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-CboeBYX-2017-005
December 27, 2017
The Exchange proposes a rule change related to transaction fees.
SR-CboeBYX-2017-003
December 27, 2017
The Exchange proposes to amend the Market Data section of its fee schedule to introduce new fees for Non-Display Usage of BYX Depth.
SR-CboeBYX-2017-002
November 29, 2017
The Exchange proposes a rule change to amend Exchange Rule 11.9, Primary Pegged Order.
SR-CboeBYX-2017-001
November 14, 2017
The Exchange proposed a rule change to amend the Exchange's governance documents.
SR-BatsBYX-2017-29
October 31, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-28
November 2, 2017
The Exchange proposes to amend its fees and rebates applicable to Members and non-Members of the Exchange pursuant to BZX Rule 15.1(a) and (c) to modify its fees for physical ports.
SR-BatsBYX-2017-27
October 16, 2017
The Exchange proposes a rule change to reflect in the Exchange’s governing documents, rulebook and fees schedules, a non substantive corporate branding change, including changes to the Company’s name, the Intermediate’s name, and the Exchange’s name.
SR-BatsBYX-2017-26
October 13, 2017
The Exchnage proposes a rule change relating to its Amended and Restated Certificate of Incorporation.
SR-BatsBYX-2017-25
September 29, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-24
September 26, 2017
The Exchange proposes a rule change to Rule 11.9, Orders and Modifiers, to add new optional functionality to Minimum Quantity Orders.
SR-BatsBYX-2017-23
September 25, 2017
The Exchange proposed a rule change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to reflect the name change of NYSE MKT to NYSE American.
SR-BatsBYX-2017-21
September 11, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-19
August 23, 2017
The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated.
SR-BatsBYX-2017-18
August 8, 2017
The Exchange proposes a rule change to Rule 11.24, Retail Price Improvement Program, to extend the pilot period.
SR-BatsBYX-2017-17
July 31, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-16
July 24, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-15
June 9, 2017
The Exchange proposes a change related to fees.
SR-BatsBYX-2017-13 Amendment No. 1
August 24, 2017
The Exchange proposes an amendment to SR-BatsBYX-2017-13.
SR-BatsBYX-2017-13
May 23, 2017
The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.
SR-BatsBYX-2017-12
May 8, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-11 Amendment No. 2
December 7, 2017
The Exchange proposes a second amendment to SR-BatsBYX-2017-11.
SR-BatsBYX-2017-10
May 4, 2017
The Exchange proposes a change to Rule 11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
SR-BatsBYX-2017-07
April 24, 2017
The Exchange proposes a rule change to rule 11.15 of Bats BYX Exchange, Inc. to authorize the Exchange to share a users risk settings with the clearing member that clears transactions on behalf of the user.
SR-BatsBYX-2017-06
March 31, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-05
February 28, 2017
The Exchange filed a proposal to amend Rule11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.
SR-BatsBYX-2017-04
February 2, 2017
The Exchange proposes a rule change related to fees.
SR-BatsBYX-2017-02
January 30, 2017
The Exchange proposes a rule change to adopt Rules 4.5 through 4.16 to implement the compliance rule regarding the National Market System Plan governing the Consolidated Audit Trail.