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BATS Exchange, Inc. (BATS) Rulemaking
We encourage the public to submit comments on the following BATS Exchange, Inc. (BATS) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
Chronological List
Second Quarter | First Quarter
BATS File Number List for 2013
Additional Archives
2013 | 2012 | 2011 | 2010 | 2009 | 2008
| Release No. |
Date |
Details |
| Second Quarter |
SR-BATS-2013-034 |
| 34-69793 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
 Submit comments on SR-BATS-2013-034
|
SR-BATS-2013-030 |
| 34-69788 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-030
|
SR-BATS-2013-033 |
| 34-69777 |
Jun. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-BATS-2013-033
|
SR-BATS-2013-032 |
| 34-69748 |
Jun. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.11, Entitled "BATS Trading, Inc. as Outbound Router"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-032
|
SR-BATS-2013-026 |
| 34-69585 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 11, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-026
|
SR-BATS-2013-025 |
| 34-69546 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-025
|
SR-BATS-2013-024 |
| 34-69540 |
May 8, 2013 |
Notice of Filing of a Proposed Rule Change to Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-024
|
SR-BATS-2013-023 |
| 34-69387 |
Apr. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Market Order Collar for BATS Options
Comments due: May 14, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-023
|
SR-BATS-2013-016 |
| 34-69331 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
See also: Notice: Rel. No. 34-69038
|
SR-BATS-2013-022 |
| 34-69310 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify Market Maker Peg Order Functionality
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-022
|
| First Quarter |
SR-BATS-2013-020 |
| 34-69238 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-021 |
| 34-69237 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-018 |
| 34-69226 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 19, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-005 |
| 34-69190 |
Mar. 20, 2013 |
Order Approving Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
See also: Notice: Rel. No. 34-68789
|
SR-BATS-2013-019 |
| 34-69160 |
Mar. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Minimum Trading Increments for Mini Options
Comments due: April 12, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-019
|
SR-BATS-2013-014 |
| 34-69121 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operation of Market Orders for BATS Options
Comments due: April 8, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-015 |
| 34-69084 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan
Comments due: April 4, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-015
|
SR-BATS-2013-017 |
| 34-69079 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 4, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-016 |
| 34-69038 |
Mar. 5, 2013 |
Notice of Filing of a Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
Comments due: April 2, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69331
|
SR-BATS-2013-013 |
| 34-69018 |
Mar. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options
Comments due: March 29, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-012 |
| 34-68951 |
Feb. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 18, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-006 |
| 34-68865 |
Feb. 7, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Short Term Options Series Program
Comments due: March 6, 2013
|
SR-BATS-2013-009 |
| 34-68851 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-008 |
| 34-68797 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-007 |
| 34-68791 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to Price Sliding Functionality
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-010 |
| 34-68780 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013
|
SR-BATS-2013-005 |
| 34-68789 |
Jan. 31, 2013 |
Notice of Filing of Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
Comments due: February 27, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69190
|
SR-BATS-2012-046 |
| 34-68788 |
Jan. 31, 2013 |
Order Approving Proposed Rule Change to Modify BATS Rule 11.23 relating to Auctions of Exchange-Listed Securities
See also: Notice: Rel. No. 34-68442
|
SR-BATS-2013-003 |
| 34-68752 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of Discretionary Orders for BATS Options
Comments due: February 25, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-002 |
| 34-68659 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2012-039 |
| 34-68643 |
Jan. 11, 2013 |
Notice of Filing of Amendment Nos. 2 and 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68022
|
SR-BATS-2012-044 |
| 34-68619 |
Jan. 10, 2013 |
Order Granting Approval of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities," and to List and Trade Shares of Certain ProShares Products
See also: Notice: Rel. No. 34-68257
|
| BATS File Number List for 2012 |
| Release No. |
Date |
Details |
SR-BATS-2013-034 |
| 34-69793 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-034
|
SR-BATS-2013-033 |
| 34-69777 |
Jun. 17, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Submit comments on SR-BATS-2013-033
|
SR-BATS-2013-032 |
| 34-69748 |
Jun. 12, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.11, Entitled "BATS Trading, Inc. as Outbound Router"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-032
|
SR-BATS-2013-030 |
| 34-69788 |
Jun. 18, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-030
|
SR-BATS-2013-026 |
| 34-69585 |
May 15, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 11, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-026
|
SR-BATS-2013-025 |
| 34-69546 |
May 9, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-025
|
SR-BATS-2013-024 |
| 34-69540 |
May 8, 2013 |
Notice of Filing of a Proposed Rule Change to Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-024
|
SR-BATS-2013-023 |
| 34-69387 |
Apr. 17, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Market Order Collar for BATS Options
Comments due: May 14, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-023
|
SR-BATS-2013-022 |
| 34-69310 |
Apr. 4, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify Market Maker Peg Order Functionality
Comments due: May 1, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-022
|
SR-BATS-2013-021 |
| 34-69237 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-020 |
| 34-69238 |
Mar. 26, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-019 |
| 34-69160 |
Mar. 18, 2013 |
Notice of Filing of Proposed Rule Change to Amend the Minimum Trading Increments for Mini Options
Comments due: April 12, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-019
|
SR-BATS-2013-018 |
| 34-69226 |
Mar. 25, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 19, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-017 |
| 34-69079 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 4, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-016 |
| 34-69331 |
Apr. 5, 2013 |
Order Approving, on an Accelerated Basis, Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
|
| 34-69038 |
Mar. 5, 2013 |
Notice of Filing of a Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
Comments due: April 2, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-015 |
| 34-69084 |
Mar. 8, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan
Comments due: April 4, 2013
Additional Materials: Exhibit 5
Submit comments on SR-BATS-2013-015
|
SR-BATS-2013-014 |
| 34-69121 |
Mar. 12, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operation of Market Orders for BATS Options
Comments due: April 8, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-013 |
| 34-69018 |
Mar. 1, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options
Comments due: March 29, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-012 |
| 34-68951 |
Feb. 19, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 18, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-010 |
| 34-68780 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013
|
SR-BATS-2013-009 |
| 34-68851 |
Feb. 6, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-008 |
| 34-68797 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-007 |
| 34-68791 |
Jan. 31, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to Price Sliding Functionality
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-006 |
| 34-68865 |
Feb. 7, 2013 |
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Short Term Options Series Program
Comments due: March 6, 2013
|
SR-BATS-2013-005 |
| 34-69190 |
Mar. 20, 2013 |
Order Approving Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
| | 34-68789 |
Jan. 31, 2013 |
Notice of Filing of Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
Comments due: February 27, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-003 |
| 34-68752 |
Jan. 29, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of Discretionary Orders for BATS Options
Comments due: February 25, 2013
Additional Materials: Exhibit 5
|
SR-BATS-2013-002 |
| 34-68659 |
Jan. 15, 2013 |
Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5
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http://www.sec.gov/rules/sro/bats.shtml
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