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-2024-009
- March 26, 2024
- The Exchange proposes to amend Exchange Rule 11.25(e) to allow Users to utilize the Exchange’s Match Trade Prevention functionality when entering Periodic Auction Orders onto the Exchange for execution.
- 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
- SR-CboeBYX-2020-034
- December 31, 2020
- The Exchange proposes to establish a policy relating to billing errors.
- SR-CboeBYX-2020-033
- December 1, 2020
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBYX-2020-032
- November 5, 2020
- The Exchange proposes to automate the Exchange’s current process for initiating the re-opening of a security listed on the New York Stock Exchange LLC following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or Post-Closing Session.
- SR-CboeBYX-2020-031
- October 28, 2020
- The Exchange proposes to make certain changes to Rule 14.10, Requirements for Securities Issued by the Exchange or its Affiliates.
- SR-CboeBYX-2020-030
- October 16, 2020
- The Exchange proposes to extend the current pilot program related to BYX Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2021.
- SR-CboeBYX-2020-029
- October 6, 2020
- The Exchange proposes to amend its Fees Schedule.
- SR-CboeBYX-2020-028
- October 6, 2020
- The Exchange proposes to extend the pilot related to the market-wide circuit breaker in Rule 11.18.
- SR-CboeBYX-2020-025
- August 25, 2020
- The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize MIAX PEARL market data from the CQSUQDF for purposes of order handling, routing, execution, and related compliance processes.
- SR-CboeBYX-2020-024
- August 19, 2020
- The Exchange proposes a rule change to Rule 11.26(a), stating it will utilize MEMX market data from the CQS/UQDF for purposes of order handling, routing, execution, and related compliance processes.
- SR-CboeBYX-2020-023
- July 30, 2020
- The Exchange proposes a rule change to amend the definition of FDID in the CAT Compliance Rule.
- SR-CboeBYX-2020-022 Amendment No. 1
- September 24, 2020
- The Exchange proposes an amendment to SR-CboeBYX-2020-022.
- SR-CboeBYX-2020-022
- July 30, 2020
- The Exchange proposes to amend the Fifth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
- SR-CboeBYX-2020-021 Amendment No. 4
- March 18, 2021
- The Exchange proposes a fourth amendment to SR-CboeBYX-2020-021.
- SR-CboeBYX-2020-021 Amendment No. 3
- February 10, 2021
- The Exchange proposes a third amendment to SR-CboeBYX-2020-021.
- SR-CboeBYX-2020-021 Amendment No. 2
- October 28, 2020
- The Exchange proposes a second amendment to SR-CboeBYX-2020-021.
- SR-CboeBYX-2020-021 Amendment No. 1
- October 27, 2020
- The Exchange proposes an amendment to SR-CboeBYX-2020-021.
- SR-CboeBYX-2020-021
- July 17, 2020
- The Exchange proposes to introduce periodic auctions for the trading of U.S. equity securities.
- SR-CboeBYX-2020-020
- July 2, 2020
- 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.
- SR-CboeBYX-2020-019
- June 22, 2020
- 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.
- SR-CboeBYX-2020-018
- June 10, 2020
- 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.
- SR-CboeBYX-2020-017
- June 3, 2020
- The Exchange proposes to adopt Rule 14.13 to permit the trading, pursuant to unlisted trading privileges, of Tracking Fund Shares.
- SR-CboeBYX-2020-016
- May 28, 2020
- 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.
- SR-CboeBYX-2020-015
- May 8, 2020
- The Exchange proposes to amend certain rules in connection with the Exchange’s disciplinary process.
- SR-CboeBYX-2020-014
- May 7, 2020
- The Exchange proposes to adopt Rule 14.12 to permit the trading, pursuant to unlisted trading privileges, of Exchange-Traded Fund Shares.
- SR-CboeBYX-2020-013
- April 23, 2020
- The Exchange proposes to provide Members certain optional risk settings under proposed Interpretation and Policy .03 of Rule 11.13.
- SR-CboeBYX-2020-012
- April 6, 2020
- 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.
- SR-CboeBYX-2020-011
- March 31, 2020
- 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.
- SR-CboeBYX-2020-010
- March 18, 2020
- 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.
- SR-CboeBYX-2020-009
- March 17, 2020
- 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).
- SR-CboeBYX-2020-008
- March 2, 2020
- The Exchange proposes to amend its Fee Schedule.
- SR-CboeBYX-2020-007
- February 4, 2020
- The Exchange proposes to introduce a Small Retail Broker Distribution Program.
- SR-CboeBYX-2020-006
- January 31, 2020
- The Exchange proposes to correct an inadvertent drafting error introduced in a previous rule filing.
- SR-CboeBYX-2020-003
- 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).
- SR-CboeBYX-2020-002
- January 17, 2020
- The Exchange proposes to delete Partial Post Only at Limit Orders and references to those orders from the Rules.
- SR-CboeBYX-2020-001
- 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.