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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
First Quarter

BATS File Number List for 2015

Additional Archives


Chronological List


Release No. Date Details
First Quarter

SR-BATS-2015-15
34-74403 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-09
34-74247A Feb. 26, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction
See also: Notice: Rel. No. 34-74247

SR-BATS-2015-14
34-74359 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-13
34-74352 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a 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

SR-BATS-2014-056
34-74297 Feb. 18, 2015 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust under Rule 14.11(i)
See also: Notice: Rel. No. 34-73965

SR-BATS-2015-12
34-74293 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-11
34-74285 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BZX Top and BZX Last Sale
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-09
34-74247 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-74247A (Correction)

SR-BATS-2015-08
34-74214 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: March 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2014-054
34-74193 Feb. 3, 2015 Order Approving a Proposed Rule Change to List and Trade Shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i) of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-73895

SR-BATS-2015-06
34-74173 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-05
34-74160 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BATS-2015-07
34-74152 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-04
34-74074 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due:  February 13, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-02
34-74052 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-01
34-74043 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 10, 2015
Additional Materials: Exhibit 5


BATS File Number List for 2015
Release No. Date Details

SR-BATS-2015-15
34-74403 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-14
34-74359 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-13
34-74352 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a 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

SR-BATS-2015-12
34-74293 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-11
34-74285 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BZX Top and BZX Last Sale
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-09
34-74247A Feb. 26, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction
34-74247 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-08
34-74214 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: Marh 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-07
34-74152 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-06
34-74173 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-05
34-74160 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BATS-2015-04
34-74074 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due:  February 13, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-02
34-74052 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-01
34-74043 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 10, 2015
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/bats.shtml


Modified: 03/03/2015