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-2014-073
Date filed: December 22, 2014
Description:

Proposal to amend Rule 2.12 to remove references to Direct Edge ECN LLC and DE Route.

File number: SR-BATS-2014-072
Date filed: December 17, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-071
Date filed: December 17, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-070
Date filed: December 17, 2014
Description:

Proposed to extend the Penny Pilot Program for BATS Options through June 30, 2015.

File number: SR-BATS-2014-068
Date filed: December 10, 2014
Description:

Proposed to amend Rules 11.9(a)(2) and 11.18(e) to modify the operation of BATS market orders.

File number: SR-BATS-2014-067 Amendment No. 2
Date filed: March 13, 2015
Description:

Second amendment to SR-BATS-2014-067.

File number: SR-BATS-2014-067 Amendment No. 1
Date filed: December 17, 2014
Description:

Amendment to SR-BATS-2014-067.

File number: SR-BATS-2014-067
Date filed: December 4, 2014
Description:

Proposal to replace Rule 20.6, entitled Obvious Error, with new Rule 20.6 entitled Nullification and Adjustment of Options Transactions including Obvious Errors.

File number: SR-BATS-2014-066
Date filed: December 3, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-064
Date filed: December 1, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-063
Date filed: December 1, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-062
Date filed: November 28, 2014
Description:

Proposed to amend Rule 11.1.

File number: SR-BATS-2014-058
Date filed: November 17, 2014
Description:

Proposed to re-number Rule 11.24, entitled Retail Order Attribution Program, as Rule 11.25.

File number: SR-BATS-2014-057
Date filed: November 21, 2014
Description:

Proposed to amend Rule 14.11(j)(5) to harmonize its restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC.

File number: SR-BATS-2014-056 Amendment No. 1
Date filed: February 12, 2015
Description:

Amendment to SR-BATS-2014-056.

File number: SR-BATS-2014-056
Date filed: December 19, 2014
Description:

BATS Exchange, Inc. proposed to list and trade shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust under BATS Rule 14.11(i).

File number: SR-BATS-2014-055 Amendment No. 2
Date filed: December 15, 2014
Description:

Second amendment to SR-BATS-2014-055.

File number: SR-BATS-2014-055 Amendment No. 1
Date filed: November 13, 2014
Description:

Amendment to SR-BATS-2014-055.

File number: SR-BATS-2014-055
Date filed: October 30, 2014
Description:

BATS is proposing to establish a new market data product called the BATS One Feed.

File number: SR-BATS-2014-054
Date filed: December 12, 2014
Description:

BATS Exchange, Inc. proposed to list and trade shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i).

File number: SR-BATS-2014-053
Date filed: October 24, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-052
Date filed: October 17, 2014
Description:

Proposed to amend Rules 11.9 and 11.13.

File number: SR-BATS-2014-051
Date filed: October 16, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-050
Date filed: October 16, 2014
Description:

Proposal to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.

File number: SR-BATS-2014-047
Date filed: October 6, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-045
Date filed: October 7, 2014
Description:

Proposed to amend Rule 11.16 (Limitation of Liability).

File number: SR-BATS-2014-044
Date filed: September 25, 2014
Description:

Proposal to amend Rules 11.13 for BATS Equities and 21.9 for BATS Options.

File number: SR-BATS-2014-043
Date filed: September 18, 2014
Description:

Proposed to adopt a retail attribution program under new Rule 11.24.

File number: SR-BATS-2014-042
Date filed: September 15, 2014
Description:

Proposed to amend Rule 11.9(c) to adopt a Supplemental Peg Order.

File number: SR-BATS-2014-041
Date filed: September 12, 2014
Description:

Proposal to provide additional functionality with respect to Primary Pegged Orders offered pursuant to Rule 11.9(c)(8).

File number: SR-BATS-2014-040 Amendment No. 1
Date filed: October 10, 2014
Description:

Partial amendment to SR-BATS-2014-040.

File number: SR-BATS-2014-040
Date filed: September 12, 2014
Description:

Proposed rule change to amend Rule 21.7 to modify the process by which BATS Options opens trading at the beginning of the day and after trading halts.

File number: SR-BATS-2014-039
Date filed: August 28, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-038
Date filed: August 26, 2014
Description:

Proposal to amend Rules 11.9 for BATS Equities and 21.1 for BATS Options.

File number: SR-BATS-2014-037
Date filed: September 3, 2014
Description:

Proposed rule change to add Rule 11.24, entitled Opening Process for Non-BATS-Listed Securities, as well as to make several corresponding changes in order to modify the manner in which the Exchange opens trading for non-listed securities at the beginning of the day and after trading halts.

File number: SR-BATS-2014-036
Date filed: August 15, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-034
Date filed: August 11, 2014
Description:

Proposed to amend Rules 11.9(f) to adopt a new Match Trade Prevention Modifier (MTP) called Cancel Smallest with respect to the Exchanges cash equities trading platform and 21.1(g) to add similar functionality to BATS Options.

File number: SR-BATS-2014-033
Date filed: August 11, 2014
Description:

Proposed to amend Rule 11.13 to add an additional routing strategy.

File number: SR-BATS-2014-031
Date filed: August 4, 2014
Description:

Proposed rule change to reflect changes to the means of achieving the investment objective applicable to the iShares Short Maturity Bond Fund.

File number: SR-BATS-2014-030
Date filed: August 1, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-029
Date filed: July 15, 2014
Description:

BATS Exchange, Inc. proposes to clarify for its Members and non-Members the use of certain data feeds for order handling and execution, order routing, and regulatory compliance.

File number: SR-BATS-2014-027
Date filed: July 9, 2014
Description:

Proposal to amend Rules 11.9, 11.12, 11.18, 21.1 and 21.7.

File number: SR-BATS-2014-026 Amendment No. 3
Date filed: September 12, 2014
Description:

Third amendment to SR-BATS-2014-026.

File number: SR-BATS-2014-026 Amendment No. 2
Date filed: August 26, 2014
Description:

Second amendment to SR-BATS-2014-026.

File number: SR-BATS-2014-026 Amendment No. 1
Date filed: August 15, 2014
Description:

Amendment to SR-BATS-2014-026.

File number: SR-BATS-2014-026
Date filed: August 26, 2014
Description:

BATS proposed to list and trade shares of certain funds of the Alpha Architect ETF Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.

File number: SR-BATS-2014-025
Date filed: July 1, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-024
Date filed: June 4, 2014
Description:

Proposed to amend the fees applicable to securities listed on the Exchange pursuant to BATS Rule 14.13.

File number: SR-BATS-2014-023
Date filed: June 4, 2014
Description:

Proposed to extend the Penny Pilot Program for BATS Options through December 31, 2014.

File number: SR-BATS-2014-022
Date filed: June 3, 2014
Description:

Proposal to amend the Competitive Liquidity Provider Program.

File number: SR-BATS-2014-021
Date filed: May 30, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-019
Date filed: May 28, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-017
Date filed: April 28, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-016
Date filed: April 17, 2014
Description:

Proposed rule change to amend Rule 21.7, entitled Market Opening Procedures.

File number: SR-BATS-2014-015
Date filed: April 17, 2014
Description:

Proposed rule change to institute an incentive program for market makers registered with the Exchange in ETPs listed on the Exchange (the LMM Program).

File number: SR-BATS-2014-014
Date filed: April 17, 2014
Description:

Proposed rule change to add new paragraphs (i) and (j) to Rule 11.17, entitled Clearly Erroneous Executions.

File number: SR-BATS-2014-013
Date filed: April 24, 2014
Description:

BATS Exchange, Inc. proposed to amend Interpretation and Policy .05 to Rule 19.6, entitled Series of Options Contracts Open for Trading, and Rule 29.11, entitled Terms of Index Options Contracts.

File number: SR-BATS-2014-011
Date filed: April 1, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-010
Date filed: March 31, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-008
Date filed: March 18, 2014
Description:

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

File number: SR-BATS-2014-007
Date filed: March 13, 2014
Description:

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

File number: SR-BATS-2014-006
Date filed: March 7, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-005
Date filed: March 3, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.

File number: SR-BATS-2014-003 Amendment 1
Date filed: January 16, 2014
Description:

Partial amendment to SR-BATS-2014-003.

File number: SR-BATS-2014-003
Date filed: January 6, 2014
Description:

Proposal to modify the opening process for BATS Options.

File number: SR-BATS-2014-002
Date filed: January 3, 2014
Description:

Proposal to extend the applicability of the CLP program to a maximum of 3 years.

File number: SR-BATS-2014-001
Date filed: January 2, 2014
Description:

Amendments to the fee schedule of BATS Exchange, Inc.