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-2013-066 Amendment 1
Date filed: January 15, 2014
Description:

Partial amendment to SR-BATS-2013-066.

File number: SR-BATS-2013-066
Date filed: December 19, 2013
Description:

BATS is proposing to amend BATS Rule 11.23 to allow the operation of a Volatility Closing Auction when a BATS listed security is halted in the last 10 minutes of regular trading hours.

File number: SR-BATS-2013-064
Date filed: December 12, 2013
Description:

BATS is proposing to extend the Penny Pilot for BATS Options through June 30, 2014.

File number: SR-BATS-2013-063
Date filed: December 9, 2013
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2013-062
Date filed: December 5, 2013
Description:

Modifications to BATS Rule 22.6 with respect to Market Maker quoting obligations imposed by BATS Options.

File number: SR-BATS-2013-061
Date filed: December 2, 2013
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2013-060
Date filed: November 18, 2013
Description:

BATS is proposing changes to the rules governing the BATS Options Risk Monitor Mechanism.

File number: SR-BATS-2013-059
Date filed: November 25, 2013
Description:

BATS proposal in connection with the proposed business combination of BATS Global Markets, Inc. and Direct Edge Holdings LLC.

File number: SR-BATS-2013-058
Date filed: October 31, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-057
Date filed: November 12, 2013
Description:

BATS is proposing to amend the BATS Competitive Liquidity Provider program.

File number: SR-BATS-2013-056
Date filed: October 3, 2013
Description:

BATS is proposing to amend Rule 12.6 to make it substantially the same as FINRA Rule 5320.

File number: SR-BATS-2013-055
Date filed: October 1, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-054
Date filed: October 1, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-053
Date filed: September 24, 2013
Description:

BATS is proposing to extend a pilot program related to Rule 11.17 (Clearly Erroneous Executions) and to eliminate certain references in Rule 11.17.

File number: SR-BATS-2013-052
Date filed: September 20, 2013
Description:

BATS is proposing to amend BATS Options rules to authorize the nullification of trades that occur after a halt has been issued.

File number: SR-BATS-2013-051
Date filed: September 19, 2013
Description:

BATS is proposing to list and trade shares of the iShares Liquidity Income Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.

File number: SR-BATS-2013-050
Date filed: September 12, 2013
Description:

BATS is eliminating references to an obsolete functionality and data feed.

File number: SR-BATS-2013-049
Date filed: August 30, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-048
Date filed: August 28, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-047
Date filed: August 16, 2013
Description:

BATS is proposing to set forth in its rules the fees charged for certain Continuing Education.

File number: SR-BATS-2013-046
Date filed: August 15, 2013
Description:

BATS is proposing to amend its registration rules to recognize additional registrations and to clarify existing qualification and continuing education rules.

File number: SR-BATS-2013-045
Date filed: August 15, 2013
Description:

Proposal to establish a revenue sharing agreement with respect to certain private labeled data products.

File number: SR-BATS-2013-044
Date filed: August 7, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-043
Date filed: August 2, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-042
Date filed: August 1, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-041
Date filed: August 1, 2013
Description:

BATS is proposing to eliminate the CYCLE routing option effective September 3, 2013.

File number: SR-BATS-2013-040
Date filed: June 28, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-039
Date filed: June 26, 2013
Description:

BATS is proposing to impose fees for certain BATS Equities market data products.

File number: SR-BATS-2013-038 Amendment 1
Date filed: July 2, 2013
Description:

Amendment replacing SR-BATS-2013-038.

File number: SR-BATS-2013-038
Date filed: June 21, 2013
Description:

BATS is proposing to amend its ETP listing rules and to adopt rules for the listing of certain securities on the Exchange.

File number: SR-BATS-2013-037
Date filed: June 20, 2013
Description:

BATS is proposing to amend the information barrier requirement of the CLP Program.

File number: SR-BATS-2013-036
Date filed: June 19, 2013
Description:

BATS is proposing to offer access to the Exchange via physical connections in certain additional data centers.

File number: SR-BATS-2013-034
Date filed: June 13, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-033
Date filed: June 4, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-032
Date filed: June 3, 2013
Description:

A proposed rule change with respect to the authority of the Exchange or BATS Trading, Inc. to cancel orders when a technical or system issue occurs and to describe the operation of an error account for BATS Trading, Inc.

File number: SR-BATS-2013-030
Date filed: June 11, 2013
Description:

BATS is proposing to extend the Penny Pilot for BATS Options through December 31, 2013.

File number: SR-BATS-2013-026
Date filed: May 7, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-025
Date filed: May 1, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-024
Date filed: April 29, 2013
Description:

Proposal to amend the Bylaws of BATS Exchange, Inc.

File number: SR-BATS-2013-023
Date filed: April 10, 2013
Description:

BATS Options is proposing to adopt a market order collar.

File number: SR-BATS-2013-022
Date filed: March 22, 2013
Description:

BATS is proposing to amend the functionality of the Market Maker Peg Order.

File number: SR-BATS-2013-021
Date filed: March 18, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-020
Date filed: March 18, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-019
Date filed: March 15, 2013
Description:

BATS Options is proposing to permit the minimum trading increment for Mini Options to be the same as the minimum trading increment permitted for standard options on the same underlying security.

File number: SR-BATS-2013-018
Date filed: March 13, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-017
Date filed: March 1, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-016
Date filed: March 1, 2013
Description:

BATS Options is proposing to suspend options market maker obligations in certain circumstances in connection with the Limit Up-Limit Down Plan.

File number: SR-BATS-2013-015
Date filed: February 28, 2013
Description:

BATS is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.

File number: SR-BATS-2013-014
Date filed: February 27, 2013
Description:

Proposal to reject Market Orders received by BATS Options when the underlying security is subject to a Limit or Straddle State under the Limit Up-Limit Down Plan.

File number: SR-BATS-2013-013
Date filed: February 20, 2013
Description:

BATS Options is proposing to list and trade option contracts overlying 10 shares of a security (Mini Options).

File number: SR-BATS-2013-012
Date filed: February 11, 2013
Description:

Amendments to fee schedule of BATS Exchange.

File number: SR-BATS-2013-010
Date filed: January 30, 2013
Description:

BATS is proposing to delay the operative date of changes to the market wide circuit breaker.

File number: SR-BATS-2013-009
Date filed: January 30, 2013
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-2013-008
Date filed: January 30, 2013
Description:

BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.

File number: SR-BATS-2013-007
Date filed: January 25, 2013
Description:

BATS is proposing to modify Rules 11.9 and 21.1.

File number: SR-BATS-2013-006
Date filed: January 23, 2013
Description:

BATS is proposing to add $0.50 strikes to the Short Term Option Series (STOS) Program and to expand the STOS Program.

File number: SR-BATS-2013-005
Date filed: January 18, 2013
Description:

BATS is proposing to amend its Competitive Liquidity Provider program.

File number: SR-BATS-2013-003
Date filed: January 18, 2013
Description:

BATS is proposing to eliminate the Discretionary Order order type for BATS Options.

File number: SR-BATS-2013-002
Date filed: January 7, 2013
Description:

Amendments to fee schedule of BATS Exchange.