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.
The Exchange proposes to amend Exchange Rule 11.25(e) to allow Users to utilize the Exchange’s Match Trade Prevention functionality when entering Periodic Auction Orders onto the Exchange for execution.
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.
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.
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.
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.
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.
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.
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
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.
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.
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.
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.
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.
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.
