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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
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

BATS File Number List for 2014

Additional Archives


Chronological List


Release No. Date Details
Second Quarter

SR-BATS-2014-011
34-71941 Apr. 14, 2014 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

SR-BATS-2014-010
34-71935 Apr. 11, 2014 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
First Quarter

SR-BATS-2014-008
34-71795 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Exchange, Inc.
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-BATS-2014-006
34-71746 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 15, 2014

SR-BATS-2014-007
34-71736 Mar. 18, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of Certain Funds of the ProShares Trust
Comments due: April 14, 2014

SR-BATS-2014-005
34-71727 Mar. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 10, 2014

SR-BATS-2014-003
34-71651 Mar. 5, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process
See also:  Notice: Rel. No. 34-71327

SR-BATS-2013-066
34-71498 Feb. 6, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules to Hold a Volatility Closing Auction
Comments due: March 5, 2014
See also:  Notice: Rel. No. 34-71162

SR-BATS-2013-059
34-71375 Jan. 23, 2014 Order Granting Approval of Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
See also:  Notice: Rel. No. 34-71023

SR-BATS-2014-003
34-71327 Jan. 16, 2014 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process
Comments due: February 13, 2014
Additional Materials:  Exhibit 5
See also:  Notice: Rel. No. 34-71651

SR-BATS-2014-001
34-71303 Jan. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2014
Additional Materials:  Exhibit 5

SR-BATS-2014-002
34-71284 Jan. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Applicability of the Competitive Liquidity Provider Program
Comments due: February 6, 2014
Additional Materials:  Exhibit 5


BATS File Number List for 2014
Release No. Date Details

SR-BATS-2014-011
34-71941 Apr. 14, 2014 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

SR-BATS-2014-010
34-71935 Apr. 11, 2014 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

SR-BATS-2014-008
34-71795 Mar. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule for BATS Exchange, Inc.
Comments due: April 21, 2014
Additional Materials:  Exhibit 5

SR-BATS-2014-007
34-71736 Mar. 18, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of Certain Funds of the ProShares Trust
Comments due: April 14, 2014

SR-BATS-2014-006
34-71746 Mar. 19, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 15, 2014

SR-BATS-2014-005
34-71727 Mar. 14, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 10, 2014

SR-BATS-2014-003
34-71651 Mar. 5, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process
34-71327 Jan. 16, 2014 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process
Comments due: February 13, 2014
Additional Materials:  Exhibit 5

SR-BATS-2014-002
34-71284 Jan. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Applicability of the Competitive Liquidity Provider Program
Comments due: February 6, 2014
Additional Materials:  Exhibit 5

SR-BATS-2014-001
34-71303 Jan. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2014
Additional Materials:  Exhibit 5

 

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


Modified: 04/15/2014