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-2012-024
Date filed: December 6, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-022
Date filed: November 19, 2012
Description:

BYX is proposing to codify and expand the availability of an Exchange Risk Management Tool.

File number: SR-BYX-2012-021
Date filed: September 28, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-020
Date filed: August 31, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-019 Amendment 2
Date filed: November 13, 2012
Description:

Partial amendment to SR-BYX-2012-019.

File number: SR-BYX-2012-019
Date filed: August 14, 2012
Description:

BYX is proposing to establish a Retail Price Improvement (RPI) Program on a pilot basis.

File number: SR-BYX-2012-018
Date filed: August 3, 2012
Description:

BYX is proposing to modify the operation of price sliding functionality.

File number: SR-BYX-2012-017
Date filed: July 31, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-016
Date filed: July 24, 2012
Description:

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

File number: SR-BYX-2012-015
Date filed: July 24, 2012
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-2012-014
Date filed: July 6, 2012
Description:

BYX is proposing to adopt Rule 3.23 related to Telemarketing.

File number: SR-BYX-2012-013
Date filed: July 2, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-012 Amendment 1
Date filed: July 6, 2012
Description:

Partial amendment to SR-BYX-2012-012.

File number: SR-BYX-2012-012
Date filed: June 26, 2012
Description:

BYX is proposing to adopt a market maker peg order.

File number: SR-BYX-2012-011
Date filed: June 15, 2012
Description:

BYX is proposing to modify system functionality when the consolidated market is crossed as well as the handling of certain orders that have been routed away.

File number: SR-BYX-2012-010
Date filed: June 5, 2012
Description:

Proposal to temporarily suspend the requirements of Rule 2.6 in connection with the membership of Apex Clearing.

File number: SR-BYX-2012-009
Date filed: May 23, 2012
Description:

BYX is proposing to amend BYX Rule 11.9 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.

File number: SR-BYX-2012-008
Date filed: April 25, 2012
Description:

BYX is proposing to modify BYX Rule 11.9 to allow optional attribution of orders submitted to the Exchange.

File number: SR-BYX-2012-007
Date filed: March 19, 2012
Description:

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

File number: SR-BYX-2012-006
Date filed: March 8, 2012
Description:

BYX is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.

File number: SR-BYX-2012-005
Date filed: February 1, 2012
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2012-004
Date filed: February 1, 2012
Description:

BYX is proposing to add an additional variation of the TRIM routing strategy.

File number: SR-BYX-2012-002
Date filed: January 6, 2012
Description:

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

File number: SR-BYX-2012-001
Date filed: January 6, 2012
Description:

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