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BATS Exchange, Inc. (BATS) Rulemaking Archive: 2012

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 2012

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BATS-2012-048
34-68516 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 22, 2013

SR-BATS-2012-046
34-68442 Dec. 14, 2012 Notice of Filing of a Proposed Rule Change to Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities
Comments due: January 10, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-68788

SR-BATS-2012-042
34-68390 Dec. 10, 2012 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
See also: Notice: Rel. No. 34-68094

SR-BATS-2012-045
34-68330 Nov. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Availability of Risk Management Tools
Comments due: December 27, 2012

SR-BATS-2012-039
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSE-2012-49, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
See also: Notice: Rel. No. 34-68643, Notice: Rel. No. 34-68022

SR-BATS-2012-044
34-68257 Nov. 19, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities," and to List and Trade Shares of Certain ProShares Products
Comments due: December 17, 2012
See also: Order: Rel. No. 34-68619

SR-BATS-2012-043
34-68204 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: December 7, 2012
Additional Materials: Exhibit 5

SR-BATS-2012-042
34-68094 Oct. 24, 2012 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
Comments due:  November 20, 2012
See also:  Order: Rel. No. 34-68390

SR-BATS-2012-041
34-68028 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2012

SR-BATS-2012-040
34-68026 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2012

SR-BATS-2012-039
34-68022 Oct. 9, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, to Adopt Listing Standards Related to Certain Compensation Committee and Compensation Adviser Requirements
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5
See also:  Notice: Rel. No. 34-68643, Notice: Rel. No. 34-68313
Third Quarter

SR-BATS-2012-038
34-67905 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 18, 2012

SR-BATS-2012-033
34-67894 Sep. 20, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares Short Maturity Bond Fund
See also:  Notice: Rel. No. 34-67583

SR-BATS-2012-030
34-67888 Sep. 19, 2012 Order Granting Approval of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities"
See also:  Notice: Rel. No. 34-67558

SR-BATS-2012-037
34-67855 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 10, 2012

SR-BATS-2012-036
34-67854 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program
Comments due:  October 10, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-026
34-67756 Aug. 29, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
See also:  Notice: Rel. No. 34-67381

SR-BATS-2012-023
34-67685 Aug. 17, 2012 Order Granting Approval of a Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 to Adopt Additional Listing Requirements for Reverse Merger Companies and to Align BATS Rules with the Rules of other Self-Regulatory Organizations
See also:  Notice: Rel. No. 34-67304

SR-BATS-2012-035
34-67657 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rules Related to Price Sliding Functionality
Comments due:  September 10, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-034
34-67623 Aug 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 4, 2012
Comments received are available for this proposal.

SR-BATS-2012-033
34-67583 Aug. 2, 2012 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Ultrashort Duration Bond Fund
Comments due:  August 29, 2012
See also:  Order: Rel. No. 34-67894

SR-BATS-2012-030
34-67558 Aug. 1, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities"
Comments due:  August 29, 2012
See also:  Notice: Rel. No. 34-67888

SR-BATS-2012-032
34-67523 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  August 23, 2012
Comments received are available for this proposal.

SR-BATS-2012-031
34-67520 Jul. 27, 2012 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:  August 23, 2012

SR-BATS-2012-029
34-67516 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 20.6, entitled "Obvious Error"
Comments due:  August 23, 2012

SR-BATS-2012-028
34-67477 Jul. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rules Related to Telemarketing
Comments due:  August 16, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-026
34-67381 Jul. 10, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due:  August 6, 2012
See also:  Order: Rel. No. 34-67556
Second Quarter

SR-BATS-2012-025
34-67306 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due:  July 27, 2012

SR-BATS-2012-023
34-67304 Jun. 28, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 to Adopt Additional Listing Requirements for Reverse Merger Companies and to Align BATS Rules with the Rules of other Self-Regulatory Organizations
Comments due:  July 27, 2012
See also:  Order: Rel. No. 34-67685

SR-BATS-2012-024
34-67275 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 11.13 entitled "Order Execution," Rule 21.9 entitled "Order Routing" and Rule 27.2 entitled "Order Protection"
Comments due:  July 24, 2012

SR-BATS-2012-020
34-67172 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use on BATS Exchange, Inc.
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-021
34-67165 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules Related to Risk Management Functionality for BATS Options
Comments due:  July 5, 2012

SR-BATS-2012-019
34-67162 Jun. 7, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due:  July 5, 2012

SR-BATS-2012-022
34-67132 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due:  July 2, 2012

SR-BATS-2012-018
34-67093 Jun. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality
Comments due:  June 28, 2012
Additional Materials:   Exhibit 5

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
See also: Notice: Rel. No. 34-66680; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65437

SR-BATS-2012-17
34-67017 May 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange Inc.
Comments due:  June 14, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-016
34-66891 May 1, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.9 and Rule 21.1 to Allow Optional Attribution of Orders
Comments due:  May 29, 2012

SR-BATS-2012-013
34-66808 Apr. 13, 2012 Order Approving a Proposed Rule Change to Amend BATS Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program that Permits BATS Exchange, Inc. to Receive Inbound Routes of Equities Orders through BATS Trading, Inc., BATS Exchange’s Routing Broker-Dealer, from BATS-Y Exchange, Inc.
See also:  Notice: Rel. No. 34-66571

SR-BATS-2012-015
34-66794 Apr. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 9, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-BATS-2012-014
34-66723 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  April 27, 2012
Additional Materials:   Exhibit 5
First Quarter

SR-BATS-2011-038
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
See also: Order: Rel. No. 34-67090; Order: Rel. No. 34-66065; Notice: Rel. No. 34-65770; and Notice: Rel. No. 34-65437

SR-BATS-2012-012
34-66580 Mar. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 14.3, Entitled "General Procedures and Prerequisites for Initial and Continued Listing on the Exchange"
Comments due:  April 9, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-013
34-66571 Mar. 12, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router"
Comments due:  April 4, 2012
See also:  Order: Rel. No. 34-66808

SR-BATS-2012-011
34-66427 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rebates for the Competitive Liquidity Provider Program
Comments due:  March 19, 2012

SR-BATS-2012-010
34-66422 Feb. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 16, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-009
34-66380 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities
Comments due:  March 8, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-006
34-66358 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 6, 2012

SR-BATS-2012-004
34-66357 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI Denmark Capped Investable Market Index Fund
Comments due:  March 6, 2012

SR-BATS-2012-008
34-66327 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 2, 2012

SR-BATS-2012-007
34-66324 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Reference to Additional Variations of an Existing Routing Strategy
Comments due:  March 5, 2012

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
See also:  Notice: Rel. No. 34-66034

SR-BATS-2012-003
34-66273 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 24, 2012

SR-BATS-2012-001
34-66190 Jan. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  February 15, 2012

SR-BATS-2012-002
34-66188 Jan. 19, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  February 15, 2012

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.


BATS File Number List for 2012
Release No. Date Details

SR-BATS-2012-048
34-68516 Dec. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 22, 2013

SR-BATS-2012-046
34-68788 Jan. 31, 2013 Order Approving Proposed Rule Change to Modify BATS Rule 11.23 relating to Auctions of Exchange-Listed Securities
34-68442 Dec. 14, 2012 Notice of Filing of a Proposed Rule Change to Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities
Comments due: January 10, 2013
Additional Materials: Exhibit 5

SR-BATS-2012-045
34-68330 Nov. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Availability of Risk Management Tools
Comments due: December 27, 2012

SR-BATS-2012-044
34-68619 Jan. 10, 2013 Order Granting Approval of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities," and to List and Trade Shares of Certain ProShares Products
34-68257 Nov. 19, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities," and to List and Trade Shares of Certain ProShares Products
Comments due: December 17, 2012

SR-BATS-2012-043
34-68204 Nov. 9, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: December 7, 2012
Additional Materials: Exhibit 5

SR-BATS-2012-042
34-68390 Dec. 10, 2012 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
34-68094 Oct. 24, 2012 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Sovereign Screened Global Bond Fund
Comments due:  November 20, 2012

SR-BATS-2012-041
34-68028 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2012

SR-BATS-2012-040
34-68026 Oct. 10, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2012

SR-BATS-2012-039
34-68643 Jan. 11, 2013 Notice of Filing of Amendment Nos. 2 and 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to Amend the Listing Rules for Compensation Committees to Comply with Securities Exchange Act Rule 10C-1 and Make Other Related Changes
Comments due: February 12, 2013
* Submit comments on SR-BATS-2012-039
34-68313 Nov. 28, 2012 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes Relating to Adoption of Listing Standards for Compensation Committees and Advisors as Required by Rule 10C-1
Additional File Nos.: SR-BX-2012-063, SR-CBOE-2012-094, SR-NASDAQ-2012-109, SR-NYSE-2012-49, SR-NYSEArca-2012-105, SR-NYSEMKT-2012-48
34-68022 Oct. 9, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No.1, to Adopt Listing Standards Related to Certain Compensation Committee and Compensation Adviser Requirements
Comments due:  November 5, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-038
34-67905 Sep. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 18, 2012

SR-BATS-2012-037
34-67855 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 10, 2012

SR-BATS-2012-036
34-67854 Sep. 13, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Applicable to the Exchange's Competitive Liquidity Provider Program
Comments due:  October 10, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-035
34-67657 Aug. 14, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rules Related to Price Sliding Functionality
Comments due:  September 10, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-034
34-67623 Aug 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 4, 2012
Comments received are available for this proposal.

SR-BATS-2012-033
34-67894 Sep. 20, 2012 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares Short Maturity Bond Fund
34-67583 Aug. 2, 2012 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Ultrashort Duration Bond Fund
Comments due:  August 29, 2012

SR-BATS-2012-032
34-67523 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  August 23, 2012
Comments received are available for this proposal.

SR-BATS-2012-031
34-67520 Jul. 27, 2012 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:  August 23, 2012

SR-BATS-2012-030
34-67888 Sep. 19, 2012 Order Granting Approval of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities"
34-67558 Aug. 1, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities"
Comments due:  August 29, 2012

SR-BATS-2012-029
34-67516 Jul. 27, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 20.6, entitled "Obvious Error"
Comments due:  August 23, 2012

SR-BATS-2012-028
34-67477 Jul. 20, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Amend BATS Rules Related to Telemarketing
Comments due:  August 16, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-026
34-67756 Aug. 29, 2012 Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
34-67381 Jul. 10, 2012 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Market Maker Peg Order Available to Exchange Market Makers
Comments due:  August 6, 2012

SR-BATS-2012-025
34-67306 Jun. 28, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due:  July 27, 2012

SR-BATS-2012-024
34-67275 Jun. 27, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 11.13 entitled "Order Execution," Rule 21.9 entitled "Order Routing" and Rule 27.2 entitled "Order Protection"
Comments due:  July 24, 2012

SR-BATS-2012-023
34-67685 Aug. 17, 2012 Order Granting Approval of a Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 to Adopt Additional Listing Requirements for Reverse Merger Companies and to Align BATS Rules with the Rules of other Self-Regulatory Organizations
34-67304 Jun. 28, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rules 14.2 and 14.3 to Adopt Additional Listing Requirements for Reverse Merger Companies and to Align BATS Rules with the Rules of other Self-Regulatory Organizations
Comments due:  July 27, 2012

SR-BATS-2012-022
34-67132 Jun. 5, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due:  July 2, 2012

SR-BATS-2012-021
34-67165 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules Related to Risk Management Functionality for BATS Options
Comments due:  July 5, 2012

SR-BATS-2012-020
34-67172 Jun. 8, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use on BATS Exchange, Inc.
Comments due:  July 5, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-019
34-67162 Jun. 7, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Proposed Membership of Apex Clearing
Comments due:  July 5, 2012

SR-BATS-2012-018
34-67093 Jun. 1, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to the Operation of BATS Post Only Orders and Match Trade Prevention Functionality
Comments due:  June 28, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-17
34-67017 May 18, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange Inc.
Comments due:  June 14, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-016
34-66891 May 1, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.9 and Rule 21.1 to Allow Optional Attribution of Orders
Comments due:  May 29, 2012

SR-BATS-2012-015
34-66794 Apr. 12, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 9, 2012
Additional Materials:   Exhibit 5
Comments received are available for this proposal.

SR-BATS-2012-014
34-66723 Apr. 3, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of BATS Global Markets, Inc.
Comments due:  April 27, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-013
34-66808 Apr. 13, 2012 Order Approving a Proposed Rule Change to Amend BATS Exchange, Inc. Rule 2.12 to Make Permanent the Pilot Program that Permits BATS Exchange, Inc. to Receive Inbound Routes of Equities Orders through BATS Trading, Inc., BATS Exchange’s Routing Broker-Dealer, from BATS-Y Exchange, Inc.
34-66571 Mar. 12, 2012 Notice of Filing of Proposed Rule Change to Amend BATS Rule 2.12, Entitled "BATS Trading, Inc. as Inbound Router"
Comments due:  April 4, 2012

SR-BATS-2012-012
34-66580 Mar. 13, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 14.3, Entitled "General Procedures and Prerequisites for Initial and Continued Listing on the Exchange"
Comments due:  April 9, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-011
34-66427 Feb. 21, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rebates for the Competitive Liquidity Provider Program
Comments due:  March 19, 2012

SR-BATS-2012-010
34-66422 Feb. 17, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 16, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-009
34-66380 Feb. 10, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities
Comments due:  March 8, 2012
Additional Materials:   Exhibit 5

SR-BATS-2012-008
34-66327 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 2, 2012

SR-BATS-2012-007
34-66324 Feb. 6, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add Reference to Additional Variations of an Existing Routing Strategy
Comments due:  March 5, 2012

SR-BATS-2012-006
34-66358 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  March 6, 2012

SR-BATS-2012-004
34-66357 Feb. 8, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares® MSCI Denmark Capped Investable Market Index Fund
Comments due:  March 6, 2012

SR-BATS-2012-003
34-66273 Jan. 30, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 24, 2012

SR-BATS-2012-002
34-66188 Jan. 19, 2012 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to Clearly Erroneous Execution Reviews
Comments due:  February 15, 2012

SR-BATS-2012-001
34-66190 Jan. 19, 2012 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due:  February 15, 2012

 

http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2012.shtml


Modified: 04/15/2014