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Bats BYX Exchange Rulemaking Archive: 2016
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 2016
Additional Archives
2018 |
2017 |
2016
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-BatsBYX-2016-39 |
| 34-79623 |
Dec. 20, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth
Comments due: January 17, 2017
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-41 |
| 34-79603 |
Dec. 19, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9, Orders and Modifiers, and Rule 11.13, Order Execution and Routing, to Enhance the Exchange's Midpoint Routing Functionality
Comments due: January 13, 2017
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-29 |
| 34-79585 |
Dec. 16, 2016 |
Order Granting Approval of Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Additional File Nos.: SR-BatsBZX-2016-68, SR-BatsEDGA-2016-24, SR-BatsEDGX-2016-60
See also: Notice: Rel. No.34-79269
|
SR-BatsBYX-2016-37 |
| 34-79534 |
Dec. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-36 |
| 34-79430 |
Nov. 30, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 27, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-35 |
| 34-79386 |
Nov. 23, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Rules 1.9, 11.13, 11.16, 11.22, and 11.27
Comments due: December 21, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-32 |
| 34-79341 |
Nov. 17, 2016 |
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information
Comments due: December 14, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-34 |
| 34-79307 |
Nov. 14, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc.
Comments due: December 9, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-29 |
| 34-79269 |
Nov. 8, 2016 |
Notice of Filing of a Proposed Rule Change in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Comments due: December 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H
See also: Order: Rel. No. 34-79585
|
SR-BatsBYX-2016-28 |
| 34-79233 |
Nov. 3, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification
Comments due: November 30, 2016
Additional Materials:
|
SR-BatsBYX-2016-27 |
| 34-79148 |
Oct. 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule 11.13, Order Execution and Routing
Comments due: November 21, 2016
Additional Materials: Exhibit 5
|
| Third Quarter |
SR-BatsBYX-2016-25 |
| 34-78795 |
Sep. 9, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: October 6, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
|
SR-BatsBYX-2016-17 |
| 34-78766 |
Sep. 2, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: September 29, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78333
Comments received are available for this proposal.
|
SR-BatsBYX-2016-23 |
| 34-78747 |
Sep. 1, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc.
Comments due: September 29, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-21 |
| 34-78631 |
Aug. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product Known as BYX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-20 |
| 34-78542 |
Aug. 11, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-19 |
| 34-78456 |
Aug. 2, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC
Comments due: August 29, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-17 |
| 34-78333 |
Jul. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal. |
SR-BatsBYX-2016-18 |
| 34-78302 |
Jul. 12, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BYX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due: August 8, 2016
Additional Materials: Exhibit 5 |
| Second Quarter |
SR-BatsBYX-2016-16 |
| 34-78194 |
Jun. 29, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing
Comments due: July 27, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-15 |
| 34-78180 |
Jun. 28, 2016 |
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: July 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-14 |
| 34-78165 |
Jun. 27, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price
Comments due: July 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-12 |
| 34-78122 |
Jun. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: July 19, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-13 |
| 34-78035 |
Jun. 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process
Comments due: July 7, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-09 |
| 34-77919 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process
Comments due: June 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-10 |
| 34-77918 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-08 |
| 34-77886 |
May 23, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule
Comments due: June 17, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-07 |
| 34-77793 |
May 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-06 |
| 34-77790 |
May 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 11.13, Order Execution and Routing, to Delete the IOCM and ICMT Routing Options
Comments due: June 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B
|
| First Quarter |
SR-BatsBYX-2016-05 |
| 34-77638 |
Apr. 18, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates
Comments due: May 13, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-03 |
| 34-77602 |
Apr. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing
Comments due: May 10, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-04 |
| 34-77600 |
Apr. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc.
Comments due: May 10, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-01 |
| 34-77418 |
Mar. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 18, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
|
| Bats BYX File Number List for 2016 |
| Release No. |
Date |
Details |
SR-BatsBYX-2016-41 |
| 34-79603 |
Dec. 19, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9, Orders and Modifiers, and Rule 11.13, Order Execution and Routing, to Enhance the Exchange's Midpoint Routing Functionality
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
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
|
SR-BatsBYX-2016-39 |
| 34-79623 |
Dec. 20, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth
Comments due: January 17, 2017
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-37 |
| 34-79534 |
Dec. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-36 |
| 34-79430 |
Nov. 30, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 27, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-35 |
| 34-79386 |
Nov. 23, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Rules 1.9, 11.13, 11.16, 11.22, and 11.27
Comments due: December 21, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-34 |
| 34-79307 |
Nov. 14, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc.
Comments due: December 9, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-32 |
| 34-79341 |
Nov. 17, 2016 |
Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information
Comments due: December 14, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-29 |
| 34-79585 |
Dec. 16, 2016 |
Order Granting Approval of Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Additional File Nos.: SR-BatsBZX-2016-68, SR-BatsEDGA-2016-24, SR-BatsEDGX-2016-60
See also: Notice: Rel. No. 34-79266
|
| 34-79269 |
Nov. 8, 2016 |
Notice of Filing of a Proposed Rule Change in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Comments due: December 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H
|
SR-BatsBYX-2016-28 |
| 34-79233 |
Nov. 3, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification
Comments due: November 30, 2016
Additional Materials:
|
SR-BatsBYX-2016-27 |
| 34-79148 |
Oct. 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BYX Rule 11.13, Order Execution and Routing
Comments due: November 21, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-25 |
| 34-78795 |
Sep. 9, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
See Also: Exemptive Letter
|
SR-BatsBYX-2016-23 |
| 34-78747 |
Sep. 1, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc.
Comments due: September 29, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-21 |
| 34-78631 |
Aug. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product Known as BYX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-20 |
| 34-78542 |
Aug. 11, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-19 |
| 34-78456 |
Aug. 2, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC
Comments due: August 29, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-18 |
| 34-78302 |
Jul. 12, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BYX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due: August 8, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-17 |
| 34-78766 |
Sep. 2, 2016 |
Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: September 29, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.
|
| 34-78333 |
Jul. 14, 2016 |
Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal. |
SR-BatsBYX-2016-16 |
| 34-78194 |
Jun. 29, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing
Comments due: July 27, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-15 |
| 34-78180 |
Jun. 28, 2016 |
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: July 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-14 |
| 34-78165 |
Jun. 27, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price
Comments due: July 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-13 |
| 34-78035 |
Jun. 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process
Comments due: July 7, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-12 |
| 34-78122 |
Jun. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: July 19, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-10 |
| 34-77918 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-09 |
| 34-77919 |
May 25, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process
Comments due: June 22, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-08 |
| 34-77886 |
May 23, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule
Comments due: June 17, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-07 |
| 34-77793 |
May 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 1.27(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2016
Additional Materials: Exhibit 5 |
SR-BatsBYX-2016-06 |
| 34-77790 |
May 10, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Rule 11.13, Order Execution and Routing, to Delete the IOCM and ICMT Routing Options
Comments due: June 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B |
SR-BatsBYX-2016-05 |
| 34-77638 |
Apr. 18, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates
Comments due: May 13, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-04 |
| 34-77600 |
Apr. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc.
Comments due: May 10, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-03 |
| 34-77602 |
Apr. 13, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing
Comments due: May 10, 2016
Additional Materials: Exhibit 5
|
SR-BatsBYX-2016-01 |
| 34-77418 |
Mar. 22, 2016 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 18, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter
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http://www.sec.gov/rules/sro/batsbyx.shtml
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