Regulation - BZX

Rule Filings for 2012

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-2014-040
  • Date filed:August 29, 2014
  • Description:

    BATS Exchange, Inc. proposed to amend Rule 21.7 entitled Market Opening Procedures.

  • File number: SR-BATS-2014-038
  • Date filed:August 26, 2014
  • Description:

    Proposal to amend Rules 11.9 for BATS Equities and 21.1 for BATS Options.

  • File number: SR-BATS-2014-037
  • Date filed:August 21, 2014
  • Description:

    BATS is add Rule 11.24, entitled Opening Process for Non-BATS-Listed Securities, and to make corresponding changes in order to modify the manner in which the Exchange opens trading for non-listed securities at the beginning of the day and after trading halts.

  • File number: SR-BATS-2014-028
  • Date filed:July 14, 2014
  • Description:

    BATS Exchange, Inc. proposes to establish a new market data product called the BATS One Feed.

  • File number: SR-BATS-2014-026
  • Date filed:July 3, 2014
  • Description:

    BATS is proposing to list and trade shares of certain funds of the Alpha Architect ETF Trust under BATS Rule 14.11(i), entitled Managed Fund Shares.

  • File number: SR-BATS-2014-018
  • Date filed:August 4, 2014
  • Description:

    BATS is proposing to adopt Rule 14.11(k) to permit listing of Managed Portfolio Shares and to list and trade shares of certain funds of the Spruce ETF Trust.

Approved and Immediately Effective Rule Changes:

  • File number: SR-BATS-2012-048
  • Date filed:December 11, 2012
  • Description:

    BATS Options proposal to extend the Penny Pilot Program through June 30, 2013.

  • File number: SR-BATS-2012-046
  • Date filed:December 6, 2012
  • Description:

    BATS is proposing to modify BATS Rule 11.23 governing auctions conducted for equity securities listed on the Exchange.

  • File number: SR-BATS-2012-045
  • Date filed:November 19, 2012
  • Description:

    BATS is proposing to expand the availability of an Exchange Risk Management Tool.

  • File number: SR-BATS-2012-044
  • Date filed:November 5, 2012
  • Description:

    BATS is proposing to amend Rule 14.11, entitled Other Securities, to adopt new criteria for certain securities to be listed on the Exchange as Trust Issued Receipts. BATS is also proposing to list and trade shares of the following funds: ProShares Managed Futures Strategy, ProShares Commodity Managed Futures Strategy, and ProShares Financial Managed Futures Strategy.

  • File number: SR-BATS-2012-043
  • Date filed:November 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-042
  • Date filed:October 12, 2012
  • Description:

    BATS is proposing to list and trade shares of the iShares Sovereign Screened Global Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.

  • File number: SR-BATS-2012-041
  • Date filed:October 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-040
  • Date filed:September 28, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-039
  • Date filed:September 25, 2012
  • Description:

    BATS is proposing to amend Rule 14.10, entitled Corporate Governance Requirements, in accordance with Section 952 of the Dodd-Frank Act.

  • File number: SR-BATS-2012-038
  • Date filed:September 10, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-037
  • Date filed:August 31, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-036
  • Date filed:August 31, 2012
  • Description:

    BATS is proposing to modify incentives in connection with its Competitive Liquidity Provider program.

  • File number: SR-BATS-2012-035
  • Date filed:August 3, 2012
  • Description:

    BATS is proposing to modify the operation of price sliding functionality.

  • File number: SR-BATS-2012-034
  • Date filed:August 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-033
  • Date filed:July 27, 2012
  • Description:

    BATS is proposing to list and trade shares of the iShares Ultrashort Duration Bond Fund under BATS Rule 14.11(i), entitled Managed Fund Shares.

  • File number: SR-BATS-2012-032
  • Date filed:July 24, 2012
  • Description:

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

  • File number: SR-BATS-2012-031
  • Date filed:July 24, 2012
  • 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-2012-030
  • Date filed:July 20, 2012
  • Description:

    BATS is proposing to amend Rule 14.11 to modify the criteria for certain securities listed on BATS Exchange as Index Fund Shares.

  • File number: SR-BATS-2012-029
  • Date filed:July 16, 2012
  • Description:

    BATS Options proposal to amend Rule 20.6, entitled Obvious Error.

  • File number: SR-BATS-2012-028
  • Date filed:July 6, 2012
  • Description:

    BATS is proposing to adopt Rule 3.23 related to Telemarketing.

  • File number: SR-BATS-2012-027
  • Date filed:July 2, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-026
  • Date filed:June 26, 2012
  • Description:

    BATS is proposing to adopt a market maker peg order.

  • File number: SR-BATS-2012-025
  • Date filed:June 19, 2012
  • Description:

    BATS Options proposal to extend the Penny Pilot Program through December 31, 2012.

  • File number: SR-BATS-2012-024
  • Date filed:June 15, 2012
  • Description:

    BATS is proposing to modify system functionality when the consolidated market is crossed as well as the handling of certain orders that have been routed away.

  • File number: SR-BATS-2012-023
  • Date filed:June 15, 2012
  • Description:

    BATS is proposing to adopt additional listing requirements for Reverse Merger companies.

  • File number: SR-BATS-2012-022
  • Date filed:June 5, 2012
  • Description:

    Proposal to temporarily suspend the requirements of Rule 2.6 in connection with the membership of Apex Clearing.

  • File number: SR-BATS-2012-021
  • Date filed:June 1, 2012
  • Description:

    BATS is proposing to adopt Rule 21.16, entitled Risk Monitor Mechanism, to codify the risk monitoring functionality offered to Users of BATS Options.

  • File number: SR-BATS-2012-020
  • Date filed:May 31, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-019
  • Date filed:May 24, 2012
  • Description:

    BATS is proposing to amend BATS Rule 11.19, entitled Short Sales, in connection with the Exchange's status as the primary listing market for certain securities.

  • File number: SR-BATS-2012-018
  • Date filed:May 23, 2012
  • Description:

    BATS is proposing to amend BATS Rules 11.9 and 21.1 to modify the operation of BATS Post Only orders and to make an unrelated change to match trade prevention functionality.

  • File number: SR-BATS-2012-017
  • Date filed:May 11, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-016
  • Date filed:April 25, 2012
  • Description:

    BATS is proposing to modify BATS Rules 11.9 and 21.1 to allow optional attribution of orders submitted to the Exchange.

  • File number: SR-BATS-2012-015
  • Date filed:April 2, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-014
  • Date filed:March 19, 2012
  • Description:

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

  • File number: SR-BATS-2012-013
  • Date filed:March 8, 2012
  • Description:

    BATS is proposing to make permanent the rule related to BATS Trading, Inc.'s status as inbound router.

  • File number: SR-BATS-2012-012
  • Date filed:March 8, 2012
  • Description:

    BATS is proposing to amend Rule 14.3 to include additional requirements for the listing of securities that are issued by the Exchange or any of its affiliates.

  • File number: SR-BATS-2012-011
  • Date filed:February 8, 2012
  • Description:

    BATS is proposing to adopt incentives in connection with its Competitive Liquidity Provider program.

  • File number: SR-BATS-2012-010
  • Date filed:February 8, 2012
  • Description:

    BATS is proposing to amend the fees applicable to securities listed on the Exchange.

  • File number: SR-BATS-2012-009
  • Date filed:February 3, 2012
  • Description:

    BATS is proposing to allow certain Opening Auction orders to participate in an IPO Auction on the Exchange.

  • File number: SR-BATS-2012-008
  • Date filed:February 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-007
  • Date filed:February 1, 2012
  • Description:

    BATS is proposing to add additional variations of the TRIM routing strategy.

  • File number: SR-BATS-2012-006
  • Date filed:February 1, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-004
  • Date filed:January 24, 2012
  • Description:

    BATS is proposing to list and trade shares of the iShares MSCI Denmark Capped Investable Market Index Fund as Index Fund Shares.

  • File number: SR-BATS-2012-003
  • Date filed:January 24, 2012
  • Description:

    Amendments to fee schedule of BATS Exchange.

  • File number: SR-BATS-2012-002
  • Date filed:January 6, 2012
  • Description:

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

  • File number: SR-BATS-2012-001
  • Date filed:January 6, 2012
  • Description:

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

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