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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 2015

Additional Archives


Chronological List


Release No. Date Details
Second Quarter

SR-BATS-2015-37
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BYX-2015-25, SR-EDGA-2015-19, SR-EDGX-2015-21
See also: Notice: Rel. No. 34-74987

SR-BATS-2015-50
34-75338 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-47
34-75324 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9 of BATS Exchange, Inc., to Modify its Price Adjust Functionality
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-46
34-75313 Jun. 26, 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-2015-45
34-75243 Jun. 18, 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-2015-43
34-75166 Jun. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.3(i)
Comments due: July 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-44
34-75158 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-40
34-75107 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-39
34-75085 Jun. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to BATS Rule 14.13
Comments due: June 26, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-37
34-74987 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-38
34-74968 May 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-35
34-74938 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-33
34-74767 Apr. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-30
34-74743 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BATS-2015-09
34-74738 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-74247A, Notice: Rel. No. 34-74247

SR-BATS-2015-29
34-74726 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(j) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-31
34-74702 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, "Auctions"
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-28
34-74692 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-26
34-74666 Apr. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6 to Adopt a New Provision to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: May 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-25
34-74656 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: May 1, 2015
Additional Materials: Exhibit 5
First Quarter

SR-BATS-2015-24
34-74598 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-23
34-74589 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-22
34-74565 Mar. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Rule 21.17, Exchange Sharing of User Designated Risk Settings
Comments due: April 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2014-067
34-74556 Mar. 20, 2015 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to BATS Rules 20.3 and 20.6
Comments due: April 16, 2015

SR-BATS-2015-16
34-74513 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-20
34-74484 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-17
34-74450 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Order to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

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: March 27, 2015
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: Order: Rel. No. 34-74738, 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: March 23, 2015
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: March 20, 2015
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: March 17, 2015
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: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

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: Order: Rel. No. 34-74738, 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-2015-50
34-75338 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-47
34-75324 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9 of BATS Exchange, Inc., to Modify its Price Adjust Functionality
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2015-46
34-75313 Jun. 26, 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-2015-45
34-75243 Jun. 18, 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-2015-44
34-75158 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-43
34-75166 Jun. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.3(i)
Comments due: July 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-40
34-75107 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-39
34-75085 Jun. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to BATS Rule 14.13
Comments due: June 26, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-38
34-74968 May 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-37
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BYX-2015-25, SR-EDGA-2015-19, SR-EDGX-2015-21
34-74987 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-35
34-74938 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-33
34-74767 Apr. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-31
34-74702 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, "Auctions"
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-30
34-74743 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BATS-2015-29
34-74726 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(j) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-28
34-74692 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-26
34-74666 Apr. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6 to Adopt a New Provision to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: May 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-25
34-74656 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-24
34-74598 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-23
34-74589 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-22
34-74565 Mar. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Rule 21.17, Exchange Sharing of User Designated Risk Settings
Comments due: April 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-20
34-74484 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-17
34-74450 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Order to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-16
34-74513 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

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: March 27, 2015
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: March 23, 2015
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: March 20, 2015
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: March 17, 2015
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: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-09
34-74738 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
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: March 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: 07/02/2015