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

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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

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SR-BYX-2015-53: December 29, 2015; BATS Y-Exchange, Inc. proposes rule changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers.
SR-BYX-2015-52: December 22, 2015; BATS Y-Exchange, Inc. proposes rule changes relating to Proprietary Trader and Proprietary Trader Principal registration categories, Securities Trader and Securities Trader Principal registration categories, and establishing the Series 57 Examination.
SR-BYX-2015-51: December 22, 2015; BATS Y-Exchange, Inc. proposes a rule change related to Fees.
SR-BYX-2015-50: December 15, 2015; BATS Y-Exchange, Inc. proposes a rule change related to Fees.
SR-BYX-2015-49: December 2, 2015; BATS Y-Exchange, Inc. proposes a rule change to Rule 11.13(b)(4)(A), amending Aggressive Re-Route Instruction.
SR-BYX-2015-48: December 2, 2015; BATS Y-Exchange, Inc. proposes a rule change to Rule 13.3, Forwarding or Proxy and other Issuer Materials; Proxy Voting.
SR-BYX-2015-47: November 2, 2015; BATS Y-Exchange, Inc. proposes a rule change related to Fees.
SR-BYX-2015-46: November 9, 2015; BATS Y-Exchange, Inc. proposes a rule change to amend Rule 11.13, Order Execution and Routing.
SR-BYX-2015-45: October 14, 2015; BATS Y-Exchange, Inc. propose to amend Rule 11.24, Retail Price Improvement Program.
SR-BYX-2015-44: October 2, 2015; BATS Y-Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.
SR-BYX-2015-43: September 30, 2015; BATS Y-Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.
SR-BYX-2015-42: September 24, 2015; BATS Y-Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.
SR-BYX-2015-41: September 23, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.
SR-BYX-2015-40: September 21, 2015; BATS Y-Exchange, Inc. proposes to restructure and amend Rule 11.17, Clearly Erroneous Executions.
SR-BYX-2015-37: August 18, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.
SR-BYX-2015-36: August 24, 2015; Proposal to adopt fees for a market data product known as BYX Book Viewer.
SR-BYX-2015-35: August 7, 2015; Proposal to amend Rule 11.22 to describe the market data product BYX Book Viewer.
SR-BYX-2015-34: August 3, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-33: July 21, 2015; BATS Y-Exchange proposes to amend Rule 11.13, Order Execution and Routing, to delete references to the ROOC routing option and update routing options IOCM and ICMT.
SR-BYX-2015-32: July 6, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-31: June 30, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-30: July 1, 2015; BATS Y-Exchange, Inc. proposes to amend the market data section of its fee schedule.
SR-BYX-2015-29: June 16, 2015; BATS Y-Exchange proposes to amend Rule 11.9 to modify its Price Adjust functionality.
SR-BYX-2015-28: June 9, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-26: May 27, 2015; BATS Y-Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.
SR-BYX-2015-25-Amendment-No-1: May 15, 2015; Amendment to SR-BYX-2015-25.
SR-BYX-2015-25: May 5, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.
SR-BYX-2015-24: May 1, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-23: April 1, 2015; Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules.
SR-BYX-2015-22: April 1, 2015; Proposal to amend the content of the BATS One Feed under Rule 11.22(i) to include consolidated volume for all listed equity securities
SR-BYX-2015-21: April 1, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-20: March 26, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.
SR-BYX-2015-19: March 17, 2015; BATS Y-Exchange, Inc. proposed to amend the fees for the BATS One Market Data Product.
SR-BYX-2015-18: March 17, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-14: February 23, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.
SR-BYX-2015-13: March 3, 2015; BATS Y-Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.
SR-BYX-2015-12: February 18, 2015; BATS Y-Exchange proposes to amend Rule 11.22 to update the names of certain market data products.
SR-BYX-2015-11: February 12, 2015; BATS Y-Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
SR-BYX-2015-10: February 5, 2015; BATS Y-Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.
SR-BYX-2015-09: February 3, 2015; BATS Y-Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BYX Top and BYX Last Sale.
SR-BYX-2015-08: February 2, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-07: January 30, 2015; BATS Y-Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.
SR-BYX-2015-06: January 22, 2015; BATS Y-Exchange, Inc. proposes to amend Rules 2.5(c)(4) and 11.5 to harmonize with EDGA and EDGX Rules, its membership requirements applicable to clearing agencies that clear transactions for members.
SR-BYX-2015-05: January 16, 2015; BATS Y-Exchange proposes to extend the pilot period for its Retail Price Improvement (RPI) Program to expire on January 31, 2016.
SR-BYX-2015-04: January 14, 2015; BATS Y-Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.
SR-BYX-2015-03: January 7, 2015; BATS Y-Exchange, Inc. proposed to clarify the use of certain data feeds.
SR-BYX-2015-01: January 2, 2015; Amendments to the fee schedule of BATS Y-Exchange, Inc.