursuant to BZX Rule 14.11(e)(4), to add two new custodians to each trust.
- SR-CboeBZX-2024-083
- September 10, 2024
- The Exchange proposes to modify the Company Listing Fees under Exchange Rule 14.13.
- SR-CboeBZX-2024-078
- August 22, 2024
- The Exchange proposes to amend its fee schedule entitled Consolidated Audit Trail Funding Fees.
- SR-CboeBZX-2024-077
- August 15, 2024
- The Exchange proposes to adopt new market data reports.
- SR-CboeBZX-2024-076
- August 15, 2024
- The Exchange proposes to adopt a fee schedule entitled “Consolidated Audit Trail Funding Fees.”
- SR-CboeBZX-2024-074
- August 1, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-071
- July 17, 2024
- The Exchange proposes to establish new logical ports in connection with a new connectivity offering on its equity options platform.
- SR-CboeBZX-2024-068
- July 9, 2024
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBZX-2024-065
- July 3, 2024
- The Exchange proposes to modify the fees the Exchange charges Companies seeking a review of a Delisting Determination, public reprimand letter, or written denial of an initial listing application.
- SR-CboeBZX-2024-064
- July 2, 2024
- The Exchange proposes to amend the strike interval for options on SPDR® Gold Shares (“GLD”).
- SR-CboeBZX-2024-062
- July 1, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-061
- June 26, 2024
- The Exchange proposes to modify the Company Listing Fees under Exchange Rule 14.13.
- SR-CboeBZX-2024-058
- June 13, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-050
- June 7, 2024
- The Exchange proposes to amend the ARK 21Shares Ethereum ETF, shares of which have been approved to list and trade on the Exchange pursuant to BZX Rule 14.11(e)(4), to amend the Trust name and reflect that the Trust will no longer have a sub-adviser.
- SR-CboeBZX-2024-049
- June 6, 2024
- The Exchange proposes to introduce a new connectivity offering.
- SR-CboeBZX-2024-048
- June 4, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-047
- June 3, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-046
- June 3, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-043
- May 29, 2024
- The Exchange proposes to amend Interpretation and Policy .03 to Rule 11.13 to provide an additional, optional risk setting to Members and Clearing Members.
- SR-CboeBZX-2024-041
- June 12, 2024
- 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-2024-040
- May 16, 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-2024-039
- May 13, 2024
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBZX-2024-037
- May 10, 2024
- The Exchange proposes to amend Rule 11.13 to describe the manner in which the Exchange processes executions in securities priced below $1.00 received from away Trading Centers priced in fractional pennies.
- SR-CboeBZX-2024-034
- May 1, 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-2024-025
- 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-2024-018 Amendment No. 1
- May 21, 2024
- The Exchange proposes an amendment to SR-CboeBZX-2024-018.
- 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-2024-013
- 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.