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This document outlines a proposed rule change by BATS Y-Exchange, Inc. to amend its order routing strategy rules, specifically introducing a variation of the TRIM routing strategy, and provides information
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How to fill out Proposed Rule Change by BATS Y-Exchange, Inc.
01
Review the BATS Y-Exchange, Inc. rules and regulations to ensure compliance.
02
Draft the proposed rule change document, clearly outlining the changes being suggested.
03
Provide a rationale for the proposed changes, including potential benefits and impacts.
04
Ensure all required fields are completed as specified in the filing instructions.
05
Include any relevant supporting data or documentation that substantiates the proposed changes.
06
Submit the proposed rule change to the appropriate regulatory body for review.
07
Respond to any feedback or requests for additional information from the regulatory body.
08
Ensure the proposed rule change is accessible for public comment and make necessary adjustments based on feedback.
Who needs Proposed Rule Change by BATS Y-Exchange, Inc.?
01
Exchange members who need to adapt to updated trading protocols or regulations.
02
Market participants who are affected by changes in market operations.
03
Regulatory authorities monitoring compliance with trading rules.
04
Legal and compliance teams within firms that operate on the exchange.
05
Investors who may benefit from more transparent and efficient market conditions.
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What is Proposed Rule Change by BATS Y-Exchange, Inc.?
The Proposed Rule Change by BATS Y-Exchange, Inc. refers to amendments or modifications to the exchange's rules that must be filed with the Securities and Exchange Commission (SEC) for approval. These changes may pertain to trading practices, operational procedures, or other regulatory updates.
Who is required to file Proposed Rule Change by BATS Y-Exchange, Inc.?
The BATS Y-Exchange, Inc. itself is required to file the Proposed Rule Change. This may include submissions from the exchange's management or relevant committees that oversee regulatory compliance.
How to fill out Proposed Rule Change by BATS Y-Exchange, Inc.?
To fill out a Proposed Rule Change, BATS Y-Exchange must complete the SEC's standardized forms, providing detailed descriptions of the proposed changes, the rationale behind them, and supporting data or analysis as needed.
What is the purpose of Proposed Rule Change by BATS Y-Exchange, Inc.?
The purpose of a Proposed Rule Change is to ensure that the exchange's rules remain effective, competitive, and compliant with federal regulations, ultimately enhancing market integrity and investor protection.
What information must be reported on Proposed Rule Change by BATS Y-Exchange, Inc.?
The information that must be reported includes the specific rule changes proposed, the reasons for the changes, any anticipated effects on the marketplace, and any pertinent legal or compliance considerations.
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