SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


BATS Exchange, Inc. (BATS) Rulemaking Archive: 2011

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 2011

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BATS-2011-038
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also: Order: Rel. No. 34-67090; Notice: Rel. No. 34-66680; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65437
Comments received are available for this proposal.

SR-BATS-2011-051
34-66034 Dec. 22, 2011 Notice of Filing of Proposed Rule Change to Implement a Competitive Liquidity Provider Program
Comments due:  January 19, 2012
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-66307

SR-BATS-2011-050
34-65965 Dec. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due:  January 11, 2012

SR-BATS-2011-049
34-65907 Dec. 7, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 3, 2012

SR-BATS-2011-048
34-65816 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  December 21, 2011

SR-BATS-2011-047
34-65809 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Exchange Rule 14.1, entitled "The Qualification, Listing, and Delisting of Companies - Definitions"
Comments due:  December 21, 2011

SR-BATS-2011-038
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
See also:   Order: Rel. No. 34-67090; Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65437
Comments received are available for this proposal.

SR-BATS-2011-035
34-65728 Nov. 10, 2011 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
See also:  Notice: Rel. No. 34-65353

SR-BATS-2011-046
34-65694 Nov. 4, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  December 1, 2011

SR-BATS-2011-045
34-65676 Nov. 3, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Market Opening Procedures of BATS Options
Comments due:  November 30, 2011
Comments received are available for this proposal.

SR-BATS-2011-033
34-65646 Oct. 27, 2011 Order Approving Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
See also:  Notice: Rel. No. 34-65298

SR-BATS-2011-032
34-65619 Oct. 25, 2011 Order Approving Proposed Rule Change by BATS Exchange, Inc. to Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities
See also:  Notice: Rel. No. 34-65266

SR-BATS-2011-040
34-65516 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in Rule 2.12
Comments due:  November 4, 2011

SR-BATS-2011-041
34-65500 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
Comments due:  November 3, 2011

SR-BATS-2011-042
34-65497 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program with Correlix and a Free Trial Period for New Users of the Correlix Service
Comments due:  November 3, 2011

SR-BATS-2011-044
34-65494 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 3, 2011

SR-BATS-2011-043
34-65473 Oct. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 1, 2011
Additional Materials:   Exhibit 5
Third Quarter

SR-BATS-2011-036
34-65449 Sep. 30, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend BATS Rule 13.3 to Prohibit Members from Voting Uninstructed Shares on Certain Matters and to Align BATS Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, with the Rules of Other Self-Regulatory Organizations
Comments due:  October 27, 2011

SR-BATS-2011-038
34-65437 Sep. 28, 2011 Notice of Filing of a Proposed Rule Change to Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
See also:   Order: Rel. No. 34-67090; Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; and Notice: Rel. No. 34-65770
Comments received are available for this notice.

SR-BATS-2011-037
34-65407 Sep. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 24, 2011

SR-BATS-2011-035
34-65353 Sep. 19, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
Comments due:  October 17, 2011
See also:  Order: Rel. No. 34-65728

SR-BATS-2011-034
34-65307 Sep. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Bulk-Quoting Interface to All Users of BATS Options
Comments due:  October 6, 2011

SR-BATS-2011-033
34-65298 Sep. 8, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  October 5, 2011
See also:  Order: Rel. No. 34-65646

SR-BATS-2011-032
34-65266 Sep. 6, 2011 Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities
Comments due:  October 3, 2011
See also:  Order: Rel. No. 34-65619

SR-BATS-2011-018
34-65225 Aug. 30, 2011 Order Approving Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange
See also:  Notice: Rel. No. 34-64889; Notice: Rel. No. 34-64546

SR-BATS-2011-029
34-65133 Aug. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Bulk-Quoting Interface
Comments due:  September 9, 2011

SR-BATS-2011-028
34-65113 Aug. 11, 2011 Notice of Filing of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due:  September 7, 2011

SR-BATS-2011-025
34-65085 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 6, 2011

SR-BATS-2011-027
34-65081 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  September 6, 2011

SR-BATS-2011-026
34-65079 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  September 6, 2011

SR-BATS-2011-024
34-65076 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-023
34-64957 Jul. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of a Directed Order Program for BATS Options
Comments due:  August 19, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-022
34-64914 Jul. 19, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Expand the Short Term Option Program
Comments due:  August 15, 2011

SR-BATS-2011-021
34-64910 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent with the Upcoming Implementation of the Market Access Rule
Comments due:  August 12, 2011

SR-BATS-2011-018
34-64889 Jul. 14, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange (Corrected)
See also:  Order: Rel. No. 34-65225; Notice: Rel. No. 34-64546

SR-BATS-2011-019
34-64847 Jul. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 4, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-020
34-64835 Jul. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed
Comments due:  August 3, 2011
Second Quarter

SR-BATS-2011-009
34-64781 Jun. 30, 2011 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program
Comments due:  July 28, 2011
See also:   Comments received are available for this notice.

SR-BATS-2011-015
34-64754 Jun. 27, 2011 Order Approving a Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers" and BATS Rule 11.13, entitled "Order Execution"
See also:  Notice: Rel. No. 34-64546

SR-BATS-2011-016
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
See also:  Notice: Rel. No. 34-64435

SR-BATS-2011-018
34-64546 May 25, 2011 Notice of Filing of Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange
Comments due:  June 22, 2011
See also:  Order: Rel. No. 34-65225; Notice: Rel. No. 34-64889

SR-BATS-2011-015
34-64475 May 12, 2011 Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rule 11.9, entitled "Orders and Modifiers" and BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 8, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-017
34-64445 May 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add BATS Rule 11.22, Entitled "Data Products"
Comments due:  June 3, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-016
34-64435 May 6, 2011 Notice of Filing of a Proposed Rule Change to Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5
See also:  Order: Rel. No. 34-64735

SR-BATS-2011-013
34-64376 May 2, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Trading Hours of BATS Options for Certain Products
Comments due:  May 27, 2011

SR-BATS-2011-010
34-64235 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Additional File Nos.: 
Comments due:  May 4, 2011

SR-BATS-2011-012
34-64211 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 3, 2011

SR-BATS-2011-011
34-64207 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  May 3, 2011
First Quarter

SR-BATS-2011-009
34-64132 Mar. 28, 2011 Notice of Proposed Rule Change, as Modified by Amendment No. 1, to Create a Directed Order Program on a 6-Month Pilot Basis
Comments due:  April 22, 2011
Additional Materials:   Exhibit 5
See also:  Notice/Order: Rel. No. 34-64781
Comments received are available for this notice.

SR-BATS-2011-008
34-64033 Mar. 4, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 31, 2011

SR-BATS-2011-007
34-63969 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt BATS Rule 11.21, entitled "Input of Accurate Information"
Comments due:  March 25, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-002
34-63948 Feb. 23, 2011 Order Granting Accelerated Approval of a Proposed Rule Change to Amend BATS Rules in Connection with the Implementation of Amendments to Regulation SHO
See also:  Notice: Rel. No. 34-63766

SR-BATS-2011-005
34-63916 Feb. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  March 15, 2011

SR-BATS-2011-004
34-63857 Feb. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 4, 2011

SR-BATS-2011-003
34-63803 Jan. 31, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a $5 Strike Price Program
Comments due:  February 28, 2011

SR-BATS-2011-002
34-63766 Jan. 25, 2011 Notice of Proposed Rule Change to Amend BATS Rules in Connection with the Implementation of Amendments to Regulation SHO
Comments due:  February 22, 2011
See also:  Order: Rel. No. 34-63948

SR-BATS-2011-001
34-63663 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 4, 2011

SR-BATS-2010-038
34-63632 Jan. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 28, 2011

SR-BATS-2010-039
34-63630 Jan. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 28, 2011


BATS File Number List for 2011
Release No. Date Details

SR-BATS-2011-053
34-66120 Jan. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 3, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-BATS-2011-051
34-66307 Feb. 2, 2012 Order Granting Approval of Proposed Rule Change to Implement a Competitive Liquidity Provider Program
Additional Materials:   Exhibit 5
34-66034 Dec. 22, 2011 Notice of Filing of Proposed Rule Change to Implement a Competitive Liquidity Provider Program
Comments due:  January 19, 2012
Additional Materials:   Exhibit 5

SR-BATS-2011-050
34-65965 Dec. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Additional File Nos.: 
Comments due:  January 11, 2012

SR-BATS-2011-049
34-65907 Dec. 7, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 3, 2012

SR-BATS-2011-048
34-65816 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.18 Relating to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  December 21, 2011

SR-BATS-2011-047
34-65809 Nov. 23, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Exchange Rule 14.1, entitled "The Qualification, Listing, and Delisting of Companies - Definitions"
Comments due:  December 21, 2011

SR-BATS-2011-046
34-65694 Nov. 4, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  December 1, 2011

SR-BATS-2011-045
34-65676 Nov. 3, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Market Opening Procedures of BATS Options
Comments due:  November 30, 2011
Comments received are available for this proposal.

SR-BATS-2011-044
34-65494 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 3, 2011

SR-BATS-2011-043
34-65473 Oct. 3, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 1, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-042
34-65497 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of a Revenue Sharing Program with Correlix and a Free Trial Period for New Users of the Correlix Service
Comments due:  November 3, 2011

SR-BATS-2011-041
34-65500 Oct. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Definition of Professional and Require that All Professional Orders be Appropriately Marked
Comments due:  November 3, 2011

SR-BATS-2011-040
34-65516 Oct. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of the Inbound Router, as described in Rule 2.12
Comments due:  November 4, 2011

SR-BATS-2011-038
34-67090 May 31, 2012 Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1, Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments due:  June 27, 2012
34-66680 Mar. 29, 2012 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-66065 Dec. 28, 2011 Order Instituting Proceedings to Determine Whether to Disapprove Proposed Rule Changes Relating to Trading Halts Due to Extraordinary Market Volatility
Comments due:  January 25, 2012
Rebuttal comments due:  February 8, 2012
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
Comments received are available for this proposal.
34-65770 Nov. 17, 2011 Notice of Designation Of a Longer Period for Commission Action on Proposed Rules Relating to Trading Halts Due to Extraordinary Market Volatility
Additional File Nos.:  SR-BYX-2011-025, SR-BX-2011-068, SR-CBOE-2011-087, SR-C2-2011-024, SR-CHX-2011-30, SR-EDGA-2011-31, SR-EDGX-2011-30, SR-FINRA-2011-054, SR-ISE-2011-61, SR-NASDAQ-2011-131, SR-NSX-2011-11, SR-NYSE-2011-48, SR-NYSEAmex-2011-73, SR-NYSEArca-2011-68, SR-Phlx-2011-129
34-65437 Sep. 28, 2011 Notice of Filing of a Proposed Rule Change to Modify the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due:  October 25, 2011
Comments received are available for this proposal.

SR-BATS-2011-037
34-65407 Sep. 27, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 24, 2011

SR-BATS-2011-036
34-65449 Sep. 30, 2011 Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend BATS Rule 13.3 to Prohibit Members from Voting Uninstructed Shares on Certain Matters and to Align BATS Rule 13.3, Concerning the Forwarding of Proxy and Other Material and Proxy Voting, with the Rules of Other Self-Regulatory Organizations
Comments due:  October 27, 2011

SR-BATS-2011-035
34-65728 Nov. 10, 2011 Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
34-65353 Sep. 19, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Amended and Restated Bylaws of BATS Global Markets, Inc.
Comments due:  October 17, 2011

SR-BATS-2011-034
34-65307 Sep. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Bulk-Quoting Interface to All Users of BATS Options
Comments due:  October 6, 2011

SR-BATS-2011-033
34-65646 Oct. 27, 2011 Order Approving Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
34-65298 Sep. 8, 2011 Notice of Filing of Proposed Rule Change to Amend and Restate the Second Amended and Restated Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  October 5, 2011

SR-BATS-2011-032
34-65619 Oct. 25, 2011 Order Approving Proposed Rule Change by BATS Exchange, Inc. to Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities
34-65266 Sep. 6, 2011 Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Adopt Rules Applicable to Auctions Conducted by the Exchange for Exchange-Listed Securities
Comments due:  October 3, 2011

SR-BATS-2011-029
34-65133 Aug. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer a Bulk-Quoting Interface
Comments due:  September 9, 2011

SR-BATS-2011-028
34-65113 Aug. 11, 2011 Notice of Filing of Proposed Rule Change to Amend BATS Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due:  September 7, 2011

SR-BATS-2011-027
34-65081 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  September 6, 2011

SR-BATS-2011-026
34-65079 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  September 6, 2011

SR-BATS-2011-025
34-65085 Aug. 10, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 6, 2011

SR-BATS-2011-024
34-65076 Aug. 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 6, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-023
34-64957 Jul. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of a Directed Order Program for BATS Options
Comments due:  August 19, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-022
34-64914 Jul. 19, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Expand the Short Term Option Program
Comments due:  August 15, 2011

SR-BATS-2011-021
34-64910 Jul. 18, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Changes Consistent with the Upcoming Implementation of the Market Access Rule
Comments due:  August 12, 2011

SR-BATS-2011-020
34-64835 Jul. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Availability of a Data Feed
Comments due:  August 3, 2011

SR-BATS-2011-019
34-64847 Jul. 8, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 4, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-018
34-65225 Aug. 30, 2011 Order Approving Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange
34-64889 Jul. 14, 2011 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange (Corrected)
34-64546 May 25, 2011 Notice of Filing of Proposed Rule Change to Adopt Rules for the Qualification, Listing and Delisting of Companies on the Exchange
Comments due:  June 22, 2011

SR-BATS-2011-017
34-64445 May 9, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add BATS Rule 11.22, Entitled "Data Products"
Comments due:  June 3, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-016
34-64735 Jun. 23, 2011 Order Approving Proposed Rule Changes Relating to Expanding the Pilot Rule for Trading Pauses Due to Extraordinary Market Volatility to all NMS stocks
Additional File Nos.:  SR-BYX-2011-011, SR-BX-2011-025, SR-CBOE-2011-049, SR-CHX-2011-09, SR-EDGA-2011-15, SR-EDGX-2011-14, SR-FINRA-2011-023, SR-ISE-2011-028, SR-NASDAQ-2011-067, SR-NYSE-2011-21, SR-NYSEAmex-2011-32, SR-NYSEArca-2011-26, SR-NSX-2011-06, SR-Phlx-2011-64
34-64435 May 6, 2011 Notice of Filing of a Proposed Rule Change to Extend a Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  June 2, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-015
34-64754 Jun. 27, 2011 Order Approving a Proposed Rule Change to Amend BATS Rule 11.9, entitled "Orders and Modifiers" and BATS Rule 11.13, entitled "Order Execution"
34-64475 May 12, 2011 Notice of Filing of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rule 11.9, entitled "Orders and Modifiers" and BATS Rule 11.13, entitled "Order Execution"
Comments due:  June 8, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-013
34-64376 May 2, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Trading Hours of BATS Options for Certain Products
Comments due:  May 27, 2011

SR-BATS-2011-012
34-64211 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 3, 2011

SR-BATS-2011-011
34-64207 Apr. 6, 2011 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  May 3, 2011

SR-BATS-2011-010
34-64235 Apr. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Clearly Erroneous Execution Reviews
Additional File Nos.: 
Comments due:  May 4, 2011

SR-BATS-2011-009
34-64781 Jun. 30, 2011 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to Create, on a Six-Month Pilot Basis, a Directed Order Program
Comments due:  July 28, 2011
See also:   Comments received are available for this notice.
34-64132 Mar. 28, 2011 Notice of Proposed Rule Change, as Modified by Amendment No. 1, to Create a Directed Order Program on a 6-Month Pilot Basis
Comments due:  April 22, 2011
Additional Materials:   Exhibit 5
Comments received are available for this notice.

SR-BATS-2011-008
34-64033 Mar. 4, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 31, 2011

SR-BATS-2011-007
34-63969 Feb. 25, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt BATS Rule 11.21, entitled "Input of Accurate Information"
Comments due:  March 25, 2011
Additional Materials:   Exhibit 5

SR-BATS-2011-005
34-63916 Feb. 15, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rule 11.13, entitled "Order Execution"
Comments due:  March 15, 2011

SR-BATS-2011-004
34-63857 Feb. 7, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 4, 2011

SR-BATS-2011-003
34-63803 Jan. 31, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a $5 Strike Price Program
Comments due:  February 28, 2011

SR-BATS-2011-002
34-63948 Feb. 23, 2011 Order Granting Accelerated Approval of a Proposed Rule Change to Amend BATS Rules in Connection with the Implementation of Amendments to Regulation SHO
34-63766 Jan. 25, 2011 Notice of Proposed Rule Change to Amend BATS Rules in Connection with the Implementation of Amendments to Regulation SHO
Comments due:  February 22, 2011

SR-BATS-2011-001
34-63663 Jan. 6, 2011 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 4, 2011

 

http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2011.shtml


Modified: 02/25/2013