Cboe BZX Exchange, Inc. (CboeBZX) Rulemaking Archive: 2020
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CboeBZX File Number List for 2020
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Chronological List for 2020
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| Release No. | Date | Details |
|---|---|---|
| Fourth Quarter | ||
| SR-CboeBZX-2020-036 | ||
| 34-90819 | Dec. 29, 2020 | Order Disapproving a Proposed Rule Change Relating to Rule 14.11, Other Securities, to Modify a Continued Listing Criterion for Certain Exchange-Traded Products |
| SR-CboeBZX-2020-083 | ||
| 34-90804 | Dec. 28, 2020 | Order Granting Approval of Proposed Rule Changes to Revise Each Exchange's Process for Re-opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours
Additional File Nos.: SR-CboeBYX-2020-032, SR-CboeEDGA-2020-029, SR-CboeEDGX-2020-055 |
| SR-CboeBZX-2020-042 | ||
| 34-90802 | Dec. 28, 2020 | Notice of Withdrawal of a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities |
| SR-CboeBZX-2020-089 | ||
| 34-90743 | Dec. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: January 19, 2021 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-093 | ||
| 34-90691 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the ProShares Short VIX Short-Term Futures ETF and the ProShares Ultra VIX Short-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-090 | ||
| 34-90686 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to List and Trade Shares of the Invesco Real Assets ESG ETF and the Invesco US Large Cap Core ESG ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, under Rule 14.11(m) (Tracking Fund Shares)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-092 | ||
| 34-90685 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4) (Trust Issued Receipts)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-091 | ||
| 34-90684 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Invesco Focused Discovery Growth ETF and the Invesco Select Growth ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-053 | ||
| 34-90671 | Dec. 15, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| SR-CboeBZX-2020-070 | ||
| 34-90659 | Dec. 14, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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-2020-088 | ||
| 34-90569 | Dec. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee Schedule to Update the Add Volume Tiers, to Eliminate the Remove Volume Tier, and to Eliminate Unused Fee Codes
Comments due: December 31, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-085 | ||
| 34-90530 | Nov. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF Under Rule 14.11(m) (Tracking Fund Shares)
Comments due: December 28, 2020 |
| SR-CboeBZX-2020-042 | ||
| 34-90444 | Nov. 17, 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 Accommodate Exchange Listing and Trading of Options-Linked Securities |
| SR-CboeBZX-2020-083 | ||
| 34-90420 | Nov. 13, 2020 | Notice of Filing of a Proposed Rule Change to Automate the Exchange's Process for Initiating the Re-opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session
Comments due: December 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-084 | ||
| 34-90403 | Nov. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Correct Drafting Error in a Footnote
Comments due: December 9, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-079 | ||
| 34-90379 | Nov. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-080 | ||
| 34-90381 | Nov. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index ("XSP") and Update Certain other Language in the Fee Schedule
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-082 | ||
| 34-90356 | Nov. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule to Eliminate the Listing Fee Waiver for Issuers of Certain ETPs
Comments due: December 3, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-078 | ||
| 34-90352 | Nov. 5, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Equity Transaction Fee Rebate Tiers
Comments due: December 3, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-070 | ||
| 34-90292 | Oct. 30, 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 BZX Rule 14.11(f)(4) (Trust Issued Receipts) |
| SR-CboeBZX-2020-036 | ||
| 34-90277 | Oct. 28, 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 Amend Rule 14.11, Other Securities |
| SR-CboeBZX-2020-076 | ||
| 34-90255 | Oct. 22, 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: November 18, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-075 | ||
| 34-90240 | Oct. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance its Drill-through Protections and make other Clarifying Change
Comments due: November 17, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-077 | ||
| 34-90231 | Oct. 20, 2020 | 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, 2021
Comments due: November 16, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-074 | ||
| 34-90126 | Oct. 8, 2020 | 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 4, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-073 | ||
| 34-90123 | Oct. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rebate Tiers in the Fee Schedule
Comments due: November 4, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-053 | ||
| 34-90118 | Oct. 7, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| SR-CboeBZX-2020-060 | ||
| 34-90082 | Oct. 2, 2020 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.
Comments due: October 29, 2020 |
| Third Quarter | ||
| SR-CboeBZX-2020-071 | ||
| 34-89974 | Sep. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: October 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-070 | ||
| 34-89901 | Sep. 17, 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 received are available for this proposal. |
| SR-CboeBZX-2020-003 | ||
| 34-89795 | Sep. 9, 2020 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| SR-CboeBZX-2020-068 | ||
| 34-89779 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data from the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-067 | ||
| 34-89752 | Sep. 2, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes
Comments due: September 29, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-042 | ||
| 34-89722 | Sep. 1, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities
Comments due: September 25, 2020 Rebuttal comments due: October 9, 2020 |
| SR-CboeBZX-2020-066 | ||
| 34-89673 | Aug. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: September 22, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-063 | ||
| 34-89583 | Aug. 17, 2020 | 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 to be known as Intraday Open-Close Data
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-060 | ||
| 34-89550 | Aug. 13, 2020 | Notice of Filing of a Proposed Rule Change to Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.
Comments due: September 9, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-053 | ||
| 34-89545 | Aug. 13, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") |
| SR-CboeBZX-2020-065 | ||
| 34-89525 | Aug. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: September 8, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-058 | ||
| 34-89518 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 20.10 Concerning Off-Floor Transfers
Comments due: September 4, 2020 |
| SR-CboeBZX-2020-059 | ||
| 34-89497 | Aug. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Introduce a New Data Product to be Known as Intraday Open-Close Data
Comments due: September 2, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-057 | ||
| 34-89471 | Aug. 4, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 3, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-036 | ||
| 34-89472 | Aug. 4, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Rule 14.11, Other Securities, to Modify a Continued Listing Criterion for Certain Exchange-Traded Products
Comments due: August 31, 2020 Rebuttal comments due: September 14, 2020 |
| SR-CboeBZX-2020-061 | ||
| 34-89451 | Aug. 3, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 4.5, Which is Part of 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 an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the "Commission")
Comments due: August 28, 2020 |
| SR-CboeBZX-2020-054 | ||
| 34-89313 | Jul. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Rules Regarding Off-Floor Transactions and Transfers
Comments due: August 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-055 | ||
| 34-89319 | Jul. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: August 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-003 | ||
| 34-89304 | Jul. 13, 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. 2, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| SR-CboeBZX-2020-042 | ||
| 34-89267 | Jul. 9, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities |
| SR-CboeBZX-2020-056 | ||
| 34-89273 | Jul. 9, 2020 | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rules 8.15 and 25.3
Comments due: August 5, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-011 | ||
| 34-89263 | Jul. 8, 2020 | Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail ("CAT NMS 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 |
| SR-CboeBZX-2020-053 | ||
| 34-89234 | Jul. 6, 2020 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, under Rule 14.11(f)(4) ("Trust Issued Receipts")
Comments due: 21 days after publication in the Federal Register Comments received are available for this proposal. |
| SR-CboeBZX-2020-029 | ||
| 34-89217 | Jul. 2, 2020 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares |
| Second Quarter | ||
| SR-CboeBZX-2020-052 | ||
| 34-89134 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness 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")
Comments due: July 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-050 | ||
| 34-89126 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the Cboe One Feed Under Rule 11.22(j) to Identify the Primary Listing Market's Official Opening and Closing Price
Comments due: July 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-051 | ||
| 34-89079 | Jun. 17, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.5 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(d)
Comments due: July 14, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-036 | ||
| 34-89076 | Jun. 16, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 14.11, Other Securities |
| SR-CboeBZX-2020-047 | ||
| 34-89067 | Jun. 15, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: July 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-048 | ||
| 34-89047 | Jun. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: July 8, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-044 | ||
| 34-89032 | Jun. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow Members and Clearing Members to Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis
Comments due: July 6, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-049 | ||
| 34-89011 | Jun. 4, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exempt Tracking Fund Shares Listed Pursuant to Rule 14.11(m) from Certain Governance Requirements
Comments due: July 1, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-043 | ||
| 34-88983 | Jun. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: June 26, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-042 | ||
| 34-88968 | May 28, 2020 | Notice of Filing of a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities
Comments due: June 24, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-040 | ||
| 34-88898 | May 18, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules in Connection with the Exchange's Disciplinary Process
Comments due: June 12, 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: June 11, 2020 |
| SR-CboeBZX-2020-029 | ||
| 34-88888 | May 15, 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 JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares |
| SR-CboeBZX-2020-037 | ||
| 34-88817 | May 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(l)(3)
Comments due: June 2, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-036 | ||
| 34-88795 | May 1, 2020 | Notice of Filing of a Proposed Rule Change to Amend Rule 14.11, Other Securities
Comments due: May 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-038 | ||
| 34-88788 | Apr. 30, 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: May 27, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-034 | ||
| 34-88778 | Apr. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on the Exchange, which are Set Forth in BZX Rule 14.13 (Company Listing Fees)
Comments due: May 27, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-011 | ||
| 34-88771 | Apr. 29, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Certain Rules Within Rules 4.5 through 4.16, which Contains 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: May 26, 2020 Rebuttal comments due: June 9, 2020 |
| SR-CboeBZX-2020-035 | ||
| 34-88752 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing Rule of the Hartford Core Bond ETF
Comments due: May 22, 2020 |
| SR-CboeBZX-2020-003 | ||
| 34-88726 | Apr. 22, 2020 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts
Comments due: June 2, 2020 Rebuttal comments due: June 16, 2020 |
| SR-CboeBZX-2020-021 | ||
| 34-88715 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Agility Shares Managed Risk Equity ETF, a Series of the Northern Lights Fund Trust, Under Rule 14.11(i)
Comments due: May 18, 2020 |
| SR-CboeBZX-2020-031 | ||
| 34-88711 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26(a) to Add LTSE as a Source for Market Data for Certain Purposes
Comments due: May 18, 2020 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 |
| 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 |
| SR-CboeBZX-2020-033 | ||
| 34-88632 | Apr. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: May 11, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-032 | ||
| 34-88617 | Apr. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8(e) Related to the Exchange's Lead Market Maker Program and to Make Corresponding Changes to its Fee Schedule
Comments due: May 6, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-006 | ||
| 34-88599 | Apr. 8, 2020 | Order Approving a Proposed Rule Change to Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 |
| 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 |
| SR-CboeBZX-2020-007 | ||
| 34-88558 | Apr. 3, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Eliminate the Requirement that an 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 |
| SR-CboeBZX-2020-029 | ||
| 34-88551 | Apr. 3, 2020 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares
Comments due: April 30, 2020 Comments received are available for this proposal. |
| First Quarter | ||
| SR-CboeBZX-2020-026 | ||
| 34-88497 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020
Comments due: April 23, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-027 | ||
| 34-88487 | Mar. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule to Institute a Fee Code Applicable to the Cboe Market Close
Comments due: April 22, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2019-107 | ||
| 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: April 22, 2020 Rebuttal comments due: May 6, 2020 |
| SR-CboeBZX-2020-028 | ||
| 34-88468 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Trading Hours Applicable to Managed Portfolio Shares to Include all Trading Sessions
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-011 | ||
| 34-88440 | Mar. 20, 2020 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Certain Rules Within Rules 4.5 through 4.16, which Contains 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 |
| SR-CboeBZX-2020-025 | ||
| 34-88417 | Mar. 18, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rules 11.23(d) and 11.24(e)
Comments due: April 14, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-023 | ||
| 34-88392 | Mar. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule Comments due: April 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-020 | ||
| 34-88354 | Mar. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: April 6, 2020 Additional Materials: Exhibit 5 |
| 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) |
| 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: March 24, 2020 |
| 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: March 23, 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) |
| 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: March 19, 2020 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: March 19, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| 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 |
| 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)
Comments received are available for this proposal. |
| 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 Comments received are available for this proposal. |
| 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-2020-094 | ||
| 34-90897 | Jan. 11, 2021 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Options and Equities Fees Schedules to Adopt a Provision Relating to Billing Errors and Fee Disputes
Comments due: February 5. 2021 Additional Materials: Exhibit 5a, Exhibit 5b Comments received are available for this proposal. |
| SR-CboeBZX-2020-093 | ||
| 34-90691 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the ProShares Short VIX Short-Term Futures ETF and the ProShares Ultra VIX Short-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4), Trust Issued Receipts
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-092 | ||
| 34-90685 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4) (Trust Issued Receipts)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-091 | ||
| 34-90684 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Invesco Focused Discovery Growth ETF and the Invesco Select Growth ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-090 | ||
| 34-90686 | Dec. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule to List and Trade Shares of the Invesco Real Assets ESG ETF and the Invesco US Large Cap Core ESG ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, under Rule 14.11(m) (Tracking Fund Shares)
Comments due: January 12, 2021 |
| SR-CboeBZX-2020-089 | ||
| 34-90743 | Dec. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: January 19, 2021 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-088 | ||
| 34-90569 | Dec. 4, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Fee Schedule to Update the Add Volume Tiers, to Eliminate the Remove Volume Tier, and to Eliminate Unused Fee Codes
Comments due: December 31, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-085 | ||
| 34-90530 | Nov. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF Under Rule 14.11(m) (Tracking Fund Shares)
Comments due: December 28, 2020 |
| SR-CboeBZX-2020-084 | ||
| 34-90403 | Nov. 12, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Correct Drafting Error in a Footnote
Comments due: December 9, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-083 | ||
| 34-90804 | Dec. 28, 2020 | Order Granting Approval of Proposed Rule Changes to Revise Each Exchange's Process for Re-opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours
Additional File Nos.: SR-CboeBYX-2020-032, SR-CboeEDGA-2020-029, SR-CboeEDGX-2020-055 |
| 34-90420 | Nov. 13, 2020 | Notice of Filing of a Proposed Rule Change to Automate the Exchange's Process for Initiating the Re-opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session
Comments due: December 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-082 | ||
| 34-90356 | Nov. 5, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule to Eliminate the Listing Fee Waiver for Issuers of Certain ETPs
Comments due: December 3, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-080 | ||
| 34-90381 | Nov. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index ("XSP") and Update Certain other Language in the Fee Schedule
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-079 | ||
| 34-90379 | Nov. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: December 7, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-078 | ||
| 34-90352 | Nov. 5, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Equity Transaction Fee Rebate Tiers
Comments due: December 3, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-077 | ||
| 34-90231 | Oct. 20, 2020 | 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, 2021
Comments due: November 16, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-076 | ||
| 34-90255 | Oct. 22, 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: November 18, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-075 | ||
| 34-90240 | Oct. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance its Drill-through Protections and make other Clarifying Change
Comments due: November 17, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-074 | ||
| 34-90126 | Oct. 8, 2020 | 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 4, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-073 | ||
| 34-90123 | Oct. 8, 2020 | Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rebate Tiers in the Fee Schedule
Comments due: November 4, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-071 | ||
| 34-89974 | Sep. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: October 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-070 | ||
| 34-93230 | Oct. 1, 2021 | Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts)
See also: SR-CboeBZX-2020-053 |
| 34-91264 | Mar. 5, 2021 | Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) See also: Letter from Assistant Secretary J. Matthew DeLesDernier to Kyle Murray, Assistant General Counsel, Cboe Global Markets, dated March 5, 2021 |
| 34-90659 | Dec. 14, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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 received are available for this proposal. |
| 34-90292 | Oct. 30, 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 BZX Rule 14.11(f)(4) (Trust Issued Receipts) |
| 34-89901 | Sep. 17, 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 received are available for this proposal. |
| SR-CboeBZX-2020-068 | ||
| 34-89779 | Sep. 8, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data from the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes
Comments due: October 5, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-067 | ||
| 34-89752 | Sep. 2, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes
Comments due: September 29, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-066 | ||
| 34-89673 | Aug. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: September 22, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-065 | ||
| 34-89525 | Aug. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule
Comments due: September 8, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-063 | ||
| 34-89583 | Aug. 17, 2020 | 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 to be known as Intraday Open-Close Data
Comments due: September 11, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-061 | ||
| 34-89451 | Aug. 3, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 4.5, Which is Part of 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 an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the "Commission")
Comments due: August 28, 2020 |
| SR-CboeBZX-2020-060 | ||
| 34-90082 | Oct. 2, 2020 | Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.
Comments due: October 29, 2020 |
| 34-89550 | Aug. 13, 2020 | Notice of Filing of a Proposed Rule Change to Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.
Comments due: September 9, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-059 | ||
| 34-89497 | Aug. 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Introduce a New Data Product to be Known as Intraday Open-Close Data
Comments due: September 2, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-058 | ||
| 34-89518 | Aug. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 20.10 Concerning Off-Floor Transfers
Comments due: September 4, 2020 |
| SR-CboeBZX-2020-057 | ||
| 34-89471 | Aug. 4, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: September 3, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-056 | ||
| 34-89273 | Jul. 9, 2020 | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rules 8.15 and 25.3
Comments due: August 5, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-055 | ||
| 34-89319 | Jul. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: August 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-054 | ||
| 34-89313 | Jul. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Rules Regarding Off-Floor Transactions and Transfers
Comments due: August 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-053 | ||
| 34-93229 | Oct. 1, 2021 | Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, to List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts)
See also: SR-CboeBZX-2020-070 |
| 34-91265 | Mar. 5, 2021 | Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, to List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) See also: Letter from Assistant Secretary J. Matthew DeLesDernier to Kyle Murray, Assistant General Counsel, Cboe Global Markets, dated March 5, 2021 |
| 34-90671 | Dec. 15, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| 34-90118 | Oct. 7, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) |
| 34-89545 | Aug. 13, 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 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") |
| 34-89234 | Jul. 6, 2020 | Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, under Rule 14.11(f)(4) ("Trust Issued Receipts")
Comments received are available for this proposal. |
| SR-CboeBZX-2020-052 | ||
| 34-89134 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness 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")
Comments due: July 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-051 | ||
| 34-89079 | Jun. 17, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.5 to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(d)
Comments due: July 14, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-050 | ||
| 34-89126 | Jun. 23, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the Cboe One Feed Under Rule 11.22(j) to Identify the Primary Listing Market's Official Opening and Closing Price
Comments due: July 20, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-049 | ||
| 34-89011 | Jun. 4, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exempt Tracking Fund Shares Listed Pursuant to Rule 14.11(m) from Certain Governance Requirements
Comments due: July 1, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-048 | ||
| 34-89047 | Jun. 11, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule
Comments due: July 8, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-047 | ||
| 34-89067 | Jun. 15, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: July 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-044 | ||
| 34-89032 | Jun. 9, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Allow Members and Clearing Members to Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis
Comments due: July 6, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-043 | ||
| 34-88983 | Jun. 1, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: June 26, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-042 | ||
| 34-90802 | Dec. 28, 2020 | Notice of Withdrawal of a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities |
| 34-90444 | Nov. 17, 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 Accommodate Exchange Listing and Trading of Options-Linked Securities |
| 34-89722 | Sep. 1, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities
Comments due: September 25, 2020 Rebuttal comments due: October 9, 2020 |
| 34-89267 | Jul. 9, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities |
| 34-88968 | May 28, 2020 | Notice of Filing of a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities
Comments due: June 24, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-040 | ||
| 34-88898 | May 18, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules in Connection with the Exchange's Disciplinary Process
Comments due: June 12, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-038 | ||
| 34-88788 | Apr. 30, 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: May 27, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-037 | ||
| 34-88817 | May 6, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(l)(3)
Comments due: June 2, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-036 | ||
| 34-90819 | Dec. 29, 2020 | Order Disapproving a Proposed Rule Change Relating to Rule 14.11, Other Securities, to Modify a Continued Listing Criterion for Certain Exchange-Traded Products |
| 34-90277 | Oct. 28, 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 Amend Rule 14.11, Other Securities |
| 34-89472 | Aug. 4, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Rule 14.11, Other Securities, to Modify a Continued Listing Criterion for Certain Exchange-Traded Products
Comments due: August 31, 2020 Rebuttal comments due: September 14, 2020 |
| 34-89076 | Jun. 16, 2020 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 14.11, Other Securities |
| 34-88795 | May 1, 2020 | Notice of Filing of a Proposed Rule Change to Amend Rule 14.11, Other Securities
Comments due: May 28, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-035 | ||
| 34-88752 | Apr. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing Rule of the Hartford Core Bond ETF
Comments due: May 22, 2020 |
| SR-CboeBZX-2020-034 | ||
| 34-88778 | Apr. 30, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on the Exchange, which are Set Forth in BZX Rule 14.13 (Company Listing Fees)
Comments due: May 27, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-033 | ||
| 34-88632 | Apr. 14, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: May 11, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-032 | ||
| 34-88617 | Apr. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8(e) Related to the Exchange's Lead Market Maker Program and to Make Corresponding Changes to its Fee Schedule
Comments due: May 6, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-031 | ||
| 34-88711 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26(a) to Add LTSE as a Source for Market Data for Certain Purposes
Comments due: May 18, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-029 | ||
| 34-89217 | Jul. 2, 2020 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares |
| 34-88888 | May 15, 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 JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares |
| 34-88551 | Apr. 3, 2020 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares
Comments due: April 30, 2020 Comments received are available for this proposal. |
| SR-CboeBZX-2020-028 | ||
| 34-88468 | Mar. 25, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Trading Hours Applicable to Managed Portfolio Shares to Include all Trading Sessions
Comments due: April 21, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-027 | ||
| 34-88487 | Mar. 26, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Fee Schedule to Institute a Fee Code Applicable to the Cboe Market Close
Comments due: April 22, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-026 | ||
| 34-88497 | Mar. 27, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020
Comments due: April 23, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-025 | ||
| 34-88417 | Mar. 18, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rules 11.23(d) and 11.24(e)
Comments due: April 14, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-023 | ||
| 34-88392 | Mar. 16, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: April 10, 2020 Additional Materials: Exhibit 5 |
| SR-CboeBZX-2020-021 | ||
| 34-88715 | Apr. 21, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Shares of the Agility Shares Managed Risk Equity ETF, a Series of the Northern Lights Fund Trust, Under Rule 14.11(i)
Comments due: May 18, 2020 |
| SR-CboeBZX-2020-020 | ||
| 34-88354 | Mar. 10, 2020 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule
Comments due: April 6, 2020 Additional Materials: Exhibit 5 |
| 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: March 24, 2020 |
| 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: March 23, 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-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 | ||
| 34-89263 | Jul. 8, 2020 | Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail ("CAT NMS 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 |
| 34-88771 | Apr. 29, 2020 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Certain Rules Within Rules 4.5 through 4.16, which Contains 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: May 26, 2020 Rebuttal comments due: June 9, 2020 |
| 34-88440 | Mar. 20, 2020 | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Certain Rules Within Rules 4.5 through 4.16, which Contains 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 |
| 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 | ||
| 34-88558 | Apr. 3, 2020 | Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Eliminate the Requirement that an 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 |
| 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: March 19, 2020 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-CboeBZX-2020-006 | ||
| 34-88599 | Apr. 8, 2020 | Order Approving a Proposed Rule Change to Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 |
| 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: March 19, 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-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 | ||
| 34-89795 | Sep. 9, 2020 | Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| 34-89304 | Jul. 13, 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. 2, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts |
| 34-88726 | Apr. 22, 2020 | Notice of Filing of Amendment No. 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts
Comments due: June 2, 2020 Rebuttal comments due: June 16, 2020 |
| 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 Comments received are available for this proposal. |
| 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 |