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-2014-041
Date filed: December 22, 2014
Description:

Proposal to amend Rule 2.12 to remove references to Direct Edge ECN LLC and DE Route.

File number: SR-BYX-2014-040
Date filed: December 12, 2014
Description:

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

File number: SR-BYX-2014-039
Date filed: December 10, 2014
Description:

Proposed to amend Rules 11.9(a)(2) and 11.18(e) to modify the operation of BATS market orders.

File number: SR-BYX-2014-037
Date filed: December 1, 2014
Description:

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

File number: SR-BYX-2014-036
Date filed: November 28, 2014
Description:

Proposed to amend Rule 11.1.

File number: SR-BYX-2014-035
Date filed: November 21, 2014
Description:

Proposed to amend Rule 14.1(c)(5) to harmonize its restrictions on Market Makers in UTP Derivative Securities with NYSE Arca, Inc. and Nasdaq Stock Market LLC.

File number: SR-BYX-2014-030 Amendment No. 2
Date filed: December 15, 2014
Description:

Second amendment to SR-BYX-2014-030.

File number: SR-BYX-2014-030 Amendment No. 1
Date filed: November 14, 2014
Description:

Amendment to SR-BYX-2014-030.

File number: SR-BYX-2014-030
Date filed: October 30, 2014
Description:

BYX proposed to establish a new market data product called the BATS One Feed.

File number: SR-BYX-2014-029
Date filed: October 24, 2014
Description:

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

File number: SR-BYX-2014-028
Date filed: October 17, 2014
Description:

Proposed to amend Rules 11.9 and 11.13.

File number: SR-BYX-2014-027
Date filed: October 7, 2014
Description:

Proposed to amend Rule 11.16 (Limitation of Liability).

File number: SR-BYX-2014-026
Date filed: September 25, 2014
Description:

Proposal to amend Rule 11.13.

File number: SR-BYX-2014-025
Date filed: September 15, 2014
Description:

Proposed to amend Rule 11.9(c) to adopt a Supplemental Peg Order.

File number: SR-BYX-2014-024
Date filed: September 17, 2014
Description:

Proposed to amend Rule 11.24 to permit Members to designate their retail orders to be identified as retail on the Exchange's Proprietary Data Feeds.

File number: SR-BYX-2014-023
Date filed: September 12, 2014
Description:

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

File number: SR-BYX-2014-022
Date filed: September 12, 2014
Description:

Proposal to provide additional functionality with respect to Primary Pegged Orders pursuant to Rule 11.9(c)(8).

File number: SR-BYX-2014-021
Date filed: September 11, 2014
Description:

Proposal to amend Rules 11.9 and 11.13 to add an additional routing strategy.

File number: SR-BYX-2014-020
Date filed: August 29, 2014
Description:

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

File number: SR-BYX-2014-019
Date filed: August 26, 2014
Description:

Proposal to amend Rule 11.9.

File number: SR-BYX-2014-018
Date filed: September 3, 2014
Description:

Proposed rule change to add Rule 11.23, entitled Opening Process, as well as to make several corresponding changes in order to modify the manner in which the Exchange opens trading in individual securities at the beginning of the day and after trading halts.

File number: SR-BYX-2014-017
Date filed: August 15, 2014
Description:

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

File number: SR-BYX-2014-016
Date filed: August 11, 2014
Description:

Proposed to amend Rules 11.9(f) to adopt a new Match Trade Prevention Modifier (MTP) called Cancel Smallest.

File number: SR-BYX-2014-015
Date filed: August 11, 2014
Description:

Proposed to amend Rule 11.13 to add an additional routing strategy.

File number: SR-BYX-2014-013
Date filed: July 24, 2014
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 11.24(a)(2) to include riskless principal orders to the types of orders that may qualify as retail orders under the Retail Price Improvement Program.

File number: SR-BYX-2014-012
Date filed: July 15, 2014
Description:

BATS Y-Exchange, Inc. proposes to clarify for its Members and non-Members the use of certain data feeds for order handling and execution, order routing, and regulatory compliance.

File number: SR-BYX-2014-010
Date filed: July 15, 2014
Description:

Proposal to amend Rules 11.9, 11.12 and 11.18.

File number: SR-BYX-2014-009
Date filed: July 1, 2014
Description:

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

File number: SR-BYX-2014-008
Date filed: April 29, 2014
Description:

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

File number: SR-BYX-2014-007
Date filed: April 17, 2014
Description:

Proposed rule change to add new paragraphs (i) and (j) to Rule 11.17, entitled Clearly Erroneous Executions.

File number: SR-BYX-2014-006
Date filed: April 8, 2014
Description:

Proposed changes to definitions contained on the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2014-005
Date filed: April 1, 2014
Description:

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

File number: SR-BYX-2014-004
Date filed: March 31, 2014
Description:

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

File number: SR-BYX-2014-003
Date filed: March 18, 2014
Description:

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

File number: SR-BYX-2014-002
Date filed: March 3, 2014
Description:

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

File number: SR-BYX-2014-001
Date filed: January 3, 2014
Description:

Proposal to extend the pilot period for the Retail Price Improvement Program.