Bats BYX Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes

No pending rule filings at this time

Approved and Immediately Effective Rule Changes

File number: SR-BatsBYX-2016-41
Date filed: December 16, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-40
Date filed: December 27, 2016
Description:

The Exchange proposes a rule change to modify fees for connectivity and its communication and routing service known as Bats Connect.

File number: SR-BatsBYX-2016-39
Date filed: December 14, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-37
Date filed: November 30, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-36
Date filed: November 18, 2016
Description:

The Exchange proposes a rule change to make several non-substantive changes to the fee schedule.

File number: SR-BatsBYX-2016-35
Date filed: November 16, 2016
Description:

The Exchange proposes a rule change to make ministerial and corrective changes to rules 11.9, 11.13, 11.16, 11.22, and 11.27.

File number: SR-BatsBYX-2016-34
Date filed: November 7, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2016-32
Date filed: November 3, 2016
Description:

The Exchange proposes a rule change to BZX Rule 8.11, Effective Date of Judgment and to add BZX Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information.

File number: SR-BatsBYX-2016-29
Date filed: November 2, 2016
Description:

The Exchange proposes a rule change in connection with the proposed corporate transaction involving Bats Global Markets, Inc. and CBOE Holdings, Inc.

File number: SR-BatsBYX-2016-28
Date filed: October 24, 2016
Description:

The Exchange proposes a rule change to amend EDGX Rule 2.5, Restrictions, regarding Members and associated persons of Members who are or become subject to a statutory disqualification.

File number: SR-BatsBYX-2016-27
Date filed: October 12, 2016
Description:

The Exchange proposes a rule change to amend BYX Rule 11.13, Order Execution and Routing.

File number: SR-BatsBYX-2016-25
Date filed: August 26, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-23
Date filed: August 25, 2016
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2016-21
Date filed: August 11, 2016
Description:

The Exchange proposes a rule change to amend Rule 11.22, Data Products, to adopt a new market data product known as BYX Summary Depth.

File number: SR-BatsBYX-2016-20
Date filed: July 29, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsBYX-2016-19
Date filed: July 25, 2016
Description:

The Exchange proposes a rule to reflect the dissolution of one of the Exchanges intermediate holding companies, Direct Edge Holdings LLC.

File number: SR-BatsBYX-2016-18
Date filed: July 5, 2016
Description:

The Exchange proposes a 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

File number: SR-BatsBYX-2016-17 Amendment No. 1
Date filed: September 1, 2016
Description:

The Exchange proposes an amendment to SR-BatsBYX-2016-17.

File number: SR-BatsBYX-2016-17
Date filed: June 29, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-16
Date filed: June 23, 2016
Description:

The Exchange proposed a rule change to remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing.

File number: SR-BatsBYX-2016-15
Date filed: June 23, 2016
Description:

The Exchange proposes a rule change to Rule 11.24, Retail Price Improvement Program, to extend the pilot period.

File number: SR-BatsBYX-2016-14
Date filed: June 17, 2016
Description:

The Exchange proposed a rule change to Rule 11.22(i) identifying certain transactions as the Bats One Opening Price or the Bats One Closing Price.

File number: SR-BatsBYX-2016-13
Date filed: June 9, 2016
Description:

The Exchange proposes a rule change to Rule 11.23, Opening Process.

File number: SR-BatsBYX-2016-12
Date filed: June 8, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsBYX-2016-10
Date filed: May 16, 2016
Description:

The Exchange proposed a rule change related to fees.

File number: SR-BatsBYX-2016-09
Date filed: May 20, 2016
Description:

The Exchange proposed a rule Change to Rule 11.23, Opening Process.

File number: SR-BatsBYX-2016-08
Date filed: May 17, 2016
Description:

The Exchange proposed a rule change to the Market Data section of its fee schedule.

File number: SR-BatsBYX-2016-07
Date filed: May 4, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-06
Date filed: May 2, 2016
Description:

The Exchange proposed a rule change to amend Rule 11.13, Order Execution and Routing, to delete the IOCM and ICMT routing options.

File number: SR-BatsBYX-2016-05
Date filed: April 13, 2016
Description:

The Exchange proposed a 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.

File number: SR-BatsBYX-2016-04
Date filed: April 8, 2016
Description:

The Exchange proposes to amend the Certificate of Incorporation of its ultimate parent company, Bats Global Markets, Inc.

File number: SR-BatsBYX-2016-03
Date filed: March 31, 2016
Description:

The Exchange proposes a 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.

File number: SR-BatsBYX-2016-01
Date filed: March 15, 2016
Description:

The Exchange proposes a rule change to adopt Exchange Rule 11.27 to implement the Regulation NMS Plan to implement a Tick Size Pilot Program.

File number: SR-BYX-2016-07
Date filed: February 26, 2016
Description:

The Exchange is filing a proposed a rule change to amend its rules as well as certain corporate documents of the Exchange to reflect a legal name change by BATS Global Markets, Inc. and the legal names of certain subsidiaries.

File number: SR-BYX-2016-04
Date filed: February 10, 2016
Description:

BATS Y-Exchange, Inc. proposes a rule change to Rule 11.13(b)(3)(H), Order Execution and Routing, to amend the operation of Non-Displayed Orders and Reserve Orders.

File number: SR-BYX-2016-03 Amendment No. 1
Date filed: April 11, 2016
Description:

The Exchange proposes an amendment to SR-BYX-2016-03.

File number: SR-BYX-2016-03
Date filed: February 16, 2016
Description:

BATS Y-Exchange, Inc. proposes a rule change to adopt an Early Trading Session and three New Time-in-Force instructions.

File number: SR-BYX-2016-02
Date filed: February 9, 2016
Description:

The Exchange proposes to amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc.

File number: SR-BYX-2016-01
Date filed: January 12, 2016
Description:

BATS Y-Exchange, Inc. proposes a rule change to Rule 11.24, Retail Price Improvement Program, to extend the pilot period.