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.
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.
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.
The Exchange proposes 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.
The Exchange proposes to amend Rule 5.6 to conform to the FinCEN's adoption of a final rule on Customer Due Diligence Requirements for Financial Institutions.
The Exchange proposes to amend the fee schedule applicable to the BYX equities trading platform (“BYX Equities”) as it relates to pricing for orders routed to Cboe EDGA Exchange, Inc. (“EDGA”) using the ALLB, TRIM, or SLIM routing strategy.
The Exchange proposes to extend the current pilot program related to Rule 11.17, Clearly Erroneous Executions, to the close of business on April 20, 2020.
The Exchange proposes 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.
The Exchange proposes to amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to delete references to the TRIM2 and SWPB routing options.
The Exchange proposes to to clarify portions of its rules under Chapter 14 (Securities Traded) related to the applicability of certain disclosure requirements.
The Exchange proposes 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.
The Exchange proposes to extend the current pilot program related to Rule 11.17, Clearly Erroneous Executions, to the close of business on October 18, 2019.
The Exchange proposes to amend the Exchange’s Eighth Amended and Restated Bylaws and the Fourth Amended and Restated Bylaws of its parent corporation, Cboe Global Markets, Inc.
