National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-89235 | Jul 7, 2020 | SR-CboeBYX-2020-020 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 8.15 See Also - Exhibit 5 |
| 34-89138 | Jun 23, 2020 | SR-CboeBYX-2020-019 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule ("Compliance Rule") Regarding the National Market System Plan Governing the Consolidated Audit Trail (the "CAT NMS Plan" or "Plan") See Also - Exhibit 5 |
| 34-89125 | Jun 23, 2020 | SR-CboeBYX-2020-018 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) to Identify the Primary Listing Market's Official Opening and Closing Price See Also - Exhibit 5 |
| 34-89031 | Jun 9, 2020 | SR-CboeBYX-2020-016 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis See Also - Exhibit 5 |
| 34-89012 | Jun 4, 2020 | SR-CboeBYX-2020-017 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares See Also - Exhibit 5 |
| 34-88902 | May 19, 2020 | SR-CboeBYX-2020-015 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process See Also - Exhibit 5 |
| 34-88845 | May 8, 2020 | SR-CboeBYX-2020-014 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares See Also - Exhibit 5 |
| 34-88820 | May 6, 2020 | SR-CboeBYX-2020-013 | Cboe BYX Exchange, Inc. (CboeBYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 See Also - Exhibit 5 |
| 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 |