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 xxx 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
First Quarter
CboeBZX File Number List for 2020
Additional Archives
Chronological List for 2020
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| First Quarter | ||
| SR-CboeBZX-2020-018 | ||
| 34-88283 | Feb. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Franklin Liberty International Aggregate Bond Fund to Hold Certain Instruments in a Manner That May Not Comply with the Generic Listing Requirements of Rule 14.11(i)
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2020-017 | ||
| 34-88279 | Feb. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Codify the Cancel Back Order Type and to Add That the Post Only Order Designated as Cancel Back May Remove Liquidity Pursuant to Exchange Rule 21.1
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-003 | ||
| 34-88276 | Feb. 25, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| SR-CboeBZX-2020-006 | ||
| 34-88263 | Feb. 21, 2020 | Notice of Filing of a Proposed Rule Change Relating to Providing Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-007 | ||
| 34-88259 | Feb. 21, 2020 | Notice of Filing of a Proposed Rule Change to Eliminate the Requirement that the Intraday Indicative Value be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-102 | ||
| 34-88247 | Feb. 20, 2020 | Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3 thereto, to List and Trade Shares of the ClearBridge Focus Value ETF under BZX Rule 14.11(k)
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2020-014 | ||
| 34-88218 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-068 | ||
| 34-88189 | Feb. 13, 2020 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the iShares California Short Maturity Muni Bond ETF Under Rule 14.11(i) |
| SR-CboeBZX-2019-097 | ||
| 34-88208 | Feb. 13, 2020 | 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 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
Comments due: March 12, 2020 Rebuttal comments due: March 26, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-015 | ||
| 34-88200 | Feb. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Logic that would be Used to Cancel MOC Orders Entered for Participation in the Cboe Market Close in the Event the Exchange Becomes Impaired
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-107 | ||
| 34-88195 | Feb. 13, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed 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 Proposed Rule 14.11(m) |
| SR-CboeBZX-2019-069 | ||
| 34-88180 | Feb. 12, 2020 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce the Small Retail Broker Distribution Program |
| SR-CboeBZX-2019-057 | ||
| 34-88175 | Feb. 12, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 thereto, to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF under BZX Rule 14.11(k)
Comments due: March 11, 2020 |
| SR-CboeBZX-2020-013 | ||
| 34-88159 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-102 | ||
| 34-88108 | Jan. 31, 2020 | 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 Clearbridge Focus Value ETF under BZX Rule 14.11(k) |
| SR-CboeBZX-2020-008 | ||
| 34-88107 | Jan. 31, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Hartford Core Bond ETF of the Hartford Funds Exchange-Traded Trust under Rule 14.11(i), Managed Fund Shares
Comments due: February 27, 2020 |
| SR-CboeBZX-2020-011 | ||
| 34-88101 | Jan. 30, 2020 | Notice of Filing of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), to be Consistent with Certain Proposed Amendments to and Exemptions from the CAT NMS Plan as well as to Facilitate the Retirement of Certain Existing Regulatory Systems
Comments due: February 26, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-068 | ||
| 34-88089 | Jan. 30, 2020 | 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, to List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares |
| SR-CboeBZX-2020-012 | ||
| 34-88076 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Opening Process to Allow for an Opening Auction, Similar to that Available on Cboe Exchange, Inc. ("Cboe Options") and Cboe EDGX Exchange, Inc. ("EDGX Options"), and make other conforming changes to Rules 16.1 and 21.17
Comments due: February 25, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-010 | ||
| 34-88075 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide an Exemption to Certain Governance Requirements for Series of Managed Portfolio Shares Listed on the Exchange Pursuant to Rule 14.11(k)
Comments due: February 25, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-004 | ||
| 34-88052 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-005 | ||
| 34-88044 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Partial Post Only at Limit Orders and References to those Orders from the Rules
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-044 | ||
| 34-88026 | Jan. 23, 2020 | Notice of Withdrawal of a Proposed 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 |
| SR-CboeBZX-2020-003 | ||
| 34-87992 | Jan. 16, 2020 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts)
Comments due: February 12, 2020 |
| SR-CboeBZX-2020-002 | ||
| 34-87985 | Jan. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions
Comments due: February 13, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-CboeBZX-2020-001 | ||
| 34-87946 | Jan. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: February 7, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-076 | ||
| 34-87951 | Jan. 13, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Clearbridge Small Cap Value ETF under BZX Rule 14.11(k)
Comments due: February 7. 2020 Rebuttal comments due: February 21, 2020 |
File Number List for 2020
| Release No. | Date | Details |
|---|---|---|
| SR-CboeBZX-2020-018 | ||
| 34-88283 | Feb. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Franklin Liberty International Aggregate Bond Fund to Hold Certain Instruments in a Manner That May Not Comply with the Generic Listing Requirements of Rule 14.11(i)
Comments due: 21 days after publication in the Federal Register |
| SR-CboeBZX-2020-017 | ||
| 34-88279 | Feb. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Codify the Cancel Back Order Type and to Add That the Post Only Order Designated as Cancel Back May Remove Liquidity Pursuant to Exchange Rule 21.1
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-015 | ||
| 34-88200 | Feb. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Logic that would be Used to Cancel MOC Orders Entered for Participation in the Cboe Market Close in the Event the Exchange Becomes Impaired
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-014 | ||
| 34-88218 | Feb. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: March 12, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-013 | ||
| 34-88159 | Feb. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: March 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-012 | ||
| 34-88076 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Opening Process to Allow for an Opening Auction, Similar to that Available on Cboe Exchange, Inc. ("Cboe Options") and Cboe EDGX Exchange, Inc. ("EDGX Options"), and make other conforming changes to Rules 16.1 and 21.17
Comments due: February 25, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-011 | ||
| 34-88101 | Jan. 30, 2020 | Notice of Filing of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), to be Consistent with Certain Proposed Amendments to and Exemptions from the CAT NMS Plan as well as to Facilitate the Retirement of Certain Existing Regulatory Systems
Comments due: February 26, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-010 | ||
| 34-88075 | Jan. 29, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide an Exemption to Certain Governance Requirements for Series of Managed Portfolio Shares Listed on the Exchange Pursuant to Rule 14.11(k)
Comments due: February 25, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-008 | ||
| 34-88107 | Jan. 31, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Hartford Core Bond ETF of the Hartford Funds Exchange-Traded Trust under Rule 14.11(i), Managed Fund Shares
Comments due: February 27, 2020 |
| SR-CboeBZX-2020-007 | ||
| 34-88259 | Feb. 21, 2020 | Notice of Filing of a Proposed Rule Change to Eliminate the Requirement that the Intraday Indicative Value be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-006 | ||
| 34-88263 | Feb. 21, 2020 | Notice of Filing of a Proposed Rule Change Relating to Providing Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-005 | ||
| 34-88044 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Partial Post Only at Limit Orders and References to those Orders from the Rules
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-004 | ||
| 34-88052 | Jan. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options
Comments due: February 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-003 | ||
| 34-88276 | Feb. 25, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| 34-87992 | Jan. 16, 2020 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts)
Comments due: February 12, 2020 |
| SR-CboeBZX-2020-002 | ||
| 34-87985 | Jan. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions
Comments due: February 13, 2020 Additional Materials: Exhibit 3, Exhibit 5 |
| SR-CboeBZX-2020-001 | ||
| 34-87946 | Jan. 13, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: February 7, 2020 Additional Materials: Exhibit 5 |