SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


BATS Y-Exchange, Inc. Rulemaking

We encourage the public to submit comments on the following BATS Y-Exchange, Inc. 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.

Chronological List
Fourth Quarter | Third Quarter | Second Quarter | First Quarter

BYX File Number List for 2014

Additional Archives

2014 | 2013 | 2012 | 2011 | 2010

Chronological List
Release No. Date Details
Fourth Quarter

SR-BYX-2014-040
34-73881 Dec. 18, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-039
34-73874 Dec. 18, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9(a)(2) and 11.18(e) of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-037
34-73812 Dec. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-036
34-73744 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Y-Exchange, Inc.
Comments due: December 31, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-035
34-73742 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.1(c)(5) of BATS Y-Exchange, Inc., to Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities from Acting or Registering as a Market Maker in Any Reference Asset of that UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset
Comments due: December 31, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-030
34-73595 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014
Comments received are available for this proposal.

SR-BYX-2014-011
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BATS-2014-028, SR-EDGA-2014-16, SR-EDGX-2014-19

SR-BYX-2014-018
34-73472 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change to Establish an Opening Process
See also: Notice: Rel. No. 34-73094

SR-BYX-2014-029
34-73461 Oct. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: November 25, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-028
34-73411 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-019
34-73366 Oct. 15, 2014 Order Granting Approval of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. to Add Price Adjust Functionality
See also: Notice: Rel. No. 34-72946

SR-BYX-2014-027
34-73357 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.16 of BATS Y-Exchange, Inc.
Comments due: November 12, 2014

SR-BYX-2014-026
34-73295 Oct. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc.
Comments due: October 30, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-BYX-2014-024
34-73236 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.24 to Permit Members to Designate their Retail Orders to be Identified as Retail on the Exchange's Proprietary Data Feeds
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-025
34-73235 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9(c) to Adopt a Supplemental Peg Order
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-023
34-73221 Sep. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 22, 2014

SR-BYX-2014-022
34-73190 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-021
34-73176 Sep. 22, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-011
34-73102 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
See also: Notice: Rel. No. 34-72690

SR-BYX-2014-018
34-73094 Sep. 15, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: October 10, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73472

SR-BYX-2014-020
34-73079 Sep. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 8, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-019
34-72946 Aug. 28, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: September 25, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73366

SR-BYX-2014-017
34-72932 Aug. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: September 24, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-016
34-72881 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9(f) of BATS Y-Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-015
34-72880 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-013
34-72730 Jul. 31, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.24(a)(2) to Include Riskless Principal Orders to the Types of Orders that May Qualify as Retail Orders under the Retail Price Improvement Program
Comments due: August 27, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2014-011
34-72690 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
See also: Notice: Rel. No. 34-73102
Comments received are available for this proposal.

SR-BYX-2014-012
34-72687 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Y-Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BYX-2014-010
34-72647 Jul. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, and 11.18 of BATS Y-Exchange, Inc.
Comments due: August 15, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-009
34-72590 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: August 6, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-BYX-2014-007
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72045

SR-BYX-2014-008
34-72127 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: June 4, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2014-007
34-72045 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-BYX-2014-005
34-71940 Apr. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 9, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-004
34-71939 Apr. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 9, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-006
34-71936 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 8, 2014
First Quarter

SR-BYX-2014-003
34-71796 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc.
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-BYX-2014-002
34-71726 Mar. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register

SR-BYX-2013-039
34-71375 Jan. 23, 2014 Order Granting Approval of Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
See also:  Notice: Rel. No. 34-71024

SR-BYX-2014-001
34-71249 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program
Comments due: February 3, 2014
Additional Materials:  Exhibit 5


BYX File Number List for 2014
Release No. Date Details

SR-BYX-2014-040
34-73881 Dec. 18, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-039
34-73874 Dec. 18, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9(a)(2) and 11.18(e) of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-037
34-73812 Dec. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2014-036
34-73744 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.1 of BATS Y-Exchange, Inc.
Comments due: December 31, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-035
34-73742 Dec. 4, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.1(c)(5) of BATS Y-Exchange, Inc., to Remove the Restriction Prohibiting Market Makers in UTP Derivative Securities from Acting or Registering as a Market Maker in Any Reference Asset of that UTP Derivative Security or Any Derivative Instrument Based on Such Reference Asset
Comments due: December 31, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-030
34-73595 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014
Comments received are available for this proposal.

SR-BYX-2014-029
34-73461 Oct. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: November 25, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-028
34-73411 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-027
34-73357 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.16 of BATS Y-Exchange, Inc.
Comments due: November 12, 2014

SR-BYX-2014-026
34-73295 Oct. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc.
Comments due: October 30, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-025
34-73235 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9(c) to Adopt a Supplemental Peg Order
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-024
34-73236 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.24 to Permit Members to Designate their Retail Orders to be Identified as Retail on the Exchange's Proprietary Data Feeds
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-023
34-73221 Sep. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 22, 2014

SR-BYX-2014-022
34-73190 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-021
34-73176 Sep. 22, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Y-Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-020
34-73079 Sep. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 8, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-019
34-73366 Oct. 15, 2014 Order Granting Approval of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc. to Add Price Adjust Functionality
34-72946 Aug. 28, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: September 25, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-018
34-73472 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change to Establish an Opening Process
34-73094 Sep. 15, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: October 10, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-017
34-72932 Aug. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: September 24, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-016
34-72881 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9(f) of BATS Y-Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-015
34-72880 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Y-Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-013
34-72730 Jul. 31, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.24(a)(2) to Include Riskless Principal Orders to the Types of Orders that May Qualify as Retail Orders under the Retail Price Improvement Program
Comments due: August 27, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2014-012
34-72687 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Y-Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BYX-2014-011
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BATS-2014-028, SR-EDGA-2014-16, SR-EDGX-2014-19
34-73102 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
34-72690 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BYX-2014-010
34-72647 Jul. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, and 11.18 of BATS Y-Exchange, Inc.
Comments due: August 15, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-009
34-72590 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: August 6, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-008
34-72127 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: June 4, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2014-007
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BATS-2014-014, SR-BX-2014-021, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
34-72045 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-006
34-71936 Apr. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 8, 2014

SR-BYX-2014-005
34-71940 Apr. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 9, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-004
34-71939 Apr. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: May 9, 2014
Additional Materials: Exhibit 5

SR-BYX-2014-003
34-71796 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc.
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-BYX-2014-002
34-71726 Mar. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register

SR-BYX-2014-001
34-71249 Jan. 7, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Retail Price Improvement Program
Comments due: February 3, 2014
Additional Materials:  Exhibit 5

 

http://www.sec.gov/rules/sro/byx.shtml


Modified: 12/18/2014