National Securities Exchanges
We encourage the public to submit comments on the following 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.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-88770 | Apr 29, 2020 | SR-CboeBYX-2020-005 | Cboe BYX Exchange, Inc. (CboeBYX) | Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems |
| 34-88710 | Apr 21, 2020 | SR-CboeBYX-2020-012 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.26(a) To Add LTSE as a Source for Market Data for Certain Purposes See Also - Exhibit 5 |
| 34-88641 | Apr 15, 2020 | SR-CboeBYX-2019-015 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program |
| 34-88647 | Apr 15, 2020 | SR-CboeBYX-2019-012 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program |
| 34-88570 | Apr 6, 2020 | SR-CboeBYX-2020-011 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions See Also - Exhibit 5 |
| 34-88496 | Mar 27, 2020 | SR-CboeBYX-2020-010 | Cboe BYX Exchange, Inc. (CboeBYX) | 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 October 20, 2020 See Also - Exhibit 5 |
| 34-88481 | Mar 26, 2020 | SR-CboeBZX-2019-107 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 14.11(m), Tracking Fund Shares, and To List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF View Received Comments |
| 34-88438 | Mar 20, 2020 | SR-CboeBYX-2020-005 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan"), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems |
| 34-88416 | Mar 18, 2020 | SR-CboeBYX-2020-009 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed 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) See Also - Exhibit 5 |
| 34-88359 | Mar 11, 2020 | SR-CboeBYX-2020-008 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule See Also - Exhibit 5 |