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

File number: SR-BatsBYX-2017-19
Date filed: August 11, 2017
Description:

The Exchange proposes a rule change to harmonize the governance framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated.

File number: SR-BatsBYX-2017-13
Date filed: May 23, 2017
Description:

The Exchange proposes to adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution, to establish the procedures for resolving potential disputes related to CAT Fees charged to Industry Members.

Approved and Immediately Effective Rule Changes

File number: SR-BatsBYX-2017-18
Date filed: August 8, 2017
Description:

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

File number: SR-BatsBYX-2017-17
Date filed: July 31, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-16
Date filed: July 24, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-15
Date filed: June 9, 2017
Description:

The Exchange proposes a change related to fees.

File number: SR-BatsBYX-2017-12
Date filed: May 8, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-11
Date filed: May 16, 2017
Description:

The Exchange proposes to amend fees to establish the fees for Industry Members related to the National Market System Plan Governing the Consolidated Audit Trail.

File number: SR-BatsBYX-2017-10
Date filed: May 4, 2017
Description:

The Exchange proposes a change to 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.

File number: SR-BatsBYX-2017-07
Date filed: April 24, 2017
Description:

The Exchange proposes a rule change to rule 11.15 of Bats BYX Exchange, Inc. to authorize the Exchange to share a users risk settings with the clearing member that clears transactions on behalf of the user.

File number: SR-BatsBYX-2017-06
Date filed: March 31, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-05
Date filed: February 28, 2017
Description:

The Exchange filed a proposal to amend Rule11.27 to modify the date of Appendix B website data publication pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program.

File number: SR-BatsBYX-2017-04
Date filed: February 2, 2017
Description:

The Exchange proposes a rule change related to fees.

File number: SR-BatsBYX-2017-02
Date filed: January 30, 2017
Description:

The Exchange proposes a 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.