Cboe BZX Options Exchange Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

File number: SR-BATS-2015-95
Date filed: October 23, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust.

File number: SR-BATS-2015-94
Date filed: October 23, 2015
Description:

BATS Exchange, Inc. proposes a rule change to Rule 14.11, Managed Fund Shares, to list and trade shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust.

File number: SR-BATS-2015-69
Date filed: September 1, 2015
Description:

BATS Exchange, Inc. proposes a Rule Change to amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and adopt Rule 11.1(a)(1)

File number: SR-BATS-2015-57-Amendment-No-1
Date filed: August 11, 2015
Description:

Amendment to SR-BATS-2015-57

File number: SR-BATS-2015-57
Date filed: July 30, 2015
Description:

BATS Exchange, Inc. proposes to adopt new Rule 8.17 to provide a process for an expedited suspension proceeding and Rule 12.15 to prohibit Layering and Spoofing.

File number: SR-BATS-2015-56 Amendment No. 2
Date filed: September 4, 2015
Description:

Second amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56 Amendment No. 1
Date filed: August 19, 2015
Description:

Amendment to SR-BATS-2015-56.

File number: SR-BATS-2015-56
Date filed: July 30, 2015
Description:

BATS Exchange, Inc. proposes to list and trade shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11

Approved and Immediately Effective Rule Changes

File number: SR-BATS-2010-039
Date filed: December 22, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-038
Date filed: December 21, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-037
Date filed: December 7, 2010
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

File number: SR-BATS-2010-036
Date filed: December 2, 2010
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

File number: SR-BATS-2010-035
Date filed: November 19, 2010
Description:

BATS Options proposal to extend the Penny Pilot Program through December 31, 2011.

File number: SR-BATS-2010-033
Date filed: November 18, 2010
Description:

BATS Options proposal to amend Rule 25.3, entitled Penalty for Minor Rule Violations, to expand the list of violations eligible for disposition under the BATS Options MRVP.

File number: SR-BATS-2010-032
Date filed: November 10, 2010
Description:

BATS Options proposal to adopt a $.50 Strike Program and to modify the BATS Options $1 Strike Program.

File number: SR-BATS-2010-031
Date filed: October 29, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-030
Date filed: October 14, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-029
Date filed: October 13, 2010
Description:

BATS is proposing to amend BATS Rule 11.13 (Order Execution) to add certain new routing strategies and to modify the description of certain existing routing strategies.

File number: SR-BATS-2010-028
Date filed: October 6, 2010
Description:

BATS Exchange is proposing to amend its Rules to conform such Rules to the rules of the Exchange's affiliate, BATS Y-Exchange, Inc. (BYX).

File number: SR-BATS-2010-027
Date filed: October 4, 2010
Description:

BATS is proposing to amend BATS Rule 21.9 (Order Execution) to modify the existing general description of BATS Options routing functionality and to describe available routing strategies in greater detail.

File number: SR-BATS-2010-026 Amendment 1
Date filed: October 12, 2010
Description:

Amendment to SR-BATS-2010-026.

File number: SR-BATS-2010-026
Date filed: September 30, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-025 Amendment 1
Date filed: November 4, 2010
Description:

Amendment to SR-BATS-2010-025

File number: SR-BATS-2010-025
Date filed: September 17, 2010
Description:

Proposal to amend BATS Rule 11.8, which relates to the obligations of market makers registered with BATS.

File number: SR-BATS-2010-024
Date filed: September 9, 2010
Description:

BATS is proposing to adopt new BATS Rule 2.12, entitled BATS Trading, Inc. as Inbound Router and to make other related changes.

File number: SR-BATS-2010-023
Date filed: August 30, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-022
Date filed: August 30, 2010
Description:

BATS is proposing to amend BATS Rule 11.13 to rename one of the Exchange's routing strategies.

File number: SR-BATS-2010-021
Date filed: August 3, 2010
Description:

BATS is proposing to amend BATS Rule 23.1 (Exercise of Options Contracts) to extend the cut-off time to submit contrary exercise advices.

File number: SR-BATS-2010-020
Date filed: July 27, 2010
Description:

BATS is proposing to amend Rule 19.6 (Series of Options Contracts Open for Trading) and Rule 29.11 (Terms of Index Options Contracts) in order to list option series that expire one week after being opened for trading.

File number: SR-BATS-2010-019
Date filed: July 26, 2010
Description:

BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on August 2, 2010.

File number: SR-BATS-2010-018
Date filed: June 30, 2010
Description:

BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) to add securities included in the Russell 1000 Index and specified Exchange Traded Products to the pilot rule.

File number: SR-BATS-2010-017
Date filed: June 28, 2010
Description:

BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the existing general description of Exchange routing functionality, to describe available routing options in greater detail, and to add certain new routing options.

File number: SR-BATS-2010-016
Date filed: June 17, 2010
Description:

BATS is proposing to amend BATS Rule 11.17 (Clearly Erroneous Executions) to make various modifications to the Exchange's handling of clearly erroneous execution reviews, including in the context of securities subject to an individual stock trading pause and multi-stock events involving twenty or more securities.

File number: SR-BATS-2010-015
Date filed: May 28, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-013
Date filed: May 13, 2010
Description:

BATS is proposing to eliminate BATS Rule 19.5, which requires that at least one Options Market Maker be registered for trading a particular series before it may be opened for trading on BATS Options.

File number: SR-BATS-2010-012
Date filed: May 4, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-011
Date filed: May 4, 2010
Description:

BATS is proposing to modify its Match Trade Prevention functionality.

File number: SR-BATS-2010-009
Date filed: April 30, 2010
Description:

BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on May 3, 2010.

File number: SR-BATS-2010-007
Date filed: March 31, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-006
Date filed: March 30, 2010
Description:

BATS is proposing to amend BATS Rule 11.9(c)(12) (Destination Specific Order) to permit Exchange Users to designate an order that will first check the BATS Book for liquidity and then be routed to one or to multiple Alternative Trading Systems with which the Exchange has connections.

File number: SR-BATS-2010-005
Date filed: February 25, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-003
Date filed: February 11, 2010
Description:

BATS is proposing to amend BATS Rule 5.5 ("Information Barrier Procedures") to modify the Exchange's rule regarding information barrier procedures required of certain Exchange Members and to add new Exchange Rule 12.13 ("Trading Ahead of Research Reports").

File number: SR-BATS-2010-002 Amendment 2
Date filed: April 8, 2010
Description:

Partial amendment to SR-BATS-2010-002.

File number: SR-BATS-2010-002 Amendment 1
Date filed: February 22, 2010
Description:

Partial amendment to SR-BATS-2010-002

File number: SR-BATS-2010-002
Date filed: February 2, 2010
Description:

BATS is proposing to offer certain new BATS Exchange data products to Members of the Exchange and other market data recipients.

File number: SR-BATS-2010-001
Date filed: January 29, 2010
Description:

Amendments to Fee Schedule for BATS Exchange.

File number: SR-BATS-2010-014
Date filed: May 18, 2010
Description:

BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatilty) to allow the Exchange to pause trading in an individual stock when the primary listing market for such stock issues a trading pause.

File number: SR-BATS-2010-008 Amendment 1
Date filed: June 30, 2010
Description:

Amendment to SR-BATS-2010-008.

File number: SR-BATS-2010-008
Date filed: April 9, 2010
Description:

BATS is proposing to amend BATS Rule 2.5 (Restrictions), to require each Exchange Member to register with the Exchange: (i) at least two principals to supervise Authorized Traders of the Member (subject to certain exceptions), and (ii) at least one financial and operations principal.