Cboe BZX Exchange, Inc. (CboeBZX) Rulemaking
The Bats BZX Exchange, Inc. has changed its name to Cboe BZX Exchange, Inc..
All filings by Cboe BZX Exchange will be posted to the Cboe BZX page. Filings filed with "Bats BZX" as part of the file number will be posted on the Bats BZX page.
We encourage the public to submit comments on the following Cboe BZX Exchange, Inc. (CboeBZX) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter | First Quarter
CboeBZX File Number List for 2018
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-CboeBZX-2018-085 | ||
| 34-84789 | Dec. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List Shares of the Cambria Global Momentum ETF under Rule 14.11(i), Managed Fund Shares
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2018-086 | ||
| 34-84777 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Provision Related to its Risk Monitor Mechanism
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-078 | ||
| 34-84750 | Dec. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund Under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-079 | ||
| 34-84738 | Dec. 6, 2018 | Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Establish How the BZX Official Closing Price Would be Determined for BZX-Listed Securities |
| SR-CboeBZX-2018-040 | ||
| 34-84731 | Dec. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| SR-CboeBZX-2018-076 | ||
| 34-84719 | Dec. 4, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-084 | ||
| 34-84695 | Nov. 30, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.8, Long-Term Options Contracts
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2018-083 | ||
| 34-84653 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees
Comments due: December 21, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-082 | ||
| 34-84631 | Nov. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Regarding How the System Handles Market Orders in Series with no Bid or No Offer
Comments due: December 18, 2018 |
| SR-CboeBZX-2018-077 | ||
| 34-84604 | Nov. 15, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares
Comments due: December 12, 2018 |
| SR-CboeBZX-2018-018 | ||
| 34-84523 | Nov. 1, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) |
| SR-CboeBZX-2018-079 | ||
| 34-84507 | Oct. 30, 2018 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish How the BZX Official Closing Price Would be Determined for BZX-Listed Securities
Comments due: November 26, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-066 | ||
| 34-84480 | Oct. 24, 2018 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis
Comments due: November 20, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-078 | ||
| 34-84456 | Oct. 19, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, each a Series of WisdomTree Trust, under Rule 14.11(i), Managed Fund Shares
Comments due: November 15, 2018 |
| SR-CboeBZX-2018-076 | ||
| 34-84438 | Oct. 16, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares
Comments due: November 13, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-074 | ||
| 34-84406 | Oct. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Equities Purge Ports to (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, to Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform ("BZX Equities") to Identify and to Set Fees for Purge Ports
Comments due: November 7, 2018 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-CboeBZX-2018-075 | ||
| 34-84401 | Oct. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees on Cboe BZX Exchange, Inc.
Comments due: November 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-072 | ||
| 34-84394 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares
Comments due: November 6, 2018 |
| SR-CboeBZX-2018-044 | ||
| 34-84378 | Oct. 5, 2018 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend BZX Rule 14.11(c) (Index Fund Shares)
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| SR-CboeBZX-2018-047 | ||
| 34-84377 | Oct. 5, 2018 | Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, to Amend BZX Rule 14.8, General Listings Requirements - Tier I, to Adopt Listing Standards for Closed-End Funds
Comments due: November 2, 2018 |
| SR-CboeBZX-2018-001 | ||
| 34-84368 | Oct. 4, 2018 | Corrected Order Scheduling Filing of Statements on Review In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001)
See also: Statement in Oppositition to Disapproval Order (Cboe Global Markets, Inc.) |
| SR-CboeBZX-2018-001 | ||
| 34-84367 | Oct. 4, 2018 | Corrected Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust , Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: November 1, 2018 |
| Third Quarter | ||
| SR-CboeBZX-2018-058 | ||
| 34-84298 | Sep. 27, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of Options that Overlie the Mini-SPX Index and the Russell 2000 Index |
| SR-CboeBZX-2018-040 | ||
| 34-84231 | Sep. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments due: October 17, 2018 Rebuttal comments due: October 31, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-071 | ||
| 34-84166 | Sep. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members that Engage in Trading Activities on the Exchange
Comments due: October 12, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-019 | ||
| 34-84143 | Sep. 14, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-070 | ||
| 34-84107 | Sep. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust Under BZX Rule 14.11(c)(4) (Index Fund Shares)
Comments due: October 9, 2018 |
| SR-CboeBZX-2018-065 | ||
| 34-84002 | Aug. 30, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: September 26, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-069 | ||
| 34-83959 | Aug. 27, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series
Comments due: September 21, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-047 | ||
| 34-83938 | Aug. 24, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend BZX Rule 14.8, General Listings Requirements - Tier I, to Adopt Listing Standards for Closed-End Funds |
| SR-CboeBZX-2018-060 | ||
| 34-83926 | Aug. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fee Schedule to Eliminate Fee Code IX on Cboe BZX Exchange, Inc.
Comments due: September 19, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-044 | ||
| 34-83919 | Aug. 23, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding BZX Rule 14.11(c) (Index Fund Shares) |
| SR-CboeBZX-2018-001 | ||
| 34-83913 | Aug. 22, 2018 | Order Disapproving a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF See also: Letter from Secretary of the Commission to Kyle Murray, Assistant General Counsel, Cboe Global Markets, dated August 23, 2018 (providing notice of Commission review of delegated action and stay of order) |
| SR-CboeBZX-2018-064 | ||
| 34-83908 | Aug. 22, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs
Comments due: September 18, 2018 |
| SR-CboeBZX-2018-063 | ||
| 34-83879 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-061 | ||
| 34-83878 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-058 | ||
| 34-83852 | Aug. 15, 2018 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of Options that Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average
Comments due: September 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-057 | ||
| 34-83809 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1.5, Definitions, Exchange Rule 14.6, Obligations for Companies Listed on the Exchange, and Exchange Rule 14.11, Other Securities
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-005 | ||
| 34-83796 | Aug. 8, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500® Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares |
| SR-CboeBZX-2018-040 | ||
| 34-83792 | Aug. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| SR-CboeBZX-2017-006 | ||
| 34-83784 | Aug. 7, 2018 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares |
| SR-CboeBZX-2018-018 | ||
| 34-83775 | Aug. 3, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)
Comments due: August 30, 2018 Rebuttal comments due: September 13, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-010 | ||
| 34-83750 | Jul. 31, 2018 | Notice of Withdrawal of a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF |
| SR-CboeBZX-2018-051 | ||
| 34-83673 | Jul. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, to Amend the Operation of the Super Aggressive Order Instruction
Comments due: August 15, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-050 | ||
| 34-83640 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-046 | ||
| 34-83597 | Jul. 5, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 14.13, Company Listing Fees
Comments due: August 1, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-047 | ||
| 34-83596 | Jul. 5, 2018 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.8, General Listings Requirements - Tier I
Comments due: August 1, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-044 | ||
| 34-83594 | Jul. 5, 2018 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares
Comments due: August 1, 2018 Comments received are available for this proposal. |
| Second Quarter | ||
| SR-CboeBZX-2018-049 | ||
| 34-83569 | Jun. 29, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, to Extend the Penny Pilot Program
Comments due: July 27, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-001 | ||
| 34-83548 | Jun. 28, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| SR-CboeBZX-2018-042 | ||
| 34-83537 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-040 | ||
| 34-83520 | Jun. 26, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust
Comments due: July 23, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-018 | ||
| 34-83479 | Jun. 20, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF |
| SR-CboeBZX-2018-019 | ||
| 34-83467 | Jun. 19, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: July 16, 2018 Rebuttal comments due: July 30, 2018 |
| SR-CboeBZX-2018-037 | ||
| 34-83442 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX
Comments due: July 11, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-039 | ||
| 34-83438 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: July 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-038 | ||
| 34-83429 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX Options
Comments due: July 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2017-005 | ||
| 34-83390 | Jun. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of Each Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF under the ETF Series Solutions Trust under Rule 14.11(c)(3), Index Fund Shares |
| SR-CboeBZX-2017-006 | ||
| 34-83388 | Jun. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust under Rule 14.11(c)(3) |
| SR-CboeBZX-2018-036 | ||
| 34-83363 | Jun. 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend a Representation Made in a Proposed Rule Change Previously Approved by the Commission Relating to the Listing and Trading of the iShares Inflation Hedged Corporate Bond ETF
Comments due: June 28, 2018 |
| SR-CboeBZX-2018-034 | ||
| 34-83302 | May 22, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust
Comments due: June 19, 2018 |
| SR-CboeBZX-2018-010 | ||
| 34-83293 | May 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF
Comments due: June 15, 2018 Rebuttal comments due: June 29, 2018 |
| SR-CboeBZX-2018-035 | ||
| 34-83247 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2
Comments due: June 11, 2018 |
| SR-CboeBZX-2018-030 | ||
| 34-83210 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: June 6, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-033 | ||
| 34-83206 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust
Comments due: June 6, 2018 |
| SR-CboeBZX-2018-031 | ||
| 34-83200 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Routing Fees Related to its Equity Options Platform
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-032 | ||
| 34-83187 | May 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF
Comments due: June 4, 2018 |
| SR-CboeBZX-2018-018 | ||
| 34-83152 | May 2, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)
Comments due: May 29, 2018 |
| SR-CboeBZX-2018-029 | ||
| 34-83146 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Horizons Cadence Hedged US Dividend Yield ETF, a Series of the Horizons ETF Trust I, to Hold Listed Options Contracts in a Manner that Does Not Comply with Rule 14.11(i), Managed Fund Shares
Comments due: May 29, 2018 |
| SR-CboeBZX-2018-005 | ||
| 34-83114 | Apr. 26, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(4)
Comments due: May 23, 2018 |
| SR-CboeBZX-2018-019 | ||
| 34-83102 | Apr. 25, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade on the Exchange Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: 0 days after publication in the Federal Register |
| SR-CboeBZX-2018-027 | ||
| 34-83031 | Apr. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: May 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-023 | ||
| 34-83014 | Apr. 9, 2018 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Gold Strategy ETF Under Exchange Rule 14.11(i)
Comments due: May 4, 2018 |
| SR-CboeBZX-2018-025 | ||
| 34-83018 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.3, Criteria for Underlying Securities
Comments due: May 4, 2018 |
| SR-CboeBZX-2018-023 | ||
| 34-83019 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe BZX Exchange, Inc.'s Equity Platform
Comments due: May 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-026 | ||
| 34-83021 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform
Comments due: May 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-001 | ||
| 34-82995 | Apr. 5, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts
Comments due: May 1, 2018 Rebuttal comments due: May 15, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-010 | ||
| 34-82984 | Apr. 3, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF |
| First Quarter | ||
| SR-CboeBZX-2018-022 | ||
| 34-82942 | Mar. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders
Comments due: April 19, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-012 | ||
| 34-82906 | Mar. 20, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-020 | ||
| 34-82895 | Mar. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Listing Rules Under Rule 14.11(d)(2)(K)(i) Related to Equity Index-Linked Securities
Comments due: April 12, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-019 | ||
| 34-82881 | Mar. 15, 2018 | Notice of Filing of a Proposed Rule Change to List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: April 11, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-017 | ||
| 34-82874 | Mar. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform
Comments due: April 10, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-011 | ||
| 34-82872 | Mar. 14, 2018 | Order Granting Approval of a Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II |
| SR-CboeBZX-2018-016 | ||
| 34-82844 | Mar. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delist the Shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from Listing Pursuant to Rule 14.11(i) and Approval Orders Issued by the Commission as a Series of Managed Fund Shares, and to Re-List Pursuant to Rule 14.11(c)(4) as a Series of Index Fund Shares
Comments due: April 4, 2018 |
| SR-CboeBZX-2017-006 | ||
| 34-82843 | Mar. 9, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares
Comments due: April 4, 2018 Rebuttal comments due: April 18, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2017-005 | ||
| 34-82842 | Mar. 9, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares
Comments due: April 4, 2018 Rebuttal comments due: April 18, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-015 | ||
| 34-82834 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: April 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-005 | ||
| 34-82832 | Mar. 8, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5) |
| SR-CboeBZX-2018-013 | ||
| 34-82776 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Feed on the Exchange's Equity Options Platform
Comments due: March 23, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-001 | ||
| 34-82759 | Feb. 22, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts |
| SR-CboeBZX-2017-023 | ||
| 34-82758 | Feb. 22, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-012 | ||
| 34-82735 | Feb. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform
Comments due: March 16, 2018 |
| SR-CboeBZX-2018-011 | ||
| 34-82715 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Amend Rule 11.23(d)(2)(E) Relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF
Comments due: March 14, 2018 |
| SR-CboeBZX-2018-010 | ||
| 34-82705 | Feb. 13, 2018 | Notice of Filing of a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF
Comments due: March 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-008 | ||
| 34-82660 | Feb. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-009 | ||
| 34-82652 | Feb. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: March 6, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-007 | ||
| 34-82642 | Feb. 6, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: March 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-012 | ||
| 34-82643 | Feb. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2018-006 | ||
| 34-82614 | Feb. 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, to Adopt a New Time in Force and to Modify an Existing Time in Force Applicable to the Exchange's Equity Options Platform
Comments due: February 28, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-021 | ||
| 34-82561 | Jan. 22, 2018 | Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2017-013 | ||
| 34-82560 | Jan. 22, 2018 | Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2017-011 | ||
| 34-82559 | Jan. 22, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II |
| SR-CboeBZX-2017-005 | ||
| 34-82558 | Jan. 22, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares |
| SR-CboeBZX-2017-006 | ||
| 34-82552 | Jan. 19, 2018 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares |
| SR-CboeBZX-2018-002 | ||
| 34-82546 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates
Comments due: February 16, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-005 | ||
| 34-82538 | Jan. 19, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5)
Comments due: February 16, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-003 | ||
| 34-82517 | Jan. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates
Comments due: February 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-001 | ||
| 34-82484 | Jan. 11, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: February 8, 2018 |
| SR-CboeBZX-2017-018 | ||
| 34-82475 | Jan. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BZX Depth Market Data Product
Comments due: February 6, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-019 | ||
| 34-82450 | Jan. 5, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees
Comments due: February 1, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-023 | ||
| 34-82444 | Jan. 5, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares
Comments due: February 1, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2017-022 | ||
| 34-82436 | Jan. 3, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection with Technology Migration of Cboe Exchanges
Comments due: January 30, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2017-021 | ||
| 34-82429 | Jan. 2, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, under Rule 14.11(i), Managed Fund Shares
Comments due: January 29, 2018 Comments received are available for this proposal. |
Cboe BZX File Number List for 2018
| Release No. | Date | Details |
|---|---|---|
| SR-CboeBZX-2018-086 | ||
| 34-84777 | Dec. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Provision Related to its Risk Monitor Mechanism
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-085 | ||
| 34-84789 | Dec. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List Shares of the Cambria Global Momentum ETF under Rule 14.11(i), Managed Fund Shares
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2018-084 | ||
| 34-84695 | Nov. 30, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.8, Long-Term Options Contracts
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2018-083 | ||
| 34-84653 | Nov. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees
Comments due: December 21, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-082 | ||
| 34-84631 | Nov. 20, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Regarding How the System Handles Market Orders in Series with no Bid or No Offer
Comments due: December 18, 2018 |
| SR-CboeBZX-2018-079 | ||
| 34-84738 | Dec. 6, 2018 | Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, to Establish How the BZX Official Closing Price Would be Determined for BZX-Listed Securities |
| 34-84507 | Oct. 30, 2018 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish How the BZX Official Closing Price Would be Determined for BZX-Listed Securities
Comments due: November 26, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-078 | ||
| 34-84750 | Dec. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund Under Rule 14.11(i), Managed Fund Shares |
| 34-84456 | Oct. 19, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, each a Series of WisdomTree Trust, under Rule 14.11(i), Managed Fund Shares
Comments due: November 15, 2018 |
| SR-CboeBZX-2018-077 | ||
| 34-84604 | Nov. 15, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares
Comments due: December 12, 2018 |
| SR-CboeBZX-2018-076 | ||
| 34-84719 | Dec. 4, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares |
| 34-84438 | Oct. 16, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, under Rule 14.11(i), Managed Fund Shares
Comments due: November 13, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-075 | ||
| 34-84401 | Oct. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees on Cboe BZX Exchange, Inc.
Comments due: November 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-074 | ||
| 34-84406 | Oct. 11, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Equities Purge Ports to (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, to Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform ("BZX Equities") to Identify and to Set Fees for Purge Ports
Comments due: November 7, 2018 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-CboeBZX-2018-072 | ||
| 34-84394 | Oct. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust under Rule 14.11(i), Managed Fund Shares
Comments due: November 6, 2018 |
| SR-CboeBZX-2018-071 | ||
| 34-84166 | Sep. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members that Engage in Trading Activities on the Exchange
Comments due: October 12, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-070 | ||
| 34-84107 | Sep. 13, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust Under BZX Rule 14.11(c)(4) (Index Fund Shares)
Comments due: October 9, 2018 |
| SR-CboeBZX-2018-069 | ||
| 34-83959 | Aug. 27, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series
Comments due: September 21, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-066 | ||
| 34-84480 | Oct. 24, 2018 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis
Comments due: November 20, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-065 | ||
| 34-84002 | Aug. 30, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: September 26, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-064 | ||
| 34-83908 | Aug. 22, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs
Comments due: September 18, 2018 |
| SR-CboeBZX-2018-063 | ||
| 34-83879 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-061 | ||
| 34-83878 | Aug. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-060 | ||
| 34-83926 | Aug. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fee Schedule to Eliminate Fee Code IX on Cboe BZX Exchange, Inc.
Comments due: September 19, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-058 | ||
| 34-84298 | Sep. 27, 2018 | Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Permit the Listing and Trading of Options that Overlie the Mini-SPX Index and the Russell 2000 Index |
| 34-83852 | Aug. 15, 2018 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of Options that Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average
Comments due: September 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-057 | ||
| 34-83809 | Aug. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1.5, Definitions, Exchange Rule 14.6, Obligations for Companies Listed on the Exchange, and Exchange Rule 14.11, Other Securities
Comments due: September 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-051 | ||
| 34-83673 | Jul. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, to Amend the Operation of the Super Aggressive Order Instruction
Comments due: August 15, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-050 | ||
| 34-83640 | Jul. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: August 10, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-049 | ||
| 34-83569 | Jun. 29, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, to Extend the Penny Pilot Program
Comments due: July 27, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-047 | ||
| 34-84377 | Oct. 5, 2018 | Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, to Amend BZX Rule 14.8, General Listings Requirements - Tier I, to Adopt Listing Standards for Closed-End Funds
Comments due: November 2, 2018 |
| 34-83938 | Aug. 24, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend BZX Rule 14.8, General Listings Requirements - Tier I, to Adopt Listing Standards for Closed-End Funds |
| 34-83596 | Jul. 5, 2018 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.8, General Listings Requirements - Tier I
Comments due: August 1, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-046 | ||
| 34-83597 | Jul. 5, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 14.13, Company Listing Fees
Comments due: August 1, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-044 | ||
| 34-84378 | Oct. 5, 2018 | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend BZX Rule 14.11(c) (Index Fund Shares)
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 34-83919 | Aug. 23, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding BZX Rule 14.11(c) (Index Fund Shares) |
| 34-83594 | Jul. 5, 2018 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11(c), Index Fund Shares
Comments due: August 1, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-042 | ||
| 34-83537 | Jun. 28, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers
Comments due: July 24, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-040 | ||
| 34-84731 | Dec. 6, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| 34-84231 | Sep. 20, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Comments due: October 17, 2018 Rebuttal comments due: October 31, 2018 Comments received are available for this proposal. |
| 34-83792 | Aug. 7, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| 34-83520 | Jun. 26, 2018 | Notice of Filing of Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust
Comments due: July 23, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-039 | ||
| 34-83438 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: July 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-038 | ||
| 34-83429 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX Options
Comments due: July 11, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-037 | ||
| 34-83442 | Jun. 14, 2018 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX
Comments due: July 11, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-036 | ||
| 34-83363 | Jun. 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend a Representation Made in a Proposed Rule Change Previously Approved by the Commission Relating to the Listing and Trading of the iShares Inflation Hedged Corporate Bond ETF
Comments due: June 28, 2018 |
| SR-CboeBZX-2018-035 | ||
| 34-83247 | May 15, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.12 to Add References to Cboe Options and C2
Comments due: June 11, 2018 |
| SR-CboeBZX-2018-034 | ||
| 34-83302 | May 22, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust
Comments due: June 19, 2018 |
| SR-CboeBZX-2018-033 | ||
| 34-83206 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust
Comments due: June 6, 2018 |
| SR-CboeBZX-2018-032 | ||
| 34-83187 | May 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF
Comments due: June 4, 2018 |
| SR-CboeBZX-2018-031 | ||
| 34-83200 | May 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Certain Routing Fees Related to its Equity Options Platform
Comments due: June 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-030 | ||
| 34-83210 | May 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: June 6, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-029 | ||
| 34-83146 | May 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Horizons Cadence Hedged US Dividend Yield ETF, a Series of the Horizons ETF Trust I, to Hold Listed Options Contracts in a Manner that Does Not Comply with Rule 14.11(i), Managed Fund Shares
Comments due: May 29, 2018 |
| SR-CboeBZX-2018-027 | ||
| 34-83031 | Apr. 10, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: May 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-026 | ||
| 34-83021 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform
Comments due: May 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-025 | ||
| 34-83018 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.3, Criteria for Underlying Securities
Comments due: May 4, 2018 |
| SR-CboeBZX-2018-023 | ||
| 34-83019 | Apr. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe BZX Exchange, Inc.'s Equity Platform
Comments due: May 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-022 | ||
| 34-82942 | Mar. 23, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders
Comments due: April 19, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-020 | ||
| 34-82895 | Mar. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Listing Rules Under Rule 14.11(d)(2)(K)(i) Related to Equity Index-Linked Securities
Comments due: April 12, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-019 | ||
| 34-84143 | Sep. 14, 2018 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust under Rule 14.11(i), Managed Fund Shares |
| 34-83467 | Jun. 19, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, to List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: July 16, 2018 Rebuttal comments due: July 30, 2018 |
| 34-83102 | Apr. 25, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade on the Exchange Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: 0 days after publication in the Federal Register |
| 34-82881 | Mar. 15, 2018 | Notice of Filing of a Proposed Rule Change to List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: April 11, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-018 | ||
| 34-84523 | Nov. 1, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) |
| 34-83775 | Aug. 3, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)
Comments due: August 30, 2018 Rebuttal comments due: September 13, 2018 Comments received are available for this proposal. |
| 34-83479 | Jun. 20, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF |
| 34-83152 | May 2, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)
Comments due: May 29, 2018 |
| SR-CboeBZX-2018-017 | ||
| 34-82874 | Mar. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform
Comments due: April 10, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-016 | ||
| 34-82844 | Mar. 9, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delist the Shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from Listing Pursuant to Rule 14.11(i) and Approval Orders Issued by the Commission as a Series of Managed Fund Shares, and to Re-List Pursuant to Rule 14.11(c)(4) as a Series of Index Fund Shares
Comments due: April 4, 2018 |
| SR-CboeBZX-2018-015 | ||
| 34-82834 | Mar. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: April 4, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-013 | ||
| 34-82776 | Feb. 26, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Feed on the Exchange's Equity Options Platform
Comments due: March 23, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-012 | ||
| 34-82735 | Feb. 16, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform
Comments due: March 16, 2018 |
| SR-CboeBZX-2018-011 | ||
| 34-82715 | Feb. 14, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Amend Rule 11.23(d)(2)(E) Relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF
Comments due: March 14, 2018 |
| SR-CboeBZX-2018-010 | ||
| 34-83750 | Jul. 31, 2018 | Notice of Withdrawal of a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF |
| 34-83293 | May 21, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF
Comments due: June 15, 2018 Rebuttal comments due: June 29, 2018 |
| 34-82984 | Apr. 3, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF |
| 34-82705 | Feb. 13, 2018 | Notice of Filing of a Proposed Rule Change to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF
Comments due: March 13, 2018 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2018-009 | ||
| 34-82652 | Feb. 7, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: March 6, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-008 | ||
| 34-82660 | Feb. 8, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee
Comments due: March 7, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-007 | ||
| 34-82642 | Feb. 6, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: March 5, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-006 | ||
| 34-82614 | Feb. 1, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, to Adopt a New Time in Force and to Modify an Existing Time in Force Applicable to the Exchange's Equity Options Platform
Comments due: February 28, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-005 | ||
| 34-83114 | Apr. 26, 2018 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(4)
Comments due: May 23, 2018 |
| 34-82832 | Mar. 8, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5) |
| 34-82538 | Jan. 19, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5)
Comments due: February 16, 2018 Comments received are available for this proposal. |
| SR-CboeBZX-2018-003 | ||
| 34-82517 | Jan. 17, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates
Comments due: February 13, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-002 | ||
| 34-82546 | Jan. 19, 2018 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates
Comments due: February 16, 2018 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-001 | ||
| 34-84368 | Oct. 4, 2018 | Corrected Order Scheduling Filing of Statements on Review In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001)
See also: Statement in Oppositition to Disapproval Order (Cboe Global Markets, Inc.) |
| 34-84367 | Oct. 4, 2018 | Corrected Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust , Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: November 1, 2018 |
| 34-83913 | Aug. 22, 2018 | Order Disapproving a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF See also: Letter from Secretary of the Commission to Kyle Murray, Assistant General Counsel, Cboe Global Markets, dated August 23, 2018 (providing notice of Commission review of delegated action and stay of order) |
| 34-83548 | Jun. 28, 2018 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| 34-82995 | Apr. 5, 2018 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts
Comments due: May 1, 2018 Rebuttal comments due: May 15, 2018 Comments received are available for this proposal. |
| 34-82759 | Feb. 22, 2018 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts |
| 34-82484 | Jan. 11, 2018 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: February 8, 2018 |