Cboe Global Markets

Cboe Equities Exchanges 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

SR-CboeBYX-2021-012
April 26, 2021
The Exchange proposes to amend its process for re-opening securities listed on other national securities exchanges following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or After Hours Session.
SR-CboeBYX-2021-009
April 16, 2021
The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.

Approved and Immediately Effective Rule Changes

SR-BYX-2014-041
December 22, 2014
Proposal to amend Rule 2.12 to remove references to Direct Edge ECN LLC and DE Route.
SR-BYX-2014-040
December 12, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-039
December 10, 2014
Proposed to amend Rules 11.9(a)(2) and 11.18(e) to modify the operation of BATS market orders.
SR-BYX-2014-037
December 1, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-036
November 28, 2014
Proposed to amend Rule 11.1.
SR-BYX-2014-035
November 21, 2014
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.
SR-BYX-2014-030 Amendment No. 2
December 15, 2014
Second amendment to SR-BYX-2014-030.
SR-BYX-2014-030 Amendment No. 1
November 14, 2014
Amendment to SR-BYX-2014-030.
SR-BYX-2014-030
October 30, 2014
BYX proposed to establish a new market data product called the BATS One Feed.
SR-BYX-2014-029
October 24, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-028
October 17, 2014
Proposed to amend Rules 11.9 and 11.13.
SR-BYX-2014-027
October 7, 2014
Proposed to amend Rule 11.16 (Limitation of Liability).
SR-BYX-2014-026
September 25, 2014
Proposal to amend Rule 11.13.
SR-BYX-2014-025
September 15, 2014
Proposed to amend Rule 11.9(c) to adopt a Supplemental Peg Order.
SR-BYX-2014-024
September 17, 2014
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.
SR-BYX-2014-023
September 12, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-022
September 12, 2014
Proposal to provide additional functionality with respect to Primary Pegged Orders pursuant to Rule 11.9(c)(8).
SR-BYX-2014-021
September 11, 2014
Proposal to amend Rules 11.9 and 11.13 to add an additional routing strategy.
SR-BYX-2014-020
August 29, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-019
August 26, 2014
Proposal to amend Rule 11.9.
SR-BYX-2014-018
September 3, 2014
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.
SR-BYX-2014-017
August 15, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-016
August 11, 2014
Proposed to amend Rules 11.9(f) to adopt a new Match Trade Prevention Modifier (MTP) called Cancel Smallest.
SR-BYX-2014-015
August 11, 2014
Proposed to amend Rule 11.13 to add an additional routing strategy.
SR-BYX-2014-013
July 24, 2014
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.
SR-BYX-2014-012
July 15, 2014
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.
SR-BYX-2014-010
July 15, 2014
Proposal to amend Rules 11.9, 11.12 and 11.18.
SR-BYX-2014-009
July 1, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-008
April 29, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-007
April 17, 2014
Proposed rule change to add new paragraphs (i) and (j) to Rule 11.17, entitled Clearly Erroneous Executions.
SR-BYX-2014-006
April 8, 2014
Proposed changes to definitions contained on the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-005
April 1, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-004
March 31, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-003
March 18, 2014
BYX is proposing to extend a pilot program related to BYX Rule 11.17 (Clearly Erroneous Executions).
SR-BYX-2014-002
March 3, 2014
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2014-001
January 3, 2014
Proposal to extend the pilot period for the Retail Price Improvement Program.