Regulation - OPT

Rule Filings for 2013

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-BATS-2013-029
  • Date filed:May 21, 2013
  • Description:

    BATS is proposing to modify BATS listing rules to permit the listing of additional exchange traded products on the Exchange.

  • File number: SR-BATS-2013-028
  • Date filed:May 21, 2013
  • Description:

    BATS is proposing to modify the Competitive Liquidity Provider Program.

  • File number: SR-BATS-2013-027
  • Date filed:May 21, 2013
  • Description:

    BATS is proposing to offer a new means of connecting to the Exchange via physical connections in data centers other than the data centers where the Exchanges servers are located.

  • File number: SR-BATS-2013-024
  • Date filed:April 29, 2013
  • Description:

    Proposal to amend the Bylaws of BATS Exchange, Inc.

Approved and Immediately Effective Rule Changes:

  • File number: SR-BATS-2013-026
  • Date filed:May 7, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-025
  • Date filed:May 1, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-023
  • Date filed:April 10, 2013
  • Description:

    BATS Options is proposing to adopt a market order collar.

  • File number: SR-BATS-2013-022
  • Date filed:March 22, 2013
  • Description:

    BATS is proposing to amend the functionality of the Market Maker Peg Order.

  • File number: SR-BATS-2013-021
  • Date filed:March 18, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-020
  • Date filed:March 18, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-019
  • Date filed:March 15, 2013
  • Description:

    BATS Options is proposing to permit the minimum trading increment for Mini Options to be the same as the minimum trading increment permitted for standard options on the same underlying security.

  • File number: SR-BATS-2013-018
  • Date filed:March 13, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-017
  • Date filed:March 1, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-016
  • Date filed:March 1, 2013
  • Description:

    BATS Options is proposing to suspend options market maker obligations in certain circumstances in connection with the Limit Up-Limit Down Plan.

  • File number: SR-BATS-2013-015
  • Date filed:February 28, 2013
  • Description:

    BATS is proposing to modify Rule 11.18 in connection with the upcoming operation of the Limit Up-Limit Down Plan.

  • File number: SR-BATS-2013-014
  • Date filed:February 27, 2013
  • Description:

    Proposal to reject Market Orders received by BATS Options when the underlying security is subject to a Limit or Straddle State under the Limit Up-Limit Down Plan.

  • File number: SR-BATS-2013-013
  • Date filed:February 20, 2013
  • Description:

    BATS Options is proposing to list and trade option contracts overlying 10 shares of a security (Mini Options).

  • File number: SR-BATS-2013-012
  • Date filed:February 11, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2013-010
  • Date filed:January 30, 2013
  • Description:

    BATS is proposing to delay the operative date of changes to the market wide circuit breaker.

  • File number: SR-BATS-2013-009
  • Date filed:January 30, 2013
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

  • File number: SR-BATS-2013-008
  • Date filed:January 30, 2013
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions) and to adopt a new provision in connection with Limit Up-Limit Down.

  • File number: SR-BATS-2013-007
  • Date filed:January 25, 2013
  • Description:

    BATS is proposing to modify Rules 11.9 and 21.1.

  • File number: SR-BATS-2013-006
  • Date filed:January 23, 2013
  • Description:

    BATS is proposing to add $0.50 strikes to the Short Term Option Series (STOS) Program and to expand the STOS Program.

  • File number: SR-BATS-2013-005
  • Date filed:January 18, 2013
  • Description:

    BATS is proposing to amend its Competitive Liquidity Provider program.

  • File number: SR-BATS-2013-003
  • Date filed:January 18, 2013
  • Description:

    BATS is proposing to eliminate the Discretionary Order order type for BATS Options.

  • File number: SR-BATS-2013-002
  • Date filed:January 7, 2013
  • Description:

    Amendments to fee schedule of BATS Exchange.

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