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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
Fourth Quarter | Third Quarter | Second Quarter | First Quarter
BYX File Number List for 2012
Additional Archives
2012 | 2011 | 2010
| Release No. |
Date |
Details |
| Fourth Quarter |
SR-BYX-2012-019 |
| 34-68049 |
Oct. 12 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a Retail Price Improvement Program
See also: Notice: Rel. No. 34-67734
|
SR-BYX-2012-021 |
| 34-68027 |
Oct. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
 Submit comments on SR-BYX-2012-021
|
| Third Quarter |
SR-BYX-2012-020 |
| 34-67853 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 10, 2012
Submit comments on SR-BYX-2012-020
|
SR-BYX-2012-012 |
| 34-67755 |
Aug. 29, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
See also: Notice: Rel. No. 34-67382
|
SR-BYX-2012-019 |
| 34-67734 |
Aug. 27, 2012 |
Notice of Filing of Proposed Rule Change to Adopt a Retail Price Improvement Program
Comments due: September 21, 2012
See also: Notice: Rel. No. 34-68049
Comments received are available for this proposal.
Submit comments on SR-BYX-2012-019
|
SR-BYX-2012-018 |
| 34-67656 |
Aug. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rules Related to Price Sliding Functionality
Comments due: September 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-BYX-2012-018
|
SR-BYX-2012-017 |
| 34-67622 |
Aug 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: September 4, 2012
|
SR-BYX-2012-015 |
| 34-67522 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: August 23, 2012
|
SR-BYX-2012-016 |
| 34-67521 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due: August 23, 2012
|
SR-BYX-2012-014 |
| 34-67476 |
Jul. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rules Related to Telemarketing
Comments due: August 16, 2012
Additional Materials: Exhibit 5
|
SR-BYX-2012-013 |
| 34-67422 |
Jul. 12, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: August 8, 2012
|
SR-BYX-2012-012 |
| 34-67382 |
Jul. 10, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due: August 6, 2012
See also: Order: Rel. No. 34-67755
|
| Second Quarter |
SR-BYX-2012-011 |
| 34-67274 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.13, entitled "Order Execution"
Comments due: July 24, 2012
|
SR-BYX-2012-010 |
| 34-67133 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due: July 2, 2012
|
SR-BYX-2012-009 |
| 34-67092 |
Jun. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BYX Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality
Comments due: June 28, 2012
Additional Materials: Exhibit 5
|
SR-BYX-2011-025 |
| 34-67090 |
May 31, 2012 |
Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due: June 27, 2012
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65429
|
SR-BYX-2012-008 |
| 34-66890 |
May 1, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.9 to Allow Optional Attribution of Orders
Comments due: May 29, 2012
|
SR-BYX-2012-006 |
| 34-66807 |
Apr. 13, 2012 |
Order Approving a Proposed Rule Change to Amend BATS Y-Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program that Permits BATS Y-Exchange, Inc. to Receive Inbound Routes of Equities Orders through BATS Trading, Inc., BATS Y-Exchange’s Routing Broker-Dealer, from BATS Exchange, Inc.
See also: Notice: Rel. No. 34-66572
|
SR-BYX-2012-007 |
| 34-66722 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of BATS Global Markets, Inc.
Comments due: April 27, 2012
Additional Materials: Exhibit 5
|
| First Quarter |
SR-BYX-2011-025 |
| 34-66680 |
Mar. 29, 2012 |
Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.: SR-BATS-2011-038, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65429
|
SR-BYX-2012-006 |
| 34-66572 |
Mar. 12, 2012 |
Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router"
Comments due: April 4, 2012
See also: Order: Rel. No. 34-66807
|
SR-BYX-2012-005 |
| 34-66326 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: March 2, 2012
|
SR-BYX-2012-004 |
| 34-66325 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Reference to an Additional Variation of an Existing Routing Strategy
Comments due: March 5, 2012
|
SR-BYX-2012-001 |
| 34-66189 |
Jan. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: February 15, 2012
|
SR-BYX-2012-002 |
| 34-66187 |
Jan. 19, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due: February 15, 2012
|
| BYX File Number List for 2012 |
| Release No. |
Date |
Details |
SR-BYX-2012-021 |
| 34-68027 |
Oct. 10, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-BYX-2012-021
|
SR-BYX-2012-020 |
| 34-67853 |
Sep. 13, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: October 10, 2012
Submit comments on SR-BYX-2012-020
|
SR-BYX-2012-019 |
| 34-68049 |
Oct. 12 2012 |
Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt a Retail Price Improvement Program
|
| 34-67734 |
Aug. 27, 2012 |
Notice of Filing of Proposed Rule Change to Adopt a Retail Price Improvement Program
Comments due: September 21, 2012
Comments received are available for this proposal.
Submit comments on SR-BYX-2012-019
|
SR-BYX-2012-018 |
| 34-67656 |
Aug. 14, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rules Related to Price Sliding Functionality
Comments due: September 10, 2012
Additional Materials: Exhibit 5
Submit comments on SR-BYX-2012-018
|
SR-BYX-2012-017 |
| 34-67622 |
Aug 8, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: September 4, 2012
|
SR-BYX-2012-016 |
| 34-67521 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due: August 23, 2012
|
SR-BYX-2012-015 |
| 34-67522 |
Jul. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: August 23, 2012
|
SR-BYX-2012-014 |
| 34-67476 |
Jul. 20, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rules Related to Telemarketing
Comments due: August 16, 2012
Additional Materials: Exhibit 5
|
SR-BYX-2012-013 |
| 34-67422 |
Jul. 12, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: August 8, 2012
|
SR-BYX-2012-012 |
| 34-67755 |
Aug. 29, 2012 |
Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
|
| 34-67382 |
Ju1. 10, 2012 |
Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due: August 6, 2012
|
SR-BYX-2012-011 |
| 34-67274 |
Jun. 27, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.13, entitled "Order Execution"
Comments due: July 24, 2012
|
SR-BYX-2012-010 |
| 34-67133 |
Jun. 5, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due: July 2, 2012
|
SR-BYX-2012-009 |
| 34-67092 |
Jun. 1, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BYX Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality
Comments due: June 28, 2012
Additional Materials: Exhibit 5
|
SR-BYX-2012-008 |
| 34-66890 |
May 1, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.9 to Allow Optional Attribution of Orders
Comments due: May 29, 2012
|
SR-BYX-2012-007 |
| 34-66722 |
Apr. 3, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of BATS Global Markets, Inc.
Comments due: April 27, 2012
Additional Materials: Exhibit 5
|
SR-BYX-2012-006 |
| 34-66807 |
Apr. 13, 2012 |
Order Approving a Proposed Rule Change to Amend BATS Y-Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program that Permits BATS Y-Exchange, Inc. to Receive Inbound Routes of Equities Orders through BATS Trading, Inc., BATS Y-Exchange’s Routing Broker-Dealer, from BATS Exchange, Inc.
|
| 34-66572 |
Mar. 12, 2012 |
Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. to Amend BYX Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router"
Comments due: April 4, 2012
|
SR-BYX-2012-005 |
| 34-66326 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.
Comments due: March 2, 2012
|
SR-BYX-2012-004 |
| 34-66325 |
Feb. 6, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Reference to an Additional Variation of an Existing Routing Strategy
Comments due: March 5, 2012
|
SR-BYX-2012-002 |
| 34-66187 |
Jan. 19, 2012 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due: February 15, 2012
|
SR-BYX-2012-001 |
| 34-66189 |
Jan. 19, 2012 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: February 15, 2012
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http://www.sec.gov/rules/sro/byx.shtml
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