Cboe Equities Exchanges 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

SR-BYX-2015-38
September 1, 2015
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

SR-BYX-2015-45
October 14, 2015
BATS Y-Exchange, Inc. propose to amend Rule 11.24, Retail Price Improvement Program.
SR-BYX-2015-44
October 2, 2015
BATS Y-Exchange, Inc.; proposes a rule change to adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems.
SR-BYX-2015-43
September 30, 2015
BATS Y-Exchange, Inc.; proposed a rule change to amend Rule 3.22, Gratuities.
SR-BYX-2015-42
September 24, 2015
BATS Y-Exchange, Inc. proposes to delete Rule 2.13, Fidelity Bonds.
SR-BYX-2015-41
September 23, 2015
BATS Y-Exchange, Inc. proposes to amend Rule 3.13, Payment Designed to Influence Market Prices, Other than Paid Advertising.
SR-BYX-2015-40
September 21, 2015
BATS Y-Exchange, Inc. proposes to restructure and amend Rule 11.17, Clearly Erroneous Executions.
SR-BYX-2015-37
August 18, 2015
BATS Y-Exchange, Inc. proposes to amend Rule 11.26 relating to the reactivation of NSX.
SR-BYX-2015-36
August 24, 2015
Proposal to adopt fees for a market data product known as BYX Book Viewer.
SR-BYX-2015-35
August 7, 2015
Proposal to amend Rule 11.22 to describe the market data product BYX Book Viewer.
SR-BYX-2015-34
August 3, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-33
July 21, 2015
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.
SR-BYX-2015-32
July 6, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-30
July 1, 2015
BATS Y-Exchange, Inc. proposes to amend the market data section of its fee schedule.
SR-BYX-2015-29
June 16, 2015
BATS Y-Exchange proposes to amend Rule 11.9 to modify its Price Adjust functionality.
SR-BYX-2015-28
June 9, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-26
May 27, 2015
BATS Y-Exchange, Inc. proposes to adopt Rule 13.8 describing a communication and routing service known as BATS Connect.
SR-BYX-2015-25-Amendment-No-1
May 15, 2015
Amendment to SR-BYX-2015-25.
SR-BYX-2015-25
May 5, 2015
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.
SR-BYX-2015-24
May 1, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-23
April 1, 2015
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.
SR-BYX-2015-22
April 1, 2015
Proposal to amend the content of the BATS One Feed under Rule 11.22(i) to include consolidated volume for all listed equity securities
SR-BYX-2015-21
April 1, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-20
March 26, 2015
BATS Y-Exchange, Inc. proposes to amend Rule 4.3, Record of Written Complaints.
SR-BYX-2015-19
March 17, 2015
BATS Y-Exchange, Inc. proposed to amend the fees for the BATS One Market Data Product.
SR-BYX-2015-18
March 17, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-14
February 23, 2015
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.
SR-BYX-2015-13
March 3, 2015
BATS Y-Exchange, Inc. proposes to adopt Rule 12.14, Front Running of Block Transactions.
SR-BYX-2015-12
February 18, 2015
BATS Y-Exchange proposes to amend Rule 11.22 to update the names of certain market data products.
SR-BYX-2015-11
February 12, 2015
BATS Y-Exchange, Inc. proposes to eliminate 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
SR-BYX-2015-10
February 5, 2015
BATS Y-Exchange, Inc. proposes to amend Rule 8.15 entitled Imposition of Fines for Minor Violation(s) of Rules.
SR-BYX-2015-09
February 3, 2015
BATS Y-Exchange, Inc. proposes to establish fees for the BATS One Feed, and amend fees for BYX Top and BYX Last Sale.
SR-BYX-2015-08
February 2, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.
SR-BYX-2015-07
January 30, 2015
BATS Y-Exchange, Inc. proposes to amend rules 11.9, 11.12 and 11.13.
SR-BYX-2015-06
January 22, 2015
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.
SR-BYX-2015-05
January 16, 2015
BATS Y-Exchange proposes to extend the pilot period for its Retail Price Improvement (RPI) Program to expire on January 31, 2016.
SR-BYX-2015-04
January 14, 2015
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.
SR-BYX-2015-03
January 7, 2015
BATS Y-Exchange, Inc. proposed to clarify the use of certain data feeds.
SR-BYX-2015-01
January 2, 2015
Amendments to the fee schedule of BATS Y-Exchange, Inc.