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-2024-004
- 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-BYX-2013-041
- December 9, 2013
- Amendments to the fee schedule of BATS Y-Exchange, Inc.
- SR-BYX-2013-039
- November 25, 2013
- BYX proposal in connection with the proposed business combination of BATS Global Markets, Inc. and Direct Edge Holdings LLC.
- SR-BYX-2013-038
- October 31, 2013
- Amendments to the fee schedule of BATS Y-Exchange, Inc.
- SR-BYX-2013-037
- October 3, 2013
- BYX is proposing to amend Rule 14.1 (Unlisted Trading Privileges) in connection with SEC Rule 10C-1.
- SR-BYX-2013-036
- October 3, 2013
- BYX is proposing to amend Rule 12.6 to make it substantially the same as FINRA Rule 5320.
- SR-BYX-2013-035
- October 1, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-034
- September 30, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-033
- September 25, 2013
- BYX is proposing to extend a pilot program related to Rule 11.17 (Clearly Erroneous Executions) and to eliminate certain references in Rule 11.17.
- SR-BYX-2013-032
- September 12, 2013
- BYX is eliminating references to an obsolete functionality.
- SR-BYX-2013-031
- August 30, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-030
- August 30, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-029
- August 16, 2013
- BYX is proposing to set forth in its rules the fees charged for certain Continuing Education.
- SR-BYX-2013-028
- August 15, 2013
- BYX is proposing to amend its registration rules to recognize additional registrations and to clarify existing qualification and continuing education rules.
- SR-BYX-2013-027
- August 1, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-026
- August 1, 2013
- BYX is proposing to eliminate the CYCLE routing option effective September 3, 2013.
- SR-BYX-2013-025
- July 31, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-024
- June 28, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-023
- June 26, 2013
- BYX is proposing to impose fees for certain market data products.
- SR-BYX-2013-022
- June 25, 2013
- BATS Y-Exchange is proposing to make available a BYX last sale feed.
- SR-BYX-2013-021
- June 13, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-020
- June 7, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-019
- June 4, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-018
- June 3, 2013
- A proposed rule change with respect to the authority of the Exchange or BATS Trading, Inc. to cancel orders when a technical or system issue occurs and to describe the operation of an error account for BATS Trading, Inc.
- SR-BYX-2013-014
- May 3, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-013
- April 29, 2013
- Proposal to amend the Bylaws of BATS Y-Exchange, Inc.
- SR-BYX-2013-012
- March 27, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-011
- March 22, 2013
- BYX is proposing to amend the functionality of the Market Maker Peg Order.
- SR-BYX-2013-010
- February 28, 2013
- BYX is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.
- SR-BYX-2013-009
- February 26, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-008
- February 12, 2013
- BYX is proposing to amend the attestation requirements of Rule 11.24 (Retail Price Improvement Program).
- SR-BYX-2013-007
- January 30, 2013
- BYX is proposing to delay the operative date of changes to the market wide circuit breaker.
- SR-BYX-2013-006
- January 30, 2013
- BYX is proposing to extend a pilot program related to BYX Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).
- SR-BYX-2013-005
- January 30, 2013
- BYX is proposing to extend a pilot program related to BYX Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.
- SR-BYX-2013-004
- January 29, 2013
- Amendments to fee schedule of BATS Y-Exchange.
- SR-BYX-2013-003
- January 25, 2013
- BYX is proposing to modify Rule 11.9.
- SR-BYX-2013-001
- January 2, 2013
- Amendments to fee schedule of BATS Y-Exchange.