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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
Second Quarter | First Quarter

BYX File Number List for 2015

Additional Archives

2015 | 2014 | 2013 | 2012 | 2011 | 2010

Chronological List
Release No. Date Details
Third Quarter

SR-BYX-2015-32
34-75439 Jul. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  August 7, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-30
34-75407 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule
Comments due:  August 5, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-25
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BATS-2015-37, SR-EDGA-2015-19, SR-EDGX-2015-21
See also: Notice: Rel. No. 34-74987
Second Quarter

SR-BYX-2015-29
34-75325 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc., to modify its Price Adjust Functionality
Comments due:  July 27, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-28
34-75159 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-26
34-75108 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-25
34-74988 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Y-Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2015-24
34-74939 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-23
34-74740 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BYX-2015-07
34-74739 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Y-Exchange, Inc.
See also: Notice: Rel. No. 34-74250

SR-BYX-2015-22
34-74723 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(i) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-21
34-74703 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-20
34-74645 Apr. 3, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: April 30, 2015
Additional Materials: Exhibit 5
First Quarter

SR-BYX-2015-19
34-74599 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-18
34-74594 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-13
34-74514 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-14
34-74451 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Orders to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-12
34-74402 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-11
34-74360 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: March 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-10
34-74294 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-09
34-74284 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BYX Top and BYX Last Sale
Comments due: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2015-08
34-74263 Feb. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y- Exchange, Inc.
Comments due: March 12, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-07
34-74250 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74739

SR-BYX-2015-04
34-74164 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BYX-2015-06
34-74151 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-05
34-74111 Jan. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for BATS Y-Exchange, Inc.'s Retail Price Improvement ("RPI") Program for 12 months, to expire on January 31, 2016
Comments due:  February 18, 2015

SR-BYX-2015-03
34-74075 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due:  February 13, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-01
34-74050 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5


BYX File Number List for 2015
Release No. Date Details

SR-BYX-2015-32
34-75439 Jul. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  August 7, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-30
34-75407 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule
Comments due:  August 5, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-29
34-75325 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc., to modify its Price Adjust Functionality
Comments due:  July 27, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-28
34-75159 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-26
34-75108 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-25
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BATS-2015-37, SR-EDGA-2015-19, SR-EDGX-2015-21
34-74988 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Y-Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2015-24
34-74939 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-23
34-74740 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BYX-2015-22
34-74723 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(i) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-21
34-74703 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-20
34-74645 Apr. 3, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: April 30, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-19
34-74599 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-18
34-74594 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-14
34-74451 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Orders to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-13
34-74514 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-12
34-74402 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-11
34-74360 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: March 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-10
34-74294 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-09
34-74284 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BYX Top and BYX Last Sale
Comments due: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BYX-2015-08
34-74263 Feb. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y- Exchange, Inc.
Comments due: March 12, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-07
34-74739 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Y-Exchange, Inc.
34-74250 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Rules 11.9 of BATS Y-Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-06
34-74151 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BYX-2015-05
34-74111 Jan. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for BATS Y-Exchange, Inc.'s Retail Price Improvement ("RPI") Program for 12 months, to expire on January 31, 2016
Comments due:  February 18, 2015

SR-BYX-2015-04
34-74164 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BYX-2015-03
34-74075 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BYX-2015-01
34-74050 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

 

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


Modified: 07/23/2015