2020 Cboe BYX Equities Exchange Regulatory Circulars

File number: RC20-023
Date filed: March 27, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested) – Comment Period Extended to May 31, 2020

File number: RC20-021
Date filed: March 25, 2020
Description:

Filing Extensions for Annual Reports and FOCUS Reports

File number: RC20-020
Date filed: March 18, 2020
Description:

SEC’s Pandemic No-Action Relief Related to CAT Implementation Deadlines

File number: RC20-015
Date filed: March 10, 2020
Description:

New Regulatory Complaints, Tips and Referrals Form

File number: RC20-012
Date filed: March 6, 2020
Description:

Consolidated Audit Trail Clock Synchronization Notice to Industry Members

File number: RC20-009
Date filed: February 21, 2020
Description:

Enhancements under Consideration for the Securities Industry Continuing Education Program (Comments Requested)

File number: RC20-008
Date filed: February 14, 2020
Description:

Anti-Money Laundering Compliance Program

File number: RC20-005
Date filed: February 13, 2020
Description:

Filing of Annual Audits

File number: RC20-004
Date filed: February 13, 2020
Description:

Prearranged Trades

File number: RC20-001
Date filed: January 8, 2020
Description:

Nomination of Representative Directors for Election at 2020 Annual Meetings