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 Archive: 2011

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

BYX File Number List for 2011

Additional Archives

2014 | 2013 | 2012 | 2011 | 2010

Chronological List
Release No. Date Details
Fourth Quarter

SR-BYX-2011-025
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:  Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65429
Comments received are available for this proposal.

SR-BYX-2011-029
34-65817 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  December 21, 2011

SR-BYX-2011-025
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:   Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65429
Comments received are available for this proposal.

SR-BYX-2011-022
34-65729 Nov. 10, 2011 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
See also:   Notice: Rel. No. 34-65352

SR-BYX-2011-021
34-65647 Oct. 27, 2011 Order Approving Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
See also:   Notice: Rel. No. 34-65299

SR-BYX-2011-026
34-65515 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in Rule 2.12
Comments due:  November 4, 2011

SR-BYX-2011-028
34-65493 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  November 3, 2011

SR-BYX-2011-027
34-65496 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program with Correlix and a Free Trial Period for New Users of the Correlix Service
Comments due:  November 3, 2011
Third Quarter

SR-BYX-2011-024
34-65448 Sep. 30, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend BYX Rule 13.3 to Prohibit Members from Voting Uninstructed Shares on Certain Matters and to Align BYX Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, with the Rules of Other Self-Regulatory Organizations
Comments due:  October 27, 2011

SR-BYX-2011-025
34-65429 Sep. 28, 2011 Notice of Filing of Proposed Rule Change to Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Comments received are available for this notice.
See also: Order: Rel. No. 34-67090; Notice: Rel. No 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65770

SR-BYX-2011-023
34-65406 Sep. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  October 24, 2011

SR-BYX-2011-022
34-65352 Sep. 19, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
Comments due:  October 17, 2011
See also:   Order: Rel. No. 34-65729

SR-BYX-2011-021
34-65299 Sep. 8, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  October 5, 2011
See also:   Order: Rel. No. 34-65647

SR-BYX-2011-016
34-65143 Aug. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  September 12, 2011

SR-BYX-2011-019
34-65112 Aug. 11, 2011 Notice of Filing of Proposed Rule Change to Amend BYX Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due:  September 7, 2011

SR-BYX-2011-018
34-65082 Aug, 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  September 6, 2011

SR-BYX-2011-017
34-65077 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  September 6, 2011

SR-BYX-2011-015
34-64901 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent with the Upcoming Implementation of the Market Access Rule
Comments due:  August 12, 2011

SR-BYX-2011-013
34-64846 Jul. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  August 4, 2011

SR-BYX-2011-014
34-64836 Jul. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed
Comments due:  August 3, 2011
Second Quarter

SR-BYX-2011-009
34-64753 Jun. 27, 2011 Order Approving a Proposed Rule Change to Amend BYX Rule 11.9, entitled "Orders and Modifiers" and BYX Rule 11.13, entitled "Order Execution"
See also:   Notice: Rel. No. 34-64476

SR-BYX-2011-011
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
See also:   Notice: Rel. No. 34-64433

SR-BYX-2011-009
34-64476 May 12, 2011 Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rule 11.9, entitled "Orders and Modifiers" and BYX Rule 11.13, entitled "Order Execution"
Comments due:  June 8, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-64753

SR-BYX-2011-012
34-64444 May 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add BYX Rule 11.22, Entitled "Data Products"
Comments due:  June 3, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-011
34-64433 May 6, 2011 Notice of Filing of a Proposed Rule Change to Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5
See also:   Order: Rel. No. 34-64735

SR-BYX-2011-008
34-64429 May 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  June 2, 2011

SR-BYX-2011-006
34-64236 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  May 4, 2011

SR-BYX-2011-007
34-64214 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  May 3, 2011
First Quarter

SR-BYX-2011-005
34-64055 Mar. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  April 4, 2011

SR-BYX-2011-004
34-63970 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt BYX Rule 11.21, entitled "Input of Accurate Information"
Comments due:  March 25, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-002
34-63947 Feb. 23, 2011 Order Granting Accelerated Approval of a Proposed Rule Change to Amend BYX Rules in Connection with the Implementation of Amendments to Regulation SHO
See also:   Notice: Rel. No. 34-63767

SR-BYX-2011-002
34-63767 Jan. 25, 2011 Notice of Proposed Rule Change to Amend BYX Rules in Connection with the Implementation of Amendments to Regulation SHO
Comments due:  February 22, 2011
See also:   Order: Rel. No. 34-63947

SR-BYX-2011-001
34-63662 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  February 4, 2011

File Number List
Release No. Date Details

SR-BYX-2011-029
34-65817 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  December 21, 2011

SR-BYX-2011-028
34-65493 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  November 3, 2011

SR-BYX-2011-027
34-65496 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program with Correlix and a Free Trial Period for New Users of the Correlix Service
Comments due:  November 3, 2011

SR-BYX-2011-026
34-65515 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in Rule 2.12
Comments due:  November 4, 2011

SR-BYX-2011-025
34-67090 May 31, 2012 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due:  June 27, 2012
34-66680 Mar. 29, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received are available for this proposal.
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-65429 Sep. 28, 2011 Notice of Filing of Proposed Rule Change to Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Comments received are available for this proposal.

SR-BYX-2011-024
34-65448 Sep. 30, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend BYX Rule 13.3 to Prohibit Members from Voting Uninstructed Shares on Certain Matters and to Align BYX Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, with the Rules of Other Self-Regulatory Organizations
Comments due:  October 27, 2011

SR-BYX-2011-023
34-65406 Sep. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  October 24, 2011

SR-BYX-2011-022
34-65729 Nov. 10, 2011 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
34-65352 Sep. 19, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
Comments due:  October 17, 2011

SR-BYX-2011-021
34-65647 Oct. 27, 2011 Order Approving Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
34-65299 Sep. 8, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  October 5, 2011

SR-BYX-2011-019
34-65112 Aug. 11, 2011 Notice of Filing of Proposed Rule Change to Amend BYX Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due:  September 7, 2011

SR-BYX-2011-018
34-65082 Aug, 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  September 6, 2011

SR-BYX-2011-017
34-65077 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  September 6, 2011

SR-BYX-2011-016
34-65143 Aug. 16, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  September 12, 2011

SR-BYX-2011-015
34-64901 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent with the Upcoming Implementation of the Market Access Rule
Comments due:  August 12, 2011

SR-BYX-2011-014
34-64836 Jul. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed
Comments due:  August 3, 2011

SR-BYX-2011-013
34-64846 Jul. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  August 4, 2011

SR-BYX-2011-012
34-64444 May 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add BYX Rule 11.22, Entitled "Data Products"
Comments due:  June 3, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-011
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BATS-2011-016, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
34-64433 May 6, 2011 Notice of Filing of a Proposed Rule Change to Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-009
34-64753 Jun. 27, 2011 Order Approving a Proposed Rule Change to Amend BYX Rule 11.9, entitled "Orders and Modifiers" and BYX Rule 11.13, entitled "Order Execution"
34-64476 May 12, 2011 Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rule 11.9, entitled "Orders and Modifiers" and BYX Rule 11.13, entitled "Order Execution"
Comments due:  June 8, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-008
34-64429 May 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  June 2, 2011

SR-BYX-2011-007
34-64214 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  May 3, 2011

SR-BYX-2011-006
34-64236 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  May 4, 2011

SR-BYX-2011-005
34-64055 Mar. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  April 4, 2011

SR-BYX-2011-004
34-63970 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt BYX Rule 11.21, entitled "Input of Accurate Information"
Comments due:  March 25, 2011
Additional Materials:   Exhibit 5

SR-BYX-2011-002
34-63947 Feb. 23, 2011 Order Granting Accelerated Approval of a Proposed Rule Change to Amend BYX Rules in Connection with the Implementation of Amendments to Regulation SHO
34-63767 Jan. 25, 2011 Notice of Proposed Rule Change to Amend BYX Rules in Connection with the Implementation of Amendments to Regulation SHO
Comments due:  February 22, 2011

SR-BYX-2011-001
34-63662 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  February 4, 2011

 

http://www.sec.gov/rules/sro/byx/byxarchive/byxarchive2011.shtml


Modified: 08/21/2014