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-2024-009
- March 26, 2024
- The Exchange proposes to amend Exchange Rule 11.25(e) to allow Users to utilize the Exchange’s Match Trade Prevention functionality when entering Periodic Auction Orders onto the Exchange for execution.
- SR-CboeBYX-2024-004
- January 25, 2024
- The Exchange proposes to amend the definition of Retail Order, and codify interps and policies regarding permissible uses of algorithms by RMOs.
- SR-CboeBYX-2024-003
- January 8, 2024
- The Exchange proposes to amend Rule 11.9(c)(6) and 11.13(a)(4)(D) to permit the use of BYX Post Only Orders at prices below $1.00.
- SR-CboeBYX-2024-002
- January 2, 2024
- The Exchange proposes to adopt a CAT Fee Schedule.
- SR-CboeBYX-2023-020 Amendment No. 1
- March 6, 2024
- The Exchange proposes an amendment to SR-CboeBYX-2023-020.
- SR-CboeBYX-2023-020
- December 27, 2023
- The Exchange proposes to modify Rule 11.24 to introduce an Enhanced RPI Order and expand its Retail Price Improvement program to include securities priced below $1.00.
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.