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-2021-012 Amendment No. 1
- June 18, 2021
- The Exchange proposes an amendment to SR-CboeBYX-2021-012.
- April 26, 2021
- The Exchange proposes to amend its process for re-opening securities listed on other national securities exchanges following the resumption of trading after a halt, suspension, or pause during the Early Trading Session, Pre-Opening Session, or After Hours Session.
- April 16, 2021
- The Exchange proposes to amend the Sixth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
Approved and Immediately Effective Rule Changes
- July 1, 2021
- The Exchange proposes to amend its Fee Schedule.
- June 17, 2021
- The Exchange proposes to amend the content of the Cboe One Feed under Rule 11.22(i) to identify the consolidated high and low price.
- April 21, 2021
- The Exchange proposes to adopt a Consolidated Audit Trail (CAT) Fee Schedule.
- April 12, 2021
- The Exchange proposes to amend its Fees Schedule.
- April 5, 2021
- The Exchange proposes to extend the current pilot program related to Clearly Erroneous Executions, to the close of business on October 20, 2021.
- March 1, 2021
- The Exchange proposes to amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to delete references to the INET and RDOX routing options.
- January 15, 2021
- The Exchange proposes to amend the CAT compliance rule to be consistent with a conditional exemption granted by the SEC from certain allocation reporting requirements.
- January 13, 2021
- The Exchange proposes to amend its fee schedule to establish a fee in connection with a Member’s Market Participant Identifier(s).
- January 13, 2021
- The Exchange proposes to amend the fee schedule.