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BATS Exchange, Inc. (BATS) Rulemaking Archive: 2009

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 2009

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BATS-2009-032
34-61260 Dec. 30, 2009 Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Physical Ports Used to Connect to BATS Exchange
Comments due:  January 29, 2010
See also:  Order: Rel. No. 34-61545

SR-BATS-2009-031
34-61097 Dec. 2, 2009 Notice of Filing of Proposed Rule Change to Establish Rules Governing the Trading of Options on the BATS Options Exchange
Comments due:  December 29, 2009
Additional Materials:   Exhibit 5
See also:  Notice/Order: Rel. No. 34-61419
* Submit comments on SR-BATS-2009-031

SR-BATS-2009-030
34-60759 Oct. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions."
Comments due:  October 29, 2009
Third Quarter

SR-BATS-2009-029
34-60683 Sep. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 16, 2009

SR-BATS-2009-026
34-60586 Aug. 28, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
See also:  Notice: Rel. No. 34-60364

SR-BATS-2009-028
34-60569 Aug. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.13, entitled "Order Execution."
Comments due:  September 22, 2009

SR-BATS-2009-027
34-60464 Aug. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 8, 2009

SR-BATS-2009-025
34-60387 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers"
Comments due:  August 21, 2009

SR-BATS-2009-026
34-60364 Jul. 22, 2009 Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
Comments due:  August 18, 2009
See also:  Order: Rel. No. 34-60586

SR-BATS-2009-023
34-60313 Jul. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc
Comments due:  August 12, 2009

SR-BATS-2009-022
34-60266 Jul. 9, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BATS Rule 11.9, Entitled "Orders and Modifiers"
Comments due:  August 5, 2009

SR-BATS-2009-019
34-60236 Jul. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish its New Sponsored Access Risk Management Tool Service
Comments due:  August 4, 2009

SR-BATS-2009-021
34-60214 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 30, 2009

SR-BATS-2009-020
34-60204 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.12, entitled "Priority of Orders."
Comments due:  July 30, 2009
Second Quarter

SR-BATS-2009-017
34-60041 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 1, 2009

SR-BATS-2009-014
34-60040 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Rule 11.13, entitled “Order Execution”
Comments due:  July 1, 2009
Comments received are available for this notice.

SR-BATS-2009-018
34-60019 Jun. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Criteria for Becoming a Member of the Nominating Committee
Comments due:  June 29, 2009

SR-BATS-2009-016
34-59990 May 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 25, 2009

SR-BATS-2009-015
34-59967 May 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 19, 2009

SR-BATS-2009-012
34-59963 May 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules to Offer an After Hours Trading Session
Comments due:  June 19, 2009

SR-BATS-2009-013
34-59934 May 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 12, 2009

SR-BATS-2009-010
34-59890 May 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 4, 2009

SR-BATS-2009-011
34-59889 May 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 4, 2009

SR-BATS-2009-009
34-59782 Apr. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 15, 2009

SR-BATS-2009-008
34-59709 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 4, 2009
First Quarter

SR-BATS-2009-007
34-59516 Mar. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  April 1, 2009

SR-BATS-2009-006
34-59457 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers”
Comments due:  March 25, 2009

SR-BATS-2009-005
34-59312 Jan. 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 24, 2009

SR-BATS-2009-003
34-59292 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 2.5, entitled “Restrictions,” and BATS Rule 11.4, entitled “Authorized Traders”
Comments due:  February 20, 2009

SR-BATS-2009-002
34-59284 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.8, entitled "Obligations of Market Makers"
Comments due:  February 18, 2009

SR-BATS-2009-001
34-59258 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers.”
Comments due:  February 17, 2009


BATS File Number List
Release No. Date Details

SR-BATS-2009-032
34-61545 Feb. 19, 2010 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Fee Schedule to Impose Fees for Physical Ports Used to Connect to BATS Exchange
34-61260 Dec. 30, 2009 Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Physical Ports Used to Connect to BATS Exchange
Comments due:  January 29, 2010

SR-BATS-2009-031
34-61419 Jan. 26, 2010 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish Rules Governing the Trading of Options on the BATS Options Exchange
Comments due:  February 22, 2010
34-61097 Dec. 2, 2009 Notice of Filing of Proposed Rule Change to Establish Rules Governing the Trading of Options on the BATS Options Exchange
Comments due:  December 29, 2009
Additional Materials:   Exhibit 5

SR-BATS-2009-030
34-60759 Oct. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions."
Comments due:  October 29, 2009

SR-BATS-2009-029
34-60683 Sep. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 16, 2009

SR-BATS-2009-028
34-60569 Aug. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.13, entitled "Order Execution."
Comments due:  September 22, 2009

SR-BATS-2009-027
34-60464 Aug. 10, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 8, 2009

SR-BATS-2009-026
34-60586 Aug. 28, 2009 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
34-60364 Jul. 22, 2009 Notice of Filing of Proposed Rule Change to Amend BATS Fee Schedule to Impose Fees for Ports Used for Order Entry and Receipt of Market Data
Comments due:  August 18, 2009

SR-BATS-2009-025
34-60387 Jul. 24, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers"
Comments due:  August 21, 2009

SR-BATS-2009-023
34-60313 Jul. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc
Comments due:  August 12, 2009

SR-BATS-2009-022
34-60266 Jul. 9, 2009 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BATS Rule 11.9, Entitled "Orders and Modifiers"
Comments due:  August 5, 2009

SR-BATS-2009-021
34-60214 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 30, 2009

SR-BATS-2009-020
34-60204 Jul. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers," and BATS Rule 11.12, entitled "Priority of Orders."
Comments due:  July 30, 2009

SR-BATS-2009-019
34-60236 Jul. 2, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish its New Sponsored Access Risk Management Tool Service
Comments due:  August 4, 2009

SR-BATS-2009-018
34-60019 Jun. 1, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Criteria for Becoming a Member of the Nominating Committee
Comments due:  June 29, 2009

SR-BATS-2009-017
34-60041 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 1, 2009

SR-BATS-2009-016
34-59990 May 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 25, 2009

SR-BATS-2009-015
34-59967 May 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 19, 2009

SR-BATS-2009-014
34-60040 Jun. 3, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS Rule 11.13, entitled “Order Execution”
Comments due:  July 1, 2009
Comments received are available for this notice.

SR-BATS-2009-013
34-59934 May 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 12, 2009

SR-BATS-2009-012
34-59963 May 21, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules to Offer an After Hours Trading Session
Comments due:  June 19, 2009

SR-BATS-2009-011
34-59889 May 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 4, 2009

SR-BATS-2009-010
34-59890 May 7, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  June 4, 2009

SR-BATS-2009-009
34-59782 Apr. 17, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 15, 2009

SR-BATS-2009-008
34-59709 Apr. 6, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 4, 2009

SR-BATS-2009-007
34-59516 Mar. 5, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  April 1, 2009

SR-BATS-2009-006
34-59457 Feb. 26, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers”
Comments due:  March 25, 2009

SR-BATS-2009-005
34-59312 Jan. 28, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 24, 2009

SR-BATS-2009-003
34-59292 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 2.5, entitled “Restrictions,” and BATS Rule 11.4, entitled “Authorized Traders”
Comments due:  February 20, 2009

SR-BATS-2009-002
34-59284 Jan. 23, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.8, entitled "Obligations of Market Makers"
Comments due:  February 18, 2009

SR-BATS-2009-001
34-59258 Jan. 15, 2009 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.9, entitled “Orders and Modifiers.”
Comments due:  February 17, 2009

 

http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2009.shtml


Modified: 11/25/2014