Cboe BYX Exchange Rulemaking

The Bats BYX Exchange, Inc. has changed its name to Cboe BYX Exchange, Inc.. All filings by Cboe BYX Exchange will be posted to the Cboe BYX page. Filings filed with "Bats BYX" as part of the file number will be posted on the Bats BYX Exchange page.

We encourage the public to submit comments on the following Cboe BYX Exchange (CboeBYX) filings during the comment period For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter | First Quarter

Cboe BYX File Number List for 2019

Additional Archives

Chronological List for 2019

Release No. Date Details
Fourth Quarter
SR-CboeBYX-2019-025
34-87862 Dec. 27, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretation and Policy .01 of Rule 2.4 to Allow the Exchange to Provide Annual Notification to Individual Members that are Subject to Paragraph (b) of Rule 2.4
Comments due: January 24, 2020
Additional Materials: Exhibit 5
SR-CboeBYX-2019-024
34-87744 Dec. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: January 9, 2020
Additional Materials: Exhibit 5
SR-CboeBYX-2019-023
34-87713 Dec. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: January 6, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CboeBYX-2019-009
34-87690 Dec. 9, 2019 Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
SR-CboeBYX-2019-013
34-87689 Dec. 9, 2019 Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
SR-CboeBYX-2019-015
34-87631 Nov. 26, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: December 24, 2019
Rebuttal comments due: January 7, 2019
SR-CboeBYX-2019-022
34-87602 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (a) of Rule 11.1 to Allow the Exchange to Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time
Comments due: December 20, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-021
34-87543 Nov. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy
Comments due: December 11, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-020
34-87539 Nov. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: December 11, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-009
34-87499 Nov. 12, 2019 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
SR-CboeBYX-2019-018
34-87364 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020
Comments due: November 15, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-017
34-87343 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-015
34-87305 Oct. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: November 12, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-016
34-87299 Oct. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BYX Rules 15.1(a) and (c)
Comments due: November 12, 2019
Third Quarter
SR-CboeBYX-2019-012
34-87166 Sep. 30, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: October 25, 2019
Rebuttal comments due: November 8, 2019
SR-CboeBYX-2019-014
34-87154 Sep. 30, 2019 Order Approving a Proposed Rule Change to Make Permanent the Exchange's Pilot Retail Price Improvement Program, Rule 11.24, Which is Set to Expire on September 30, 2019, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
SR-CboeBYX-2019-013
34-87140 Sep. 27, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: October 24, 2019
Rebuttal comments due: November 7, 2019
Comments received are available for this proposal.
SR-CboeBYX-2019-014
34-86742 Aug. 23, 2019 Notice of Filing of a Proposed Rule Change to Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program
Comments due: September 19, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-013
34-86685 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: September 11, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CboeBYX-2019-012
34-86670 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: September 10, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-005
34-86662 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements
Comments due: September 10, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-011
34-86325 Jul. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc.
Comments due: August 2, 2019
Additional Materials: Exhibit 5
Second Quarter
SR-CboeBYX-2019-009
34-86232 Jun. 28, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: July 26, 2019
Rebuttal comments due: August 9, 2019
Comments received are available for this proposal.
SR-CboeBYX-2019-010
34-86206 Jun. 26, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Price Improvement Program
Comments due: July 23, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-009
34-85841 May 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: June 6, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-008
34-85824 May 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform ("BYX Equities") as it Relates to Pricing for the Use of the TRIM Routing Strategy
Comments due: June 6, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-007
34-85794 May 7, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and Fee Schedule to Delete References to TRIM2 and SWPB Routing Options
Comments due: June 3, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-004
34-85665 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to BYX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019
Comments due: May 13, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2018-014
34-85586 Apr. 10, 2019 Notice of Withdrawal of Proposed Rule Change to Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program
SR-CboeBYX-2019-003
34-85542 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions
Comments due: May 3, 2019
Additional Materials: Exhibit 5
First Quarter
SR-CboeBYX-2019-002
34-85122 Feb. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BYX Fee Schedule as it Relates to Pricing for the Use of Certain Routing Strategies
Comments due: March 13, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-001
34-85107 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent")
Comments due: March 12, 2019
Additional Materials: Exhibit 5a, Exhibit 5b


Cboe BYX File Number List for 2019

Release No. Date Details
SR-CboeBYX-2019-025
34-87862 Dec. 27, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretation and Policy .01 of Rule 2.4 to Allow the Exchange to Provide Annual Notification to Individual Members that are Subject to Paragraph (b) of Rule 2.4
Comments due: January 24, 2020
Additional Materials: Exhibit 5
SR-CboeBYX-2019-024
34-87744 Dec. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions
Comments due: January 9, 2020
Additional Materials: Exhibit 5
SR-CboeBYX-2019-023
34-87713 Dec. 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: January 6, 2020
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CboeBYX-2019-022
34-87602 Nov. 22, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Paragraph (a) of Rule 11.1 to Allow the Exchange to Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time
Comments due: December 20, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-021
34-87543 Nov. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy
Comments due: December 11, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-020
34-87539 Nov. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule
Comments due: December 11, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-018
34-87364 Oct. 21, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020
Comments due: November 15, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-017
34-87343 Oct. 18, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18
Comments due: November 14, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-016
34-87299 Oct. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BYX Rules 15.1(a) and (c)
Comments due: November 12, 2019
SR-CboeBYX-2019-015
34-88641 Apr. 15, 2020 Notice of Withdrawal of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
34-87631 Nov. 26, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: December 24, 2019
Rebuttal comments due: January 7, 2019
34-87305 Oct. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: November 12, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-014
34-87154 Sep. 30, 2019 Order Approving a Proposed Rule Change to Make Permanent the Exchange's Pilot Retail Price Improvement Program, Rule 11.24, Which is Set to Expire on September 30, 2019, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS
34-86742 Aug. 23, 2019 Notice of Filing of a Proposed Rule Change to Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program
Comments due: September 19, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-013
34-87689 Dec. 9, 2019 Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
34-87140 Sep. 27, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: October 24, 2019
Rebuttal comments due: November 7, 2019
Comments received are available for this proposal.
34-86685 Aug. 15, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: September 11, 2019
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-CboeBYX-2019-012
34-88647 Apr. 15, 2020 Notice of Withdrawal of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
34-88179 Feb. 12, 2020 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce the Small Retail Broker Distribution Program
34-87166 Sep. 30, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: October 25, 2019
Rebuttal comments due: November 8, 2019
34-86670 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program
Comments due: September 10, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-011
34-86325 Jul. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc.
Comments due: August 2, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-010
34-86206 Jun. 26, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Retail Price Improvement Program
Comments due: July 23, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-009
34-87690 Dec. 9, 2019 Notice of Withdrawal of a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
34-87499 Nov. 12, 2019 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments received are available for this proposal.
34-86232 Jun. 28, 2019 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: July 26, 2019
Rebuttal comments due: August 9, 2019
Comments received are available for this proposal.
34-85841 May 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members to Establish a Monthly Trading Rights Fee
Comments due: June 6, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-008
34-85824 May 10, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule Applicable to the BYX Equities Trading Platform ("BYX Equities") as it Relates to Pricing for the Use of the TRIM Routing Strategy
Comments due: June 6, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-007
34-85794 May 7, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and Fee Schedule to Delete References to TRIM2 and SWPB Routing Options
Comments due: June 3, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-005
34-86662 Aug. 14, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements
Comments due: September 10, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-004
34-85665 Apr. 16, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to BYX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019
Comments due: May 13, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-003
34-85542 Apr. 8, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions
Comments due: May 3, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-002
34-85122 Feb. 13, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BYX Fee Schedule as it Relates to Pricing for the Use of Certain Routing Strategies
Comments due: March 13, 2019
Additional Materials: Exhibit 5
SR-CboeBYX-2019-001
34-85107 Feb. 12, 2019 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Exchange's Eighth Amended and Restated Bylaws (the "Exchange Bylaws") the Fourth Amended and Restated Bylaws (the "Parent Bylaws") of its Parent Corporation, Cboe Global Markets, Inc. ("Cboe" or the "Parent")
Comments due: March 12, 2019
Additional Materials: Exhibit 5a, Exhibit 5b