Cboe BYX U.S. Equities 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

No pending rule filings at this time

Approved and Immediately Effective Rule Changes

File number: SR-CboeBYX-2017-002
Date filed: November 29, 2017
Description:

The Exchange proposes a rule change to amend Exchange Rule 11.9, Primary Pegged Order.

File number: SR-CboeBYX-2017-001
Date filed: November 14, 2017
Description:

The Exchange proposed a rule change to amend the Exchange's governance documents.

File number: SR-BatsBYX-2017-29
Date filed: October 31, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-28
Date filed: November 2, 2017
Description:

The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports.

File number: SR-BatsBYX-2017-27
Date filed: October 16, 2017
Description:

The Exchange proposes a rule change to reflect in the Exchange’s governing documents, rulebook and fees schedules, a non substantive corporate branding change, including changes to the Company’s name, the Intermediate’s name, and the Exchange’s name.

File number: SR-BatsBYX-2017-26
Date filed: October 13, 2017
Description:

The Exchnage proposes a rule change relating to its Amended and Restated Certificate of Incorporation.

File number: SR-BatsBYX-2017-25
Date filed: September 29, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-24
Date filed: September 26, 2017
Description:

The Exchange proposes a rule change to Rule 11.9, Orders and Modifiers, to add new optional functionality to Minimum Quantity Orders.

File number: SR-BatsBYX-2017-23
Date filed: September 25, 2017
Description:

The Exchange proposed a rule change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to reflect the name change of NYSE MKT to NYSE American.

File number: SR-BatsBYX-2017-21
Date filed: September 11, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-19
Date filed: August 23, 2017
Description:

The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated.

File number: SR-BatsBYX-2017-18
Date filed: August 8, 2017
Description:

The Exchange proposes a rule change to Rule 11.24, Retail Price Improvement Program, to extend the pilot period.

File number: SR-BatsBYX-2017-17
Date filed: July 31, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-16
Date filed: July 24, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-15
Date filed: June 9, 2017
Description:

The Exchange proposes a change related to fees.

File number: SR-BatsBYX-2017-13 Amendment No. 1
Date filed: August 24, 2017
Description:

The Exchange proposes an amendment to SR-BatsBYX-2017-13.

File number: SR-BatsBYX-2017-13
Date filed: May 23, 2017
Description:

The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.

File number: SR-BatsBYX-2017-12
Date filed: May 8, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-11 Amendment No. 2
Date filed: December 7, 2017
Description:

The Exchange proposes a second amendment to SR-BatsBYX-2017-11.

File number: SR-BatsBYX-2017-11 Amendment No. 1
Date filed: November 3, 2017
Description:

The Exchange proposes an amendment to SR-BatsBYX-2017-11.

File number: SR-BatsBYX-2017-11
Date filed: May 16, 2017
Description:

The Exchange proposes to amend fees to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail.

File number: SR-BatsBYX-2017-10
Date filed: May 4, 2017
Description:

The Exchange proposes a change to Rule 11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBYX-2017-07
Date filed: April 24, 2017
Description:

The Exchange proposes a rule change to rule 11.15 of Bats BYX Exchange, Inc. to authorize the Exchange to share a users risk settings with the clearing member that clears transactions on behalf of the user.

File number: SR-BatsBYX-2017-06
Date filed: March 31, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-05
Date filed: February 28, 2017
Description:

The Exchange filed a proposal to amend Rule11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBYX-2017-04
Date filed: February 2, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-02
Date filed: January 30, 2017
Description:

The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.