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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
Third Quarter |  Second Quarter |  First Quarter

BATS File Number List for 2014

Additional Archives


Chronological List


Release No. Date Details
Fourth Quarter

SR-BATS-2014-058
34-73677 Nov. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24 of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2014-055
34-73594 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014

SR-BATS-2014-040
34-73571 Nov. 10, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Modifying Rule 21.7 of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-73203

SR-BATS-2014-018
34-73559 Nov. 7, 2014 Order Disapproving a Proposed Rule Change to Adopt Rule 14.11(k) to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
See also: Notice: Rel. No. 34-73199 and Notice: Rel. No. 34-72787

SR-BATS-2014-028
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BYX-2014-011, SR-EDGA-2014-16, SR-EDGX-2014-19

SR-BATS-2014-037
34-73473 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change to Establish an Opening Process for Non-BATS-Listed Securities
See also: Notice: Rel. No. 34-73093

SR-BATS-2014-053
34-73462 Oct. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 25, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-052
34-73412 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-051
34-73413 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-050
34-73414 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-026
34-73376 Oct. 16, 2014 Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
Comments due: November 12, 2014
See also: Notice: Rel. No. 34-73003, Notice: Rel. No. 34-72636

SR-BATS-2014-038
34-73363 Oct. 15, 2014 Order Granting Approval of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. to Add Price Adjust Functionality
See also: Notice: Rel. No. 34-72945

SR-BATS-2014-047
34-73359 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-045
34-73356 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.16 of BATS Exchange, Inc.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-044
34-73296 Oct. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13 and 21.9 of BATS Exchange, Inc.
Comments due: October 30, 2014
Additional Materials: Exhibit 5
Third Quarter

SR-BATS-2014-043
34-73237 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 11.24 to Permit Members to Designate their Retail Orders to be Identified as Retail on the Exchange's Proprietary Data Feeds
Comments due: October 23, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-042
34-73234 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9(c) to Adopt a Supplemental Peg Order
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-040
34-73203 Sep. 24, 2014 Notice of Filing of a Proposed Rule Change to Rule 21.7 of BATS Exchange, Inc.
Comments due: October 21, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73571
Comments received are available for this proposal.

SR-BATS-2014-018
34-73199 Sep. 24, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Rule 14.11(k) to Permit BATS Exchange, Inc. to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
See also: Order: Rel. No. 34-73559 and Notice: Rel. No. 34-72787

SR-BATS-2014-041
34-73188 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-028
34-73101 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
See also: Notice: Rel. No. 34-72688

SR-BATS-2014-037
34-73093 Sep. 15, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc.
Comments due: October 10, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73473

SR-BATS-2014-039
34-73080 Sep. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 8, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-026
34-73003 Sep. 5, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
See also: Notice: Rel. No. 34-73376, Notice: Rel. No. 34-72636

SR-BATS-2014-038
34-72945 Aug. 28, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc.
Comments due: September 25, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-73363

SR-BATS-2014-036
34-72933 Aug. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 24, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-034
34-72879 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Rules 11.9(f) and 21.1(g) of BATS Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-033
34-72878 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-030
34-72830 Aug. 13, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-031
34-72821 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect Changes to the Means of Achieving the Investment Objective Applicable to the iShares Short Maturity Bond Fund
Comments due: September 8, 2014

SR-BATS-2014-018
34-72787 Aug. 7, 2014 Notice of Filing of Proposed Rule Change to Adopt Rule 14.11(k) to Permit BATS Exchange, Inc. to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
Comments due: September 3, 2014
See also: Order: Rel. No. 34-73559 and Notice: Rel. No. 34-73199
Comments received are available for this proposal.

SR-BATS-2014-022
34-72692 Jul. 28, 2014 Order Granting Approval of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program
See also: Notice: Rel. No. 34-72346

SR-BATS-2014-028
34-72688 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
See also: Notice: Rel. No. 34-73101
Comments received are available for this proposal.

SR-BATS-2014-029
34-72685 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BATS-2014-027
34-72646 Jul. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc.
Comments due: August 15, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-026
34-72636 Jul. 17, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
Comments due: August 13, 2014
See also: Notice: Rel. No. 34-73376, Notice: Rel. No. 34-73003
Comments received are available for this proposal.

SR-BATS-2014-025
34-72589 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: August 6, 2014
Additional Materials: Exhibit 5
Second Quarter

SR-BATS-2014-014
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72044

SR-BATS-2014-024
34-72377 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-021
34-72376 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 9, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-023
34-72371 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-022
34-72346 Jun. 9, 2014 Notice of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program
Comments due: July 7, 2014
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-72692

SR-BATS-2014-019
34-72333 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 2, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-017
34-72128 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-007
34-72099 May 6, 2014

Order Granting Approval of a Proposed Rule Change to List and Trade Shares of Certain Funds of the ProShares Trust
See also: Notice: Rel. No. 34-71736


SR-BATS-2014-014
34-72044 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-72434

SR-BATS-2014-016
34-72039 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Treatment of Intermarket Sweep Orders Entered Prior to the Completion of the Options Opening Process of BATS Exchange, Inc.
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-013
34-72037 Apr. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Short Term Option Series
Comments due: May 23, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-015
34-72020 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Institute an Incentive Program for Market Makers for BATS Exchange, Inc.
Comments due: May 22, 2014
Additional Materials: Exhibit 5

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: May 9, 2014
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: May 8, 2014
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
See also: Order: Rel. No. 34-72099

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-2014-058
34-73677 Nov. 24, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24 of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2014-055
34-73594 Nov. 14, 2014 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Establish a New Market Data Product called the BATS One Feed
Comments due: December 11, 2014

SR-BATS-2014-053
34-73462 Oct. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 25, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-052
34-73412 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9 and 11.13 of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-051
34-73413 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-050
34-73414 Oct. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 19, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-047
34-73359 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-045
34-73356 Oct. 15, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.16 of BATS Exchange, Inc.
Comments due: November 12, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-044
34-73296 Oct. 3, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13 and 21.9 of BATS Exchange, Inc.
Comments due: October 30, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-043
34-73237 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 11.24 to Permit Members to Designate their Retail Orders to be Identified as Retail on the Exchange's Proprietary Data Feeds
Comments due: October 23, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-042
34-73234 Sep. 26, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9(c) to Adopt a Supplemental Peg Order
Comments due: October 23, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-041
34-73188 Sep. 23, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Exchange, Inc.
Comments due: October 17, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-040
34-73571 Nov. 10, 2014 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Modifying Rule 21.7 of BATS Exchange, Inc.
34-73203 Sep. 24, 2014 Notice of Filing of a Proposed Rule Change to Rule 21.7 of BATS Exchange, Inc.
Comments due: October 21, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-039
34-73080 Sep. 11, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 8, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-038
34-73363 Oct. 15, 2014 Order Granting Approval of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc. to Add Price Adjust Functionality
34-72945 Aug. 28, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc.
Comments due: September 25, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-037
34-73473 Oct. 30, 2014 Order Granting Approval of a Proposed Rule Change to Establish an Opening Process for Non-BATS-Listed Securities
34-73093 Sep. 15, 2014 Notice of Filing of a Proposed Rule Change to Rules 11.9 and 21.1 of BATS Exchange, Inc.
Comments due: October 10, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-036
34-72933 Aug. 27, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 24, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-034
34-72879 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Rules 11.9(f) and 21.1(g) of BATS Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-033
34-72878 Aug. 20, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of BATS Exchange, Inc.
Comments due: September 16, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-031
34-72821 Aug. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect Changes to the Means of Achieving the Investment Objective Applicable to the iShares Short Maturity Bond Fund
Comments due: September 8, 2014

SR-BATS-2014-030
34-72830 Aug. 13, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-029
34-72685 Jul. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify for Members and Non-Members the Use of Certain Data Feeds for Order Handling and Execution, Order Routing and Regulatory Compliance of BATS Exchange, Inc.
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BATS-2014-028
34-73549 Nov. 6, 2014 Notice of Withdrawal of Proposed Rule Changes to Establish a New Market Data Product Called the BATS One Feed
Additional File Nos.: SR-BYX-2014-011, SR-EDGA-2014-16, SR-EDGX-2014-19
34-73101 Sep. 15, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
34-72688 Jul. 28, 2014 Notice of Filing of Proposed Rule Change to Establish a New Market Data Product Called the BATS One Feed
Comments due: August 22, 2014
Comments received are available for this proposal.

SR-BATS-2014-027
34-72646 Jul. 21, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.9, 11.12, 11.18, 21.1 and 21.7 of BATS Exchange, Inc.
Comments due: August 15, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-026
34-73376 Oct. 16, 2014 Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
Comments due: November 12, 2014
34-73003 Sep. 5, 2014 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
34-72636 Jul. 17, 2014 Notice of Filing of Proposed Rule Change to List and Trade Shares of Certain Funds of the Alpha Architect ETF Trust
Comments due: August 13, 2014
Comments received are available for this proposal.

SR-BATS-2014-025
34-72589 Jul. 10, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: August 6, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-024
34-72377 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-023
34-72371 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 9, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-022
34-72692 Jul. 28, 2014 Order Granting Approval of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program
34-72346 Jun. 9, 2014 Notice of a Proposed Rule Change to Amend the Competitive Liquidity Provider Program
Comments due: July 7, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-021
34-72376 Jun. 12, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 9, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-019
34-72333 Jun. 5, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 2, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2014-018
34-73559 Nov. 7, 2014 Order Disapproving a Proposed Rule Change to Adopt Rule 14.11(k) to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
34-73199 Sep. 24, 2014 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Rule 14.11(k) to Permit BATS Exchange, Inc. to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
34-72787 Aug. 7, 2014 Notice of Filing of Proposed Rule Change to Adopt Rule 14.11(k) to Permit BATS Exchange, Inc. to List Managed Portfolio Shares and to List and Trade Shares of Certain Funds of the Spruce ETF Trust
Comments due: September 3, 2014
Comments received are available for this proposal.

SR-BATS-2014-017
34-72128 May 8, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 4, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-016
34-72039 Apr. 29, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Treatment of Intermarket Sweep Orders Entered Prior to the Completion of the Options Opening Process of BATS Exchange, Inc.
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-015
34-72020 Apr. 25, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Institute an Incentive Program for Market Makers for BATS Exchange, Inc.
Comments due: May 22, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-014
34-72434 Jun. 19, 2014 Order Granting Approval of Proposed Rule Changes Relating to Clearly Erroneous Executions
Additional File Nos.: SR-BX-2014-021, SR-BYX-2014-007, SR-CHX-2014-06, SR-EDGA-2014-11, SR-EDGX-2014-12, SR-FINRA-2014-021, SR-ISE-2014-25, SR-NASDAQ-2014-044, SR-NSX-2014-08, SR-NYSE-2014-22, SR-NYSEArca-2014-48; SR-NYSEMKT-2014-37, SR-Phlx-2014-27
See also: Notice: Rel. No. 34-72044
34-72044 Apr. 30, 2014 Notice of Filing of a Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: May 27, 2014
Additional Materials: Exhibit 5

SR-BATS-2014-013
34-72037 Apr. 28, 2014 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Short Term Option Series
Comments due: May 23, 2014
Additional Materials: Exhibit 5

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: May 9, 2014
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: May 8, 2014

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
34-72099 May 6, 2014 Order Granting Approval of a Proposed Rule Change to List and Trade Shares of Certain Funds of the ProShares Trust
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: 11/25/2014