Cboe BYX U.S. Equities Exchange 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-BYX-2015-38
Date filed: September 1, 2015
Description:

BATS Y-Exchange, Inc. proposes a Rule Change to amend Rules 1.5(r) and 11.1 and adopt New Rule 11.1(a)(1).

Approved and Immediately Effective Rule Changes

File number: SR-BYX-2015-45
Date filed: October 14, 2015
Description:

BATS Y-Exchange, Inc. propose to amend Rule 11.24, Retail Price Improvement Program.

File number: SR-BYX-2015-44
Date filed: October 2, 2015
Description:

BATS Y-Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.

File number: SR-BYX-2015-43
Date filed: September 30, 2015
Description:

BATS Y-Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.

File number: SR-BYX-2015-42
Date filed: September 24, 2015
Description:

BATS Y-Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.

File number: SR-BYX-2015-41
Date filed: September 23, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.

File number: SR-BYX-2015-40
Date filed: September 21, 2015
Description:

BATS Y-Exchange, Inc. proposes to restructure and amend Rule 11.17, Clearly Erroneous Executions.

File number: SR-BYX-2015-37
Date filed: August 18, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.

File number: SR-BYX-2015-36
Date filed: August 24, 2015
Description:

Proposal to adopt fees for a market data product known as BYX Book Viewer.

File number: SR-BYX-2015-35
Date filed: August 7, 2015
Description:

Proposal to amend Rule 11.22 to describe the market data product BYX Book Viewer.

File number: SR-BYX-2015-34
Date filed: August 3, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-33
Date filed: July 21, 2015
Description:

BATS Y-Exchange proposes to amend Rule 11.13, Order Execution and Routing, to delete references to the ROOC routing option and update routing options IOCM and ICMT.

File number: SR-BYX-2015-32
Date filed: July 6, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-30
Date filed: July 1, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend the market data section of its fee schedule.

File number: SR-BYX-2015-29
Date filed: June 16, 2015
Description:

BATS Y-Exchange proposes to amend Rule 11.9 to modify its Price Adjust functionality.

File number: SR-BYX-2015-28
Date filed: June 9, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-26
Date filed: May 27, 2015
Description:

BATS Y-Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.

File number: SR-BYX-2015-25-Amendment-No-1
Date filed: May 15, 2015
Description:

Amendment to SR-BYX-2015-25.

File number: SR-BYX-2015-25
Date filed: May 5, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 11.2 to state that the Exchange will not designate for trading any security admitted to unlisted trading privileges on the Exchange unless that security satisfies certain liquidity requirements.

File number: SR-BYX-2015-24
Date filed: May 1, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-23
Date filed: April 1, 2015
Description:

Proposal to: (i) amend Rule 3.5, Advertising Practices; and (ii) repeal Rule 3.20, Initial or Partial Payments to conform with the comparable FINRA rules.

File number: SR-BYX-2015-22
Date filed: April 1, 2015
Description:

Proposal to amend the content of the BATS One Feed under Rule 11.22(i) to include consolidated volume for all listed equity securities

File number: SR-BYX-2015-21
Date filed: April 1, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-20
Date filed: March 26, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.

File number: SR-BYX-2015-19
Date filed: March 17, 2015
Description:

BATS Y-Exchange, Inc. proposed to amend the fees for the BATS One Market Data Product.

File number: SR-BYX-2015-18
Date filed: March 17, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-14
Date filed: February 23, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 11.13, Order Execution, to delete references to the ROLF routing option, which routed order to LavaFlow ECN.

File number: SR-BYX-2015-13
Date filed: March 3, 2015
Description:

BATS Y-Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.

File number: SR-BYX-2015-12
Date filed: February 18, 2015
Description:

BATS Y-Exchange proposes to amend Rule 11.22 to update the names of certain market data products.

File number: SR-BYX-2015-11
Date filed: February 12, 2015
Description:

BATS Y-Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."

File number: SR-BYX-2015-10
Date filed: February 5, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.

File number: SR-BYX-2015-09
Date filed: February 3, 2015
Description:

BATS Y-Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BYX Top and BYX Last Sale.

File number: SR-BYX-2015-08
Date filed: February 2, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.

File number: SR-BYX-2015-07
Date filed: January 30, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.

File number: SR-BYX-2015-06
Date filed: January 22, 2015
Description:

BATS Y-Exchange, Inc. proposes 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.

File number: SR-BYX-2015-05
Date filed: January 16, 2015
Description:

BATS Y-Exchange proposes to extend the pilot period for its Retail Price Improvement (RPI) Program to expire on January 31, 2016.

File number: SR-BYX-2015-04
Date filed: January 14, 2015
Description:

BATS Y-Exchange, Inc. proposes to amend Chapter IX of its rulebook to incorporate certain rules of NASDAQ and FINRA relating to arbitration and mediation.

File number: SR-BYX-2015-03
Date filed: January 7, 2015
Description:

BATS Y-Exchange, Inc. proposed to clarify the use of certain data feeds.

File number: SR-BYX-2015-01
Date filed: January 2, 2015
Description:

Amendments to the fee schedule of BATS Y-Exchange, Inc.