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-2020-020
Date filed: July 2, 2020
Description:

The Exchange proposes to add the Consolidated Audit Trail (“CAT”) industry member compliance rules to the list of minor rule violations in Rule 8.15.

Approved and Immediately Effective Rule Changes

File number: SR-CboeBYX-2020-019
Date filed: June 22, 2020
Description:

The Exchange proposes to amend the CAT Compliance Rule to be consist with certain proposed amendments to and exemptions from the CAT NMS Plan as well as to facilitate the retirement of certain existing regulatory systems.

File number: SR-CboeBYX-2020-018
Date filed: June 10, 2020
Description:

The Exchange proposes to amend the content of the Cboe One Feed under Rule 11.22(i) to identify the primary listing market’s official opening and closing price.

File number: SR-CboeBYX-2020-017
Date filed: June 3, 2020
Description:

The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.

File number: SR-CboeBYX-2020-016
Date filed: May 28, 2020
Description:

The Exchange proposes a rule change to allow Members and Clearing Members to establish or adjust the risk settings set forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a risk group identifier basis.

File number: SR-CboeBYX-2020-015
Date filed: May 8, 2020
Description:

The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.

File number: SR-CboeBYX-2020-014
Date filed: May 7, 2020
Description:

The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.

File number: SR-CboeBYX-2020-013
Date filed: April 23, 2020
Description:

The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.

File number: SR-CboeBYX-2020-012
Date filed: April 6, 2020
Description:

The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize LTSE market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.

File number: SR-CboeBYX-2020-011
Date filed: March 31, 2020
Description:

The Exchange proposes to amend Rule 14.11(b)(2) to expand the trading hours applicable to Managed Portfolio Shares to include all trading sessions.

File number: SR-CboeBYX-2020-010
Date filed: March 18, 2020
Description:

The Exchange proposes to extend the current pilot program related to BYX Rule 11.17, Clearly Erroneous Executions, to the close of business on October 20, 2020.

File number: SR-CboeBYX-2020-009
Date filed: March 17, 2020
Description:

The Exchange proposes a rule change to amend Rule 11.18(b)(2) concerning the resumption of trading following a Level 3 market-wide circuit breaker halt and make corresponding changes to Rule 11.23(e).

File number: SR-CboeBYX-2020-008
Date filed: March 2, 2020
Description:

The Exchange proposes to amend its Fee Schedule.

File number: SR-CboeBYX-2020-007
Date filed: February 4, 2020
Description:

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

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

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
Description:

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
Description:

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
Description:

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.