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-2013-041
Date filed: December 9, 2013
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2013-039
Date filed: November 25, 2013
Description:

BYX proposal in connection with the proposed business combination of BATS Global Markets, Inc. and Direct Edge Holdings LLC.

File number: SR-BYX-2013-038
Date filed: October 31, 2013
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2013-037
Date filed: October 3, 2013
Description:

BYX is proposing to amend Rule 14.1 (Unlisted Trading Privileges) in connection with SEC Rule 10C-1.

File number: SR-BYX-2013-036
Date filed: October 3, 2013
Description:

BYX is proposing to amend Rule 12.6 to make it substantially the same as FINRA Rule 5320.

File number: SR-BYX-2013-035
Date filed: October 1, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-034
Date filed: September 30, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-033
Date filed: September 25, 2013
Description:

BYX is proposing to extend a pilot program related to Rule 11.17 (Clearly Erroneous Executions) and to eliminate certain references in Rule 11.17.

File number: SR-BYX-2013-032
Date filed: September 12, 2013
Description:

BYX is eliminating references to an obsolete functionality.

File number: SR-BYX-2013-031
Date filed: August 30, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-030
Date filed: August 30, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-029
Date filed: August 16, 2013
Description:

BYX is proposing to set forth in its rules the fees charged for certain Continuing Education.

File number: SR-BYX-2013-028
Date filed: August 15, 2013
Description:

BYX is proposing to amend its registration rules to recognize additional registrations and to clarify existing qualification and continuing education rules.

File number: SR-BYX-2013-027
Date filed: August 1, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-026
Date filed: August 1, 2013
Description:

BYX is proposing to eliminate the CYCLE routing option effective September 3, 2013.

File number: SR-BYX-2013-025
Date filed: July 31, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-024
Date filed: June 28, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-023
Date filed: June 26, 2013
Description:

BYX is proposing to impose fees for certain market data products.

File number: SR-BYX-2013-022
Date filed: June 25, 2013
Description:

BATS Y-Exchange is proposing to make available a BYX last sale feed.

File number: SR-BYX-2013-021
Date filed: June 13, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-020
Date filed: June 7, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-019
Date filed: June 4, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-018
Date filed: June 3, 2013
Description:

A proposed rule change with respect to the authority of the Exchange or BATS Trading, Inc. to cancel orders when a technical or system issue occurs and to describe the operation of an error account for BATS Trading, Inc.

File number: SR-BYX-2013-014
Date filed: May 3, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-013
Date filed: April 29, 2013
Description:

Proposal to amend the Bylaws of BATS Y-Exchange, Inc.

File number: SR-BYX-2013-012
Date filed: March 27, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-011
Date filed: March 22, 2013
Description:

BYX is proposing to amend the functionality of the Market Maker Peg Order.

File number: SR-BYX-2013-010
Date filed: February 28, 2013
Description:

BYX is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.

File number: SR-BYX-2013-009
Date filed: February 26, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-008
Date filed: February 12, 2013
Description:

BYX is proposing to amend the attestation requirements of Rule 11.24 (Retail Price Improvement Program).

File number: SR-BYX-2013-007
Date filed: January 30, 2013
Description:

BYX is proposing to delay the operative date of changes to the market wide circuit breaker.

File number: SR-BYX-2013-006
Date filed: January 30, 2013
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-2013-005
Date filed: January 30, 2013
Description:

BYX is proposing to extend a pilot program related to BYX Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.

File number: SR-BYX-2013-004
Date filed: January 29, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.

File number: SR-BYX-2013-003
Date filed: January 25, 2013
Description:

BYX is proposing to modify Rule 11.9.

File number: SR-BYX-2013-001
Date filed: January 2, 2013
Description:

Amendments to fee schedule of BATS Y-Exchange.