Bats BYX Exchange Rulemaking

The BYX Exchange has changed its name to Bats BYX Exchange, Inc.. All filings by Bats BYX Exchange will be posted to the Bats BYX page. Filings filed with "BYX" as part of the file number will be posted on the BYX Exchange page.

We encourage the public to submit comments on the following Bats BYX Exchange (BatsBYX) 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

Bats BYX File Number List for 2017

Additional Archives

2017 | 2016

Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-BatsBYX-2017-11
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-81067, Notice: Rel. No. 34-80809
Additional File Nos.: SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
SR-BatsBYX-2017-29
34-82048 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-28
34-82051 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-27
34-81952 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-26
34-81925 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Amended and Restated Certificate of Incorporation
Comments due: November 17, 2017
SR-BatsBYX-2017-19
34-81849 Oct. 11, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Harmonize the Corporate Governance Framework of each Exchange with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
See also: Notice: Rel. No. 34-81498
Additional File Nos.: SR-BatsBZX-2017-55, SR-BatsEDGA-2017-22, SR-BatsEDGX-2017-35
SR-BatsBYX-2017-25
34-81825 Oct. 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: November 2, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-24
34-81806 Oct. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, to Add New Optional Functionality to Minimum Quantity Orders
Comments due: October 31, 2017
Additional Materials: Exhibit 5
Third Quarter
SR-BatsBYX-2017-23
34-81749 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-21
34-81654 Sep. 19, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: October 16, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-13
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80836
Additional File Nos.: SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
SR-BatsBYX-2017-19
34-81498 Aug. 30, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
Comments due: September 27, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
See also: Order: Rel. No. 34-81849
SR-BatsBYX-2017-18
34-81368 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-17
34-81326 Aug. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-16
34-81288 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: August 29, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-13
34-81156 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80836
Second Quarter
SR-BatsBYX-2017-11
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
See also: Notice: Rel. No. 34-80809, Notice: Rel. No. 34-82049
Additional File Nos.: SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023; SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
SR-BatsBYX-2017-15
34-80939 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: July 12, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-13
34-80836 Jun. 1, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail – Fee Dispute Resolution
Comments due: June 28, 2017
Additional Materials: Exhibit 5
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-81156
Comments received are available for this proposal.
SR-BatsBYX-2017-11
34-80809 May 30, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: June 26, 2017
Additional Materials:  Appendix, Exhibit 5
See also:  Order: Rel. No. 34-81067 , Notice: Rel. No. 34-82049
Comments received are available for this proposal.
SR-BatsBYX-2017-10
34-80688 May 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BYX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 12, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-12
34-80645 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-07
34-80612 May 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BYX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: June 1, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-06
34-80447 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: May 10, 2017
Additional Materials: Exhibit 5
First Quarter
SR-BatsBYX-2017-02
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79944
Additional File Nos.: SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
SR-BatsBYX-2017-05
34-80220 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-04
34-79966 Feb. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: March 2, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-02
34-79944 Feb. 2, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
SR-BatsBYX-2016-40
34-79760 Jan. 9, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect
Comments due: February 3, 2017
Additional Materials: Exhibit 5


Bats BYX File Number List for 2017

Release No. Date Details
SR-BatsBYX-2017-29
34-82048 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-28
34-82051 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-27
34-81952 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-26
34-81925 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Amended and Restated Certificate of Incorporation
Comments due: November 17, 2017
SR-BatsBYX-2017-25
34-81825 Oct. 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: November 2, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-24
34-81806 Oct. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, to Add New Optional Functionality to Minimum Quantity Orders
Comments due: October 31, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-23
34-81749 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-21
34-81654 Sep. 19, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: October 16, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-19
34-81849 Oct. 11, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Harmonize the Corporate Governance Framework of each Exchange with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
Additional File Nos.: SR-BatsBZX-2017-55, SR-BatsEDGA-2017-22, SR-BatsEDGX-2017-35
34-81498 Aug. 30, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
Comments due: September 27, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
SR-BatsBYX-2017-18
34-81368 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-17
34-81326 Aug. 7, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBYX-2017-16
34-81288 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: August 29, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-15
34-80939 Jun. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: July 12, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-13
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
Additional File Nos.: SR-BatsBZX-2017-39, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
34-81156 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
34-80836 Jun. 1, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail – Fee Dispute Resolution
Comments due: June 28, 2017
Additional Materials: Exhibit 5
Comments received are available for this proposal.
SR-BatsBYX-2017-12
34-80645 May 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-11
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Additional File Nos.: SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017, SR-CBOE-2017-040, SR-CHX-2017-08, SR-FINRA-2017-011, SR-GEMX-2017-17, SR-IEX-2017-16, SR-ISE-2017-45, SR-MIAX-2017-18, SR-MRX-2017-04, SR-NASDAQ-2017-046, SR-NYSE-2017-22, SR-NYSEArca-2017-52, SR-NYSEMKT-2017-26, SR-PEARL-2017-20, SR-Phlx-2017-37
34-81067 Jun. 30, 2017 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: July 28, 2017
Rebuttal comments due: August 11, 2017
Additional File Nos.: SR-BatsBZX-2017-38, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37
Comments received are available for this proposal.
34-80809 May 30, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: June 26, 2017
Additional Materials:  Appendix, Exhibit 5
Comments received are available for this proposal.
SR-BatsBYX-2017-10
34-80688 May 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BYX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 12, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-07
34-80612 May 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BYX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member that Clears Transactions on Behalf of the User
Comments due: June 1, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-06
34-80447 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-05
34-80220 Mar. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 7, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-04
34-79966 Feb. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.
Comments due: March 2, 2017
Additional Materials: Exhibit 5
SR-BatsBYX-2017-02
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.: SR-BatsBZX-2017-08, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03
34-79944 Feb. 2, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017
Additional Materials: Exhibit 5