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National Securities Exchanges

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Release Number SEC Issue Date Sort ascending File Number SRO Organization Details
34-88160 Feb 11, 2020 SR-CboeBYX-2020-006 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BYX Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing
See Also - Exhibit 5
34-88112 Feb 3, 2020 SR-CboeBYX-2020-003 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules
See Also - Exhibit 5
34-88100 Jan 30, 2020 SR-CboeBYX-2020-005 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing of a Proposed Rule Change Relating 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
See Also - Exhibit 5
34-88045 Jan 27, 2020 SR-CboeBYX-2020-002 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules
See Also - Exhibit 5
34-87960 Jan 14, 2020 SR-CboeBYX-2020-001 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
See Also - Exhibit 5
34-87862 Dec 27, 2019 SR-CboeBYX-2019-025 Cboe BYX Exchange, Inc. (CboeBYX) 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
See Also - Exhibit 5
34-87744 Dec 13, 2019 SR-CboeBYX-2019-024 Cboe BYX Exchange, Inc. (CboeBYX) 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
See Also - Exhibit 5
34-87713 Dec 10, 2019 SR-CboeBYX-2019-023 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
View Received Comments
See Also - Exhibit 5
34-87690 Dec 9, 2019 SR-CboeBYX-2019-009 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee
View Received Comments
34-87689 Dec 9, 2019 SR-CboeBYX-2019-013 Cboe BYX Exchange, Inc. (CboeBYX) Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee
View Received Comments