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-2011-029
Date filed: November 22, 2011
Description:

BYX is proposing to modify Rule 11.18 to exclude rights and warrants from the single stock circuit breaker rule.

File number: SR-BYX-2011-028
Date filed: September 30, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-027
Date filed: September 30, 2011
Description:

Proposal to establish a revenue sharing program with Correlix, Inc.

File number: SR-BYX-2011-026
Date filed: September 29, 2011
Description:

Proposal to extend a pilot program related to BATS Trading, Inc.'s status as inbound router.

File number: SR-BYX-2011-025 Amendment 1
Date filed: May 23, 2012
Description:

Partial amendment to SR-BYX-2011-025.

File number: SR-BYX-2011-025
Date filed: September 27, 2011
Description:

BYX is proposing to modify BYX Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

File number: SR-BYX-2011-024
Date filed: September 16, 2011
Description:

BYX is proposing to amend Rule 13.3 (Forwarding of Issuer Materials).

File number: SR-BYX-2011-023
Date filed: September 14, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-022 Amendment 1
Date filed: November 3, 2011
Description:

Partial Amendment to SR-BYX-2011-022.

File number: SR-BYX-2011-022
Date filed: September 7, 2011
Description:

BYX is proposing to amend the Bylaws of BATS Global Markets, Inc.

File number: SR-BYX-2011-021
Date filed: August 29, 2011
Description:

BYX is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.

File number: SR-BYX-2011-019
Date filed: August 8, 2011
Description:

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

File number: SR-BYX-2011-018
Date filed: August 8, 2011
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-2011-017
Date filed: August 8, 2011
Description:

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

File number: SR-BYX-2011-016
Date filed: August 12, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-015
Date filed: July 12, 2011
Description:

BYX is proposing to amend Rule 11.13 to make certain changes consistent with the upcoming implementation of the Market Access Rule.

File number: SR-BYX-2011-014
Date filed: July 5, 2011
Description:

BYX is proposing to extend the availability of the TCP FAST PITCH data feed until August 1, 2011.

File number: SR-BYX-2011-013
Date filed: July 1, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-012
Date filed: May 5, 2011
Description:

Proposal related to data feeds provided by the Exchange free of charge, including proposal to offer a Latency Monitoring feed.

File number: SR-BYX-2011-011 Amendment 1
Date filed: June 20, 2011
Description:

Partial amendment to SR-BYX-2011-011.

File number: SR-BYX-2011-011
Date filed: May 4, 2011
Description:

BYX is proposing to expand a pilot program related to BYX Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).

File number: SR-BYX-2011-009
Date filed: May 9, 2011
Description:

BYX is proposing changes to Rules 11.9 and 11.13 to modify BYX order handling procedures in certain specific circumstances involving non-displayed orders and orders subject to price sliding.

File number: SR-BYX-2011-008
Date filed: April 29, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-007
Date filed: April 1, 2011
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-2011-006
Date filed: April 1, 2011
Description:

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

File number: SR-BYX-2011-005
Date filed: February 28, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2011-004
Date filed: February 18, 2011
Description:

BYX is proposing to adopt new Rule 11.21 to require Members to identify each order accurately as a Principal, Agency, or Riskless Principal Order.

File number: SR-BYX-2011-002
Date filed: January 14, 2011
Description:

BYX is proposing to amend Rules 11.9, 11.13, and 11.19 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO.

File number: SR-BYX-2011-001
Date filed: January 4, 2011
Description:

Amendments to fee schedule of BATS Y-Exchange.