National Securities Exchanges
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| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-71138 | Dec 19, 2013 | SR-BYX-2013-041 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. See Also - Exhibit 5 |
| 34-71024 | Dec 6, 2013 | SR-BYX-2013-039 | BATS Y-Exchange (BYX) | Notice of Filing of a Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC See Also - Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e, Exhibit 5f, Exhibit 5g, Exhibit 5h, Rel. No. 34-71375 |
| 34-70951 | Nov 27, 2013 | SR-BYX-2013-036 | BATS Y-Exchange (BYX) | Order Approving a Proposed Rule Change To Amend BYX Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders See Also - Rel. No. 34-70663 |
| 34-70852 | Nov 13, 2013 | SR-BYX-2013-038 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. See Also - Exhibit 5 |
| 34-70666 | Oct 11, 2013 | SR-BYX-2013-034 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. See Also - Exhibit 5 |
| 34-70663 | Oct 11, 2013 | SR-BYX-2013-036 | BATS Y-Exchange (BYX) | Notice of Filing of a Proposed Rule Change To Amend Rule 12.6 To Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders See Also - Exhibit 5, Rel. No. 34-70951 |
| 34-70665 | Oct 11, 2013 | SR-BYX-2013-035 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. See Also - Exhibit 5 |
| 34-70623 | Oct 8, 2013 | SR-BYX-2013-037 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of a Rule Change To Add a Reference to Rule 10C-1 Under the Exchange Act in the Exchange's Rules Concerning Unlisted Trading Privileges See Also - Exhibit 5 |
| 34-70514 | Sep 26, 2013 | SR-BYX-2013-033 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule See Also - Exhibit 5 |
| 34-70440 | Sep 18, 2013 | SR-BYX-2013-032 | BATS Y-Exchange (BYX) | Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate References to Obsolete Functionality See Also - Exhibit 5 |