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

File number: SR-CboeBYX-2020-005
Date filed: January 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to reflect updated industry member deadlines in accordance with master plan, incorporate certain reporting requirements currently required in OATS, and eliminate reporting requirements related to PII in accordance with proposed CAT Plan exemption request.

Approved and Immediately Effective Rule Changes

File number: SR-BYX-2010-007
Date filed: December 7, 2010
Description:

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

File number: SR-BYX-2010-006
Date filed: December 2, 2010
Description:

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

File number: SR-BYX-2010-005
Date filed: October 29, 2010
Description:

Amendments to Fee Schedule for BATS Y-Exchange, Inc.

File number: SR-BYX-2010-004
Date filed: October 14, 2010
Description:

Initial fee schedule of BATS Y-Exchange, Inc. ("BYX").

File number: SR-BYX-2010-003
Date filed: October 13, 2010
Description:

BYX is proposing to amend BYX Rule 11.13 (Order Execution) to modify the description of certain routing strategies.

File number: SR-BYX-2010-002
Date filed: October 4, 2010
Description:

BYX is proposing to amend its Rules to conform such Rules to the rules of the BYXs affiliate, BATS Exchange, Inc.

File number: SR-BYX-2010-001_Am1
Date filed: November 8, 2010
Description:

Partial amendments to SR-BYX-2010-001

File number: SR-BYX-2010-001
Date filed: September 27, 2010
Description:

BATS Y-Exchange ("BYX") is proposing to amend BYX Rule 11.8, which relates to the obligations of market makers registered with BYX