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.
|Date filed:||January 30, 2017|
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.
|Date filed:||February 2, 2017|
The Exchange proposes a rule change related to fees.