Regulation - BZX

Rule Filings for 2011

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-2013-024
  • 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-2011-053
  • Date filed:December 30, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-051
  • Date filed:December 16, 2011
  • Description:

    BATS is proposing to implement a Competitive Liquidity Provider program to incent competitive and aggressive quoting by market makers registered with the Exchange.

  • File number: SR-BATS-2011-050
  • Date filed:December 2, 2011
  • Description:

    BATS Options proposal to extend the Penny Pilot Program through June 30, 2012.

  • File number: SR-BATS-2011-049
  • Date filed:November 30, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-048
  • Date filed:November 22, 2011
  • Description:

    BATS is proposing to modify Rule 11.18 to exclude rights and warrants from the single stock circuit breaker rule.

  • File number: SR-BATS-2011-047
  • Date filed:November 22, 2011
  • Description:

    BATS is proposing to amend Rule 14.1 to include exchange traded products as Tier I securities.

  • File number: SR-BATS-2011-046
  • Date filed:November 1, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-045
  • Date filed:October 25, 2011
  • Description:

    BATS is proposing to modify the market opening procedures for BATS Options.

  • File number: SR-BATS-2011-044
  • Date filed:September 30, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-043
  • Date filed:September 30, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-042
  • Date filed:September 30, 2011
  • Description:

    Proposal to establish a revenue sharing program with Correlix, Inc.

  • File number: SR-BATS-2011-041
  • Date filed:September 29, 2011
  • Description:

    Proposal to adopt a professional customer designation for BATS Options.

  • File number: SR-BATS-2011-040
  • Date filed:September 29, 2011
  • Description:

    Proposal to extend a pilot program related to BATS Trading, Inc.'s status as inbound router.

  • File number: SR-BATS-2011-038
  • Date filed:September 27, 2011
  • Description:

    BATS is proposing to modify BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility).

  • File number: SR-BATS-2011-037
  • Date filed:September 19, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-036
  • Date filed:September 16, 2011
  • Description:

    BATS is proposing to amend Rule 13.3 (Forwarding of Issuer Materials).

  • File number: SR-BATS-2011-035
  • Date filed:September 7, 2011
  • Description:

    BATS is proposing to amend the Bylaws of BATS Global Markets, Inc.

  • File number: SR-BATS-2011-034
  • Date filed:September 2, 2011
  • Description:

    BATS is proposing to extend the availability of its bulk-quoting interface to all Users of BATS Options.

  • File number: SR-BATS-2011-033
  • Date filed:August 29, 2011
  • Description:

    BATS is proposing to amend the Certificate of Incorporation of BATS Global Markets, Inc.

  • File number: SR-BATS-2011-032
  • Date filed:August 19, 2011
  • Description:

    BATS is proposing to adopt rules governing auctions conducted on the Exchange for securities listed on the Exchange.

  • File number: SR-BATS-2011-029
  • Date filed:August 9, 2011
  • Description:

    BATS is proposing to offer bulk-quoting functionality for BATS Options.

  • File number: SR-BATS-2011-028
  • Date filed:August 8, 2011
  • Description:

    BATS is proposing to modify a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

  • File number: SR-BATS-2011-027
  • Date filed:August 8, 2011
  • 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-2011-026
  • Date filed:August 8, 2011
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

  • File number: SR-BATS-2011-025
  • Date filed:July 29, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-024
  • Date filed:July 29, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-023
  • Date filed:July 22, 2011
  • Description:

    BATS Options is proposing to eliminate its directed order program.

  • File number: SR-BATS-2011-022
  • Date filed:July 13, 2011
  • Description:

    BATS Options is proposing to expand the Short Term Option Series Program so that BATS Options may select fifteen option classes on which Short Term Option Series may be opened.

  • File number: SR-BATS-2011-021
  • Date filed:July 12, 2011
  • Description:

    BATS is proposing to amend Rules 11.13 and 21.9 to make certain changes consistent with the upcoming implementation of the Market Access Rule.

  • File number: SR-BATS-2011-020
  • Date filed:July 5, 2011
  • Description:

    BATS is proposing to extend the availability of the TCP FAST PITCH data feed until August 1, 2011.

  • File number: SR-BATS-2011-019
  • Date filed:July 1, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-018
  • Date filed:May 12, 2011
  • Description:

    BATS is proposing to adopt rules for the qualification, listing and delisting of companies on the Exchange.

  • File number: SR-BATS-2011-017
  • Date filed:May 5, 2011
  • Description:

    Proposal related to data feeds provided by the Exchange free of charge, including proposal to offer a Latency Monitoring feed.

  • File number: SR-BATS-2011-016 Amendment 1
  • Date filed:June 20, 2011
  • Description:

    BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).

  • File number: SR-BATS-2011-016
  • Date filed:May 4, 2011
  • Description:

    BATS is proposing to expand a pilot program related to BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) and to make corresponding changes to market maker quotation requirements under Rule 11.8 (Obligations of Market Makers).

  • File number: SR-BATS-2011-015
  • Date filed:May 9, 2011
  • Description:

    BATS is proposing changes to Rules 11.9 and 11.13 to modify BATS order handling procedures in certain specific circumstances involving non-displayed orders and orders subject to price sliding.

  • File number: SR-BATS-2011-013
  • Date filed:April 28, 2011
  • Description:

    BATS Options is proposing to allow certain products to trade until 4:15 p.m. Eastern Time.

  • File number: SR-BATS-2011-012
  • Date filed:April 1, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-011
  • Date filed:April 1, 2011
  • 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-2011-010
  • Date filed:April 1, 2011
  • Description:

    BATS is proposing to extend a pilot program related to BATS Rule 11.17 (Clearly Erroneous Executions).

  • File number: SR-BATS-2011-009
  • Date filed:March 16, 2011
  • Description:

    BATS is proposing to create a directed order program for BATS Options.

  • File number: SR-BATS-2011-008
  • Date filed:March 1, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-007
  • Date filed:February 18, 2011
  • Description:

    BATS is proposing to adopt new Rule 11.21 to require Members to identify each order accurately as a Principal, Agency, or Riskless Principal Order.

  • File number: SR-BATS-2011-005
  • Date filed:February 14, 2011
  • Description:

    BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the description of the SLIM routing strategy.

  • File number: SR-BATS-2011-004
  • Date filed:January 31, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2011-003
  • Date filed:January 28, 2011
  • Description:

    BATS Options proposal to adopt a $5 Strike Program.

  • File number: SR-BATS-2011-002
  • Date filed:January 14, 2011
  • Description:

    BATS is proposing to amend Rules 11.9, 11.13, and 11.19 to make certain changes consistent with the upcoming implementation of amendments to Regulation SHO.

  • File number: SR-BATS-2011-001
  • Date filed:January 4, 2011
  • Description:

    Amendments to fee schedule of BATS Exchange.

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