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

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-CboeBYX-2020-007
Date filed: February 4, 2020

The Exchange proposes to introduce a Small Retail Broker Distribution Program.

File number: SR-CboeBYX-2020-006
Date filed: January 31, 2020

The Exchange proposes to correct an inadvertent drafting error introduced in a previous rule filing.

File number: SR-CboeBYX-2020-003
Date filed: January 21, 2020

The Exchange proposes to adopt Rule 14.11 to permit the trading, pursuant to unlisted trading privileges, of Managed Portfolio Shares. Additionally, the Exchange proposes to make corresponding changes to Rule 14.1(a).

File number: SR-CboeBYX-2020-002
Date filed: January 17, 2020

The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.

File number: SR-CboeBYX-2020-001
Date filed: January 2, 2020

The Exchange proposes to amend the fee schedule applicable to the BYX equities trading platform to amend the rate for liquidity adding orders that yield fee code “MM” and eliminate and replace the Non-Displayed Liquidity Incentives with Step-Up Tiers.