Cboe Equities Exchanges 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

SR-CboeBYX-2020-021
July 17, 2020
The Exchange proposes to introduce periodic auctions for the trading of U.S. equity securities.

Approved and Immediately Effective Rule Changes

SR-CboeBYX-2020-030
October 16, 2020
The Exchange proposes to extend the current pilot program related to BYX Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2021.
SR-CboeBYX-2020-029
October 6, 2020
The Exchange proposes to amend its Fees Schedule.
SR-CboeBYX-2020-028
October 6, 2020
The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
SR-CboeBYX-2020-025
August 25, 2020
The Exchange proposes a rule change to 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.
SR-CboeBYX-2020-024
August 19, 2020
The Exchange proposes a rule change to 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.
SR-CboeBYX-2020-023
July 30, 2020
The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.
SR-CboeBYX-2020-022 Amendment No. 1
September 24, 2020
The Exchange proposes an amendment to SR-CboeBYX-2020-022.
SR-CboeBYX-2020-022
July 30, 2020
The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
SR-CboeBYX-2020-020
July 2, 2020
The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rule 8.15.
SR-CboeBYX-2020-019
June 22, 2020
The Exchange proposes to amend the CAT Compliance Rule to be consist 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-CboeBYX-2020-018
June 10, 2020
The Exchange proposes to amend the content of the Cboe One Feed under Rule 11.22(i) to identify the primary listing market’s official opening and closing price.
SR-CboeBYX-2020-017
June 3, 2020
The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.
SR-CboeBYX-2020-016
May 28, 2020
The Exchange proposes a 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.
SR-CboeBYX-2020-015
May 8, 2020
The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.
SR-CboeBYX-2020-014
May 7, 2020
The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.
SR-CboeBYX-2020-013
April 23, 2020
The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.
SR-CboeBYX-2020-012
April 6, 2020
The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
SR-CboeBYX-2020-011
March 31, 2020
The Exchange proposes to amend Rule 14.11(b)(2) to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions.
SR-CboeBYX-2020-010
March 18, 2020
The Exchange proposes to extend the current pilot program related to BYX Rule 11.17, Clearly Erroneous Executions, to the close of business on October 20, 2020.
SR-CboeBYX-2020-009
March 17, 2020
The Exchange proposes a 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 Rule 11.23(e).
SR-CboeBYX-2020-008
March 2, 2020
The Exchange proposes to amend its Fee Schedule.
SR-CboeBYX-2020-007
February 4, 2020
The Exchange proposes to introduce a Small Retail Broker Distribution Program.
SR-CboeBYX-2020-006
January 31, 2020
The Exchange proposes to correct an inadvertent drafting error introduced in a previous rule filing.
SR-CboeBYX-2020-003
January 21, 2020
The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).
SR-CboeBYX-2020-002
January 17, 2020
The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.
SR-CboeBYX-2020-001
January 2, 2020
The Exchange proposes to amend the fee schedule applicable to the BYX equities trading platform to amend the rate for liquidity adding orders that yield fee code “MM” and eliminate and replace the Non-Displayed Liquidity Incentives with Step-Up Tiers.