Cboe BZX Exchange, Inc. (CboeBZX) Rulemaking Archive: 2019
The Bats BZX Exchange, Inc. has changed its name to Cboe BZX Exchange, Inc.
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Chronological List
Fourth Quarter |
Third Quarter |
Second Quarter |
First Quarter
CboeBZX File Number List for 2019
Additional Archives
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Chronological List
| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-CboeBZX-2019-109 | ||
| 34-87863 | Dec. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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
Comments due: January 24, 2020 |
| SR-CboeBZX-2019-107 | ||
| 34-87856 | Dec. 23, 2019 | Notice of Filing of 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)
Comments due: January 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-108 | ||
| 34-87824 | Dec. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-057 | ||
| 34-87769 | Dec. 17, 2019 | 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 American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF under Currently Proposed Rule 14.11(k) |
| SR-CboeBZX-2019-097 | ||
| 34-87777 | Dec. 17, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed 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 |
| SR-CboeBZX-2019-047 | ||
| 34-87759 | Dec. 16, 2019 | Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares
Comments due: January 10, 2020 |
| SR-CboeBZX-2019-103 | ||
| 34-87745 | Dec. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: January 9, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-106 | ||
| 34-87740 | Dec. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 5.4 by Extending the Penny Pilot Program through June 30, 2020
Comments due: January 9, 2020 |
| SR-CboeBZX-2019-102 | ||
| 34-87719 | Dec. 11, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Clearbridge Focus Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: January 7, 2020 Comments received are available for this proposal. |
| SR-CboeBZX-2019-101 | ||
| 34-87712 | Dec. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: January 6, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-041 | ||
| 34-87688 | Dec. 9, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| SR-CboeBZX-2019-072 | ||
| 34-87687 | Dec. 9, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| SR-CboeBZX-2019-099 | ||
| 34-87651 | Dec. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Hartford Short Duration ETF to Hold Certain Fixed Income Instruments in a Manner that Does Not Comply with Rule 14.11(i)
Comments due: December 30, 2019 |
| SR-CboeBZX-2019-023 | ||
| 34-87636 | Nov. 27, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| SR-CboeBZX-2019-086 | ||
| 34-87629 | Nov. 26, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: December 24, 2019 Rebuttal comments due: January 7, 2019 |
| SR-CboeBZX-2019-098 | ||
| 34-87600 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (a) of Rule 11.1 to Allow the Exchange to Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time
Comments due: December 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-100 | ||
| 34-87587 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove its Partial Post Only at Limit Order Type
See Also: Federal Register correction: 84 FR 66943 Comments due: December 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-076 | ||
| 34-87581 | Nov. 21, 2019 | 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 Small Cap Value ETF under Currently Proposed Rule 14.11(k) |
| SR-CboeBZX-2019-096 | ||
| 34-87561 | Nov. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fat Finger Check in Rule 21.17 as it Applies to Stop Limit Orders
Comments due: December 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-097 | ||
| 34-87560 | Nov. 18, 2019 | Notice of Filing of a Proposed 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
Comments due: December 13, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-095 | ||
| 34-87547 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of the Final Last Sale Eligible Trade
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-094 | ||
| 34-87521 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: December 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-044 | ||
| 34-87510 | Nov. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove 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-2019-041 | ||
| 34-87500 | Nov. 12, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| SR-CboeBZX-2019-093 | ||
| 34-87461 | Nov. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a New Data Product on its Equity Options Platform ("BZX Options") to be Known as Open-Close Data
Comments due: December 3, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-068 | ||
| 34-87421 | Oct. 30, 2019 | 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 iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: November 26, 2019 Rebuttal comments due: December 10, 2019 |
| SR-CboeBZX-2019-089 | ||
| 34-87365 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-090 | ||
| 34-87349 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Permanent an Options Market Rule Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-088 | ||
| 34-87336 | Oct. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18
Comments due: November 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-086 | ||
| 34-87312 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-087 | ||
| 34-87306 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Institute a Derived Data API Service
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-023 | ||
| 34-87300 | Oct. 15, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| SR-CboeBZX-2019-076 | ||
| 34-87286 | Oct. 10, 2019 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Clearbridge Small Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: November 7, 2019 |
| SR-CboeBZX-2019-084 | ||
| 34-87243 | Oct. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of 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
Comments due: November 1, 2019 |
| Third Quarter | ||
| SR-CboeBZX-2019-069 | ||
| 34-87164 | Sep. 30, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: October 25, 2019 Rebuttal comments due: November 8, 2019 |
| SR-CboeBZX-2019-072 | ||
| 34-87142 | Sep. 27, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: October 24, 2019 Rebuttal comments due: November 7, 2019 |
| SR-CboeBZX-2019-070 | ||
| 34-87125 | Sep. 26, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule to Adopt a Pricing Structure for BZX Top Derived Data API Service
Comments due: October 23, 2019 Rebuttal comments due: November 6, 2019 |
| SR-CboeBZX-2019-067 | ||
| 34-87108 | Sep. 25, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i) |
| SR-CboeBZX-2019-083 | ||
| 34-87095 | Sep. 24, 2019 | Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions
Comments due: October 21, 2019 |
| SR-CboeBZX-2019-082 | ||
| 34-87092 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Physical Connectivity
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-047 | ||
| 34-87062 | Sep. 23, 2019 | Notice of Filing of Amendment No. 2 and 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
Comments due: October 18, 2019 Rebuttal comments due: November 1, 2019 |
| SR-CboeBZX-2019-057 | ||
| 34-87059 | Sep. 23, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: October 18, 2019 Rebuttal comments due: November 1, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-068 | ||
| 34-87018 | Sep. 19, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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-2019-067 | ||
| 34-86996 | Sep. 17, 2019 | 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 Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series |
| SR-CboeBZX-2019-004 | ||
| 34-86995 | Sep. 17, 2019 | Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| SR-CboeBZX-2019-081 | ||
| 34-86956 | Sep. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on the Exchange, as Set Forth in BZX Rule 14.13, Company Listing Fees
Comments due: October 9, 2019 |
| SR-CboeBZX-2019-080 | ||
| 34-86931 | Sep. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a New Data Product on its Equity Options Platform ("BZX Options") to be Known as Open-Close Data
Comments due: October 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-079 | ||
| 34-86811 | Aug. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Product on Its Equity Options Platform ("BZX Options") to Be Known As Open-Close Data
Comments due: September 26, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-077 | ||
| 34-86773 | Aug. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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)
Comments due: September 24, 2019 |
| SR-CboeBZX-2019-044 | ||
| 34-86737 | Aug. 22, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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
Comments due: September 18, 2019 Rebuttal comments due: October 2, 2019 |
| SR-CboeBZX-2019-075 | ||
| 34-86724 | Aug. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 14.11(i) Relating to Generic Listing Standards for Managed Fund Shares
Comments due: September 17, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-072 | ||
| 34-86686 | Aug. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: September 11, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-070 | ||
| 34-86671 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Institute a Derived Data API Service
Comments due: September 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-069 | ||
| 34-86667 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: September 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-031 | ||
| 34-86664 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of Rule 14.11 (Other Securities) Related to the Applicability of Certain Disclosure Requirements
Comments due: September 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-004 | ||
| 34-86630 | Aug. 12, 2019 | 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 VanEck SolidX Bitcoin Trust |
| SR-CboeBZX-2019-073 | ||
| 34-86623 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 14.3(e), Additional Requirements for Securities Issued by the Exchange or its Affiliates
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-047 | ||
| 34-86563 | Aug. 2, 2019 | 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 |
| SR-CboeBZX-2019-057 | ||
| 34-86557 | Aug. 2, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) |
| SR-CboeBZX-2019-068 | ||
| 34-86546 | Aug. 1, 2019 | Notice of Filing of a Proposed Rule Change 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
Comments due: August 28, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-067 | ||
| 34-86511 | Jul. 30, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Innovator-100 Buffer ETF Series and Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series and Innovator Russell 2000 Power Buffer ETF Series, and Innovator-100 Ultra Buffer ETF Series and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i)
Comments due: August 26, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-064 | ||
| 34-86464 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-065 | ||
| 34-86463 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-066 | ||
| 34-86419 | Jul. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Update Rule 16.1 to Include the Definition of Capacity, as well as Amend its Fee Schedule to Reflect this Update
Comments due: August 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-023 | ||
| 34-86410 | Jul. 18, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities
Comments due: August 14, 2019 Rebuttal comments due: August 28, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-044 | ||
| 34-86348 | Jul. 10, 2019 | Notice of Designation of a Longer Period for Commission Action on 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-2019-060 | ||
| 34-86324 | Jul. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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.
Comments due: August 2, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-059 | ||
| 34-86283 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: July 30, 2019 Additional Materials: Exhibit 5 |
| Second Quarter | ||
| SR-CboeBZX-2019-041 | ||
| 34-86233 | Jun. 28, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: July 26, 2019 Rebuttal comments due: August 9, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-058 | ||
| 34-86213 | Jun. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: July 24, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-047 | ||
| 34-86157 | Jun. 19, 2019 | 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
Comments due: July 16, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-057 | ||
| 34-86155 | Jun. 19, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: July 16, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-049 | ||
| 34-86130 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Updating its Rule 21.1(h) 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
Comments due: July 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-055 | ||
| 34-86106 | Jun. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, 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
Comments due: July 11, 2019 |
| SR-CboeBZX-2019-052 | ||
| 34-86086 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Exchange to Determine the Availability of Order Types and Times-in-Force
Comments due: July 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-050 | ||
| 34-86085 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Limit-on-Close ("LOC") and Market-on-Close ("MOC") Orders
Comments due: July 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-051 | ||
| 34-86078 | Jun. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Through December 31, 2019, the Penny Pilot Program ("Penny Pilot") in Options Classes in Certain Issues ("Pilot Program") Previously Approved by the Commission
Comments due: July 5, 2019 |
| SR-CboeBZX-2019-015 | ||
| 34-86023 | Jun. 4, 2019 | Notice of Withdrawal of a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities |
| SR-CboeBZX-2019-046 | ||
| 34-85985 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts
Comments due: June 27, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-023 | ||
| 34-85966 | May 30, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| SR-CboeBZX-2019-044 | ||
| 34-85948 | May 28, 2019 | Notice of Filing 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
Comments due: June 24, 2019 |
| SR-CboeBZX-2019-004 | ||
| 34-85896 | May 20, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck SolidX Bitcoin Trust
Comments due: June 14, 2019 Rebuttal comments due: June 28, 2019 |
| SR-CboeBZX-2019-042 | ||
| 34-85881 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Applicable to Securities Listed on the Exchange, Set Forth in BZX Rule 14.13, Company Listing Fees
Comments due: June 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-040 | ||
| 34-85869 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BZX Equities Fee Schedule to Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing
Comments due: June 11, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-034 | ||
| 34-85868 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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
Comments due: June 11, 2019 |
| SR-CboeBZX-2019-043 | ||
| 34-85845 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Rule Change Pursuant to SR-CboeBZX-2019-025
Comments due: June 7, 2019 |
| SR-CboeBZX-2019-038 | ||
| 34-85846 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: June 7, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-041 | ||
| 34-85840 | May 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: June 6, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-039 | ||
| 34-85825 | May 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BZX Equities Trading Platform ("BZX Equities") as it Relates to Pricing for the Use of the TRIM Routing Strategy
Comments due: June 6, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-035 | ||
| 34-85804 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to list and trade under BZX Rule 14.11(c)(4) the Shares of the iShares iBonds 2021 Term High Yield and Income ETF, iShares iBonds 2022 Term High Yield and Income ETF, iShares iBonds 2023 Term High Yield and Income ETF, iShares iBonds 2024 Term High Yield and Income ETF, and iShares iBonds 2025 Term High Yield and Income ETF of iShares Trust
Comments due: June 4, 2019 |
| SR-CboeBZX-2019-037 | ||
| 34-85795 | May 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and the Fee Schedule to Delete References to the TRIM2 and SWPB Routing Options
Comments due: June 3, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-015 | ||
| 34-85766 | May 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities |
| SR-CboeBZX-2019-032 | ||
| 34-85760 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade under BZX Rule 14.11(d)(2)(K)(i) Shares of the iPath S&P MLP ETN Issued by Barclays Bank PLC
Comments due: May 29, 2019 |
| SR-CboeBZX-2019-030 | ||
| 34-85729 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Replace Obsolete Terminology
Comments due: May 23, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-016 | ||
| 34-85701 | Apr. 22, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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
Comments due: May 17, 2019 |
| SR-CboeBZX-2019-028 | ||
| 34-85689 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: May 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-044 | ||
| 34-85682 | Apr. 17, 2019 | 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 Amend BZX Rule 14.11(c), Index Fund Shares (File No. SR-CboeBZX-2018-044)
See also: Rel. No. 34-90428 (Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-044) |
| SR-CboeBZX-2019-023 | ||
| 34-85656 | Apr. 16, 2019 | Notice of Filing of a Proposed Rule Change 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
Comments due: May 13, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-025 | ||
| 34-85642 | Apr. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter 22 of the Exchange's Rulebook
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-021 | ||
| 34-85636 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-026 | ||
| 34-85604 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-024 | ||
| 34-85591 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Modify its Fee Schedule
Comments due: May 7, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-001 | ||
| 34-85557 | Apr. 9, 2019 | 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 Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds
Comments due: May 6, 2019 |
| SR-CboeBZX-2019-022 | ||
| 34-85543 | Apr. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions
Comments due: May 3, 2019 Additional Materials: Exhibit 5 |
| First Quarter | ||
| SR-CboeBZX-2019-004 | ||
| 34-85475 | Mar. 29, 2019 | 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, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares |
| SR-CboeBZX-2019-019 | ||
| 34-85474 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for such Funds to be Listed and Traded on the Exchange Under Rule 14.11(i) ("Managed Fund Shares")
Comments due: April 25, 2019 |
| SR-CboeBZX-2019-020 | ||
| 34-85465 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 21.5, Interpretation and Policy .01 to Specify that Replacement Issues may be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, without Altering the Expiration Date of the Pilot, which is June 30, 2019
Comments due: April 25, 2019 |
| SR-CboeBZX-2019-001 | ||
| 34-85388 | Mar. 21, 2019 | 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 Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds |
| SR-CboeBZX-2019-017 | ||
| 34-85370 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to List and Trade 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 Under BZX Rule 14.11(c)(4)
Comments due: April 16, 2019 |
| SR-CboeBZX-2019-016 | ||
| 34-85349 | Mar. 18, 2019 | Notice of Filing 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
Comments due: April 12, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-015 | ||
| 34-85347 | Mar. 18, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities
Comments due: April 12, 2019 |
| SR-CboeBZX-2019-014 | ||
| 34-85320 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-044 | ||
| 34-85278 | Mar. 8, 2019 | Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend BZX Rule 14.11(c) (Index Fund Shares)
Additional Materials: |
| SR-CboeBZX-2019-012 | ||
| 34-85235 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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)
Comments due: March 28, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-013 | ||
| 34-85218 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating 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
Comments due: March 27, 2019 |
| SR-CboeBZX-2019-009 | ||
| 34-85183 | Feb. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: March 21, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-066 | ||
| 34-85181 | Feb. 22, 2019 | Notice of Deemed Approval 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 |
| SR-CboeBZX-2018-078 | ||
| 34-85178 | Feb. 22, 2019 | Notice of Deemed Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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) |
| SR-CboeBZX-2018-077 | ||
| 34-85166 | Feb. 19, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 |
| SR-CboeBZX-2019-008 | ||
| 34-85142 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify that BZX's Halt Auction Process is Applicable Only to Halt Auctions Following a Regulatory Halt
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-006 | ||
| 34-85123 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BZX Fee Schedule as it Relates to Pricing for the Use of Certain Routing Strategies
Comments due: March 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-004 | ||
| 34-85119 | Feb. 13, 2019 | Notice of Filing of 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: March 13, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-002 | ||
| 34-85108 | Feb. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent")
Comments due: March 12, 2019 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-CboeBZX-2019-001 | ||
| 34-85099 | Feb. 11, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Under Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds
Comments due: March 8, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2018-096 | ||
| 34-85031 | Feb. 1, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: February 22, 2109 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2018-040 | ||
| 34-84988 | Jan. 23, 2019 | Notice of Withdrawal of 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 |
Cboe BZX File Number List for 2019
| Release No. | Date | Details |
|---|---|---|
| SR-CboeBZX-2019-109 | ||
| 34-87863 | Dec. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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
Comments due: January 24, 2020 |
| SR-CboeBZX-2019-108 | ||
| 34-87824 | Dec. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: January 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-107 | ||
| 34-88887 | May 15, 2020 | Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, to Adopt Rule 14.11(m), Tracking Fund Shares, and to List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF
Comments due: 21 days after publication in the Federal Register |
| 34-88481 | Mar. 26, 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 Rule 14.11(m), Tracking Fund Shares, and to List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register |
| 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) |
| 34-87856 | Dec. 23, 2019 | Notice of Filing of 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)
Comments due: January 21, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-106 | ||
| 34-87740 | Dec. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 5.4 by Extending the Penny Pilot Program through June 30, 2020
Comments due: January 9, 2020 |
| SR-CboeBZX-2019-103 | ||
| 34-87745 | Dec. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: January 9, 2020 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: March 18, 2020 |
| 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) |
| 34-87719 | Dec. 11, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Clearbridge Focus Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: January 7, 2020 Comments received are available for this proposal. |
| SR-CboeBZX-2019-101 | ||
| 34-87712 | Dec. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: January 6, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-100 | ||
| 34-87587 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove its Partial Post Only at Limit Order Type
See Also: Federal Register correction: 84 FR 66943 Comments due: December 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-099 | ||
| 34-87651 | Dec. 3, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Hartford Short Duration ETF to Hold Certain Fixed Income Instruments in a Manner that Does Not Comply with Rule 14.11(i)
Comments due: December 30, 2019 |
| SR-CboeBZX-2019-098 | ||
| 34-87600 | Nov. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (a) of Rule 11.1 to Allow the Exchange to Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time
Comments due: December 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-097 | ||
| 34-88566 | Apr. 6, 2020 | Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt BZX Rule 14.11(l) Governing the Listing and Trading of Exchange-Traded Fund Shares
Comments due: May 1, 2020 |
| 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 |
| 34-87777 | Dec. 17, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed 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 |
| 34-87560 | Nov. 18, 2019 | Notice of Filing of a Proposed 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
Comments due: December 13, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-096 | ||
| 34-87561 | Nov. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fat Finger Check in Rule 21.17 as it Applies to Stop Limit Orders
Comments due: December 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-095 | ||
| 34-87547 | Nov. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of the Final Last Sale Eligible Trade
Comments due: December 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-094 | ||
| 34-87521 | Nov. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: December 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-093 | ||
| 34-87461 | Nov. 5, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a New Data Product on its Equity Options Platform ("BZX Options") to be Known as Open-Close Data
Comments due: December 3, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-090 | ||
| 34-87349 | Oct. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Permanent an Options Market Rule Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: November 14, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-089 | ||
| 34-87365 | Oct. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020
Comments due: November 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-088 | ||
| 34-87336 | Oct. 17, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18
Comments due: November 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-087 | ||
| 34-87306 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Institute a Derived Data API Service
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-086 | ||
| 34-88640 | Apr. 15, 2020 | Notice of Withdrawal of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program |
| 34-87629 | Nov. 26, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: December 24, 2019 Rebuttal comments due: January 7, 2019 |
| 34-87312 | Oct. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: November 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-084 | ||
| 34-87243 | Oct. 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of 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
Comments due: November 1, 2019 |
| SR-CboeBZX-2019-083 | ||
| 34-87095 | Sep. 24, 2019 | Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions
Comments due: October 21, 2019 |
| SR-CboeBZX-2019-082 | ||
| 34-87092 | Sep. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Physical Connectivity
Comments due: October 21, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-081 | ||
| 34-86956 | Sep. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on the Exchange, as Set Forth in BZX Rule 14.13, Company Listing Fees
Comments due: October 9, 2019 |
| SR-CboeBZX-2019-080 | ||
| 34-86931 | Sep. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a New Data Product on its Equity Options Platform ("BZX Options") to be Known as Open-Close Data
Comments due: October 8, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-079 | ||
| 34-86811 | Aug. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a New Data Product on Its Equity Options Platform ("BZX Options") to Be Known As Open-Close Data
Comments due: September 26, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-077 | ||
| 34-86773 | Aug. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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)
Comments due: September 24, 2019 |
| SR-CboeBZX-2019-076 | ||
| 34-88351 | Mar. 10, 2020 | Notice of Withdrawal of 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) |
| 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 |
| 34-87581 | Nov. 21, 2019 | 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 Small Cap Value ETF under Currently Proposed Rule 14.11(k) |
| 34-87286 | Oct. 10, 2019 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Clearbridge Small Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: November 7, 2019 |
| SR-CboeBZX-2019-075 | ||
| 34-86724 | Aug. 21, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 14.11(i) Relating to Generic Listing Standards for Managed Fund Shares
Comments due: September 17, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-073 | ||
| 34-86623 | Aug. 9, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 14.3(e), Additional Requirements for Securities Issued by the Exchange or its Affiliates
Comments due: September 5, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-072 | ||
| 34-87687 | Dec. 9, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| 34-87142 | Sep. 27, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: October 24, 2019 Rebuttal comments due: November 7, 2019 |
| 34-86686 | Aug. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: September 11, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-070 | ||
| 34-87125 | Sep. 26, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule to Adopt a Pricing Structure for BZX Top Derived Data API Service
Comments due: October 23, 2019 Rebuttal comments due: November 6, 2019 |
| 34-86671 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Institute a Derived Data API Service
Comments due: September 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-069 | ||
| 34-88646 | Apr. 15, 2020 | Notice of Withdrawal of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program |
| 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 |
| 34-87164 | Sep. 30, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: October 25, 2019 Rebuttal comments due: November 8, 2019 |
| 34-86667 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: September 10, 2019 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) |
| 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 |
| 34-87421 | Oct. 30, 2019 | 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 iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares
Comments due: November 26, 2019 Rebuttal comments due: December 10, 2019 |
| 34-87018 | Sep. 19, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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 |
| 34-86546 | Aug. 1, 2019 | Notice of Filing of a Proposed Rule Change 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
Comments due: August 28, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-067 | ||
| 34-87108 | Sep. 25, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, to List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i) |
| 34-86996 | Sep. 17, 2019 | 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 Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series |
| 34-86511 | Jul. 30, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Innovator-100 Buffer ETF Series and Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series and Innovator Russell 2000 Power Buffer ETF Series, and Innovator-100 Ultra Buffer ETF Series and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i)
Comments due: August 26, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-066 | ||
| 34-86419 | Jul. 19, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Update Rule 16.1 to Include the Definition of Capacity, as well as Amend its Fee Schedule to Reflect this Update
Comments due: August 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-065 | ||
| 34-86463 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-064 | ||
| 34-86464 | Jul. 24, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: August 20, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-060 | ||
| 34-86324 | Jul. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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.
Comments due: August 2, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-059 | ||
| 34-86283 | Jul. 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: July 30, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-058 | ||
| 34-86213 | Jun. 27, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.
Comments due: July 24, 2019 Additional Materials: Exhibit 5 |
| 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 |
| 34-87769 | Dec. 17, 2019 | 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 American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF under Currently Proposed Rule 14.11(k) |
| 34-87059 | Sep. 23, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: October 18, 2019 Rebuttal comments due: November 1, 2019 Comments received are available for this proposal. |
| 34-86557 | Aug. 2, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) |
| 34-86155 | Jun. 19, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)
Comments due: July 16, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-055 | ||
| 34-86106 | Jun. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, 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
Comments due: July 11, 2019 |
| SR-CboeBZX-2019-052 | ||
| 34-86086 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow the Exchange to Determine the Availability of Order Types and Times-in-Force
Comments due: July 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-051 | ||
| 34-86078 | Jun. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Through December 31, 2019, the Penny Pilot Program ("Penny Pilot") in Options Classes in Certain Issues ("Pilot Program") Previously Approved by the Commission
Comments due: July 5, 2019 |
| SR-CboeBZX-2019-050 | ||
| 34-86085 | Jun. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Limit-on-Close ("LOC") and Market-on-Close ("MOC") Orders
Comments due: July 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-049 | ||
| 34-86130 | Jun. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Updating its Rule 21.1(h) 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
Comments due: July 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-047 | ||
| 34-87759 | Dec. 16, 2019 | Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares
Comments due: January 10, 2020 |
| 34-87062 | Sep. 23, 2019 | Notice of Filing of Amendment No. 2 and 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
Comments due: October 18, 2019 Rebuttal comments due: November 1, 2019 |
| 34-86563 | Aug. 2, 2019 | 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 |
| 34-86157 | Jun. 19, 2019 | 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
Comments due: July 16, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-046 | ||
| 34-85985 | May 31, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts
Comments due: June 27, 2019 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 |
| 34-87510 | Nov. 12, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove 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 |
| 34-86737 | Aug. 22, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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
Comments due: September 18, 2019 Rebuttal comments due: October 2, 2019 |
| 34-86348 | Jul. 10, 2019 | Notice of Designation of a Longer Period for Commission Action on 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 |
| 34-85948 | May 28, 2019 | Notice of Filing 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
Comments due: June 24, 2019 |
| SR-CboeBZX-2019-043 | ||
| 34-85845 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Rule Change Pursuant to SR-CboeBZX-2019-025
Comments due: June 7, 2019 |
| SR-CboeBZX-2019-042 | ||
| 34-85881 | May 16, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend the Fees Applicable to Securities Listed on the Exchange, Set Forth in BZX Rule 14.13, Company Listing Fees
Comments due: June 12, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-041 | ||
| 34-87688 | Dec. 9, 2019 | Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| 34-87500 | Nov. 12, 2019 | Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee |
| 34-86233 | Jun. 28, 2019 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: July 26, 2019 Rebuttal comments due: August 9, 2019 Comments received are available for this proposal. |
| 34-85840 | May 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: June 6, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-040 | ||
| 34-85869 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BZX Equities Fee Schedule to Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing
Comments due: June 11, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-039 | ||
| 34-85825 | May 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BZX Equities Trading Platform ("BZX Equities") as it Relates to Pricing for the Use of the TRIM Routing Strategy
Comments due: June 6, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-038 | ||
| 34-85846 | May 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: June 7, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-037 | ||
| 34-85795 | May 7, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and the Fee Schedule to Delete References to the TRIM2 and SWPB Routing Options
Comments due: June 3, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-035 | ||
| 34-85804 | May 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to list and trade under BZX Rule 14.11(c)(4) the Shares of the iShares iBonds 2021 Term High Yield and Income ETF, iShares iBonds 2022 Term High Yield and Income ETF, iShares iBonds 2023 Term High Yield and Income ETF, iShares iBonds 2024 Term High Yield and Income ETF, and iShares iBonds 2025 Term High Yield and Income ETF of iShares Trust
Comments due: June 4, 2019 |
| SR-CboeBZX-2019-034 | ||
| 34-85868 | May 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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
Comments due: June 11, 2019 |
| SR-CboeBZX-2019-032 | ||
| 34-85760 | May 2, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade under BZX Rule 14.11(d)(2)(K)(i) Shares of the iPath S&P MLP ETN Issued by Barclays Bank PLC
Comments due: May 29, 2019 |
| SR-CboeBZX-2019-031 | ||
| 34-86664 | Aug. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of Rule 14.11 (Other Securities) Related to the Applicability of Certain Disclosure Requirements
Comments due: September 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-030 | ||
| 34-85729 | Apr. 26, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Replace Obsolete Terminology
Comments due: May 23, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-028 | ||
| 34-85689 | Apr. 18, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 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
Comments due: May 15, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-026 | ||
| 34-85604 | Apr. 11, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot for Certain Options Market Rules that are Linked to the Equity Market Plan to Address Extraordinary Market Volatility
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-025 | ||
| 34-85642 | Apr. 15, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter 22 of the Exchange's Rulebook
Comments due: May 9, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-024 | ||
| 34-85591 | Apr. 10, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Modify its Fee Schedule
Comments due: May 7, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-023 | ||
| 34-87636 | Nov. 27, 2019 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| 34-87300 | Oct. 15, 2019 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| 34-86410 | Jul. 18, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities
Comments due: August 14, 2019 Rebuttal comments due: August 28, 2019 Comments received are available for this proposal. |
| 34-85966 | May 30, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 14.11(c) (Index Fund Shares) to Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities |
| 34-85656 | Apr. 16, 2019 | Notice of Filing of a Proposed Rule Change 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
Comments due: May 13, 2019 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2019-022 | ||
| 34-85543 | Apr. 8, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions
Comments due: May 3, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-021 | ||
| 34-85636 | Apr. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: May 8, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-020 | ||
| 34-85465 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 21.5, Interpretation and Policy .01 to Specify that Replacement Issues may be Added to the Penny Pilot Program ("Pilot") on a Quarterly Basis, without Altering the Expiration Date of the Pilot, which is June 30, 2019
Comments due: April 25, 2019 |
| SR-CboeBZX-2019-019 | ||
| 34-85474 | Mar. 29, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for such Funds to be Listed and Traded on the Exchange Under Rule 14.11(i) ("Managed Fund Shares")
Comments due: April 25, 2019 |
| SR-CboeBZX-2019-017 | ||
| 34-85370 | Mar. 20, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to List and Trade 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 Under BZX Rule 14.11(c)(4)
Comments due: April 16, 2019 |
| SR-CboeBZX-2019-016 | ||
| 34-85701 | Apr. 22, 2019 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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
Comments due: May 17, 2019 |
| 34-85349 | Mar. 18, 2019 | Notice of Filing 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
Comments due: April 12, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-015 | ||
| 34-86023 | Jun. 4, 2019 | Notice of Withdrawal of a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities |
| 34-85766 | May 3, 2019 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities |
| 34-85347 | Mar. 18, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs under Rule 14.11(d), Equity Index-Linked Securities
Comments due: April 12, 2019 |
| SR-CboeBZX-2019-014 | ||
| 34-85320 | Mar. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: April 10, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-013 | ||
| 34-85218 | Feb. 28, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating 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
Comments due: March 27, 2019 |
| SR-CboeBZX-2019-012 | ||
| 34-85235 | Mar. 1, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed 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)
Comments due: March 28, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-009 | ||
| 34-85183 | Feb. 22, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)
Comments due: March 21, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-008 | ||
| 34-85142 | Feb. 14, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify that BZX's Halt Auction Process is Applicable Only to Halt Auctions Following a Regulatory Halt
Comments due: March 14, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-006 | ||
| 34-85123 | Feb. 13, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BZX Fee Schedule as it Relates to Pricing for the Use of Certain Routing Strategies
Comments due: March 13, 2019 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-004 | ||
| 34-86995 | Sep. 17, 2019 | Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust |
| 34-86630 | Aug. 12, 2019 | 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 VanEck SolidX Bitcoin Trust |
| 34-85896 | May 20, 2019 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck SolidX Bitcoin Trust
Comments due: June 14, 2019 Rebuttal comments due: June 28, 2019 |
| 34-85475 | Mar. 29, 2019 | 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, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares |
| 34-85119 | Feb. 13, 2019 | Notice of Filing of 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: March 13, 2019 Comments received are available for this proposal. |
| SR-CboeBZX-2019-002 | ||
| 34-85108 | Feb. 12, 2019 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent")
Comments due: March 12, 2019 Additional Materials: Exhibit 5a, Exhibit 5b |
| SR-CboeBZX-2019-001 | ||
| 34-85557 | Apr. 9, 2019 | 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 Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds
Comments due: May 6, 2019 |
| 34-85388 | Mar. 21, 2019 | 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 Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds |
| 34-85099 | Feb. 11, 2019 | Notice of Filing of a Proposed Rule Change to List and Trade Under Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds
Comments due: March 8, 2019 Comments received are available for this proposal. |