Other Rule Filings Incorporated by Reference
BATS Exchange, Inc. ("BZX") and BATS Y-Exchange, Inc. ("BYX" and together with BZX as "BATS") have incorporated certain rules by reference from other self-regulatory organization ("SRO") rulebooks. As such, BATS will periodically provide updates where applicable when there are new proposals or approvals to amend these incorporated rules by the other SROs. The 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 descriptions of BATS rules incorporated by reference from other SROs, along with any current proposals/approvals filed by the SROs.
FINRA Rule Filings to Amend FINRA Rule 2220 - Options Communications
Pursuant to BZX Rule 26.16:
- Options Members and associated persons of Options Members shall be bound to comply with the Communications with Public Customers rule of FINRA, as applicable, as though said rules were part of these Rules.
As a result of BZX Rule 26.16, changes to FINRA Rule 2220 could have an impact on a BATS member's compliance with the rule. Accordingly, below are links to pending FINRA rule filings with the SEC seeking to amend FINRA Rule 2220 as well as any SEC orders approving or disapproving those FINRA rule filings.