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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
2016 |
2015 |
2014 |
2013 |
2012 |
2011 |
2010 |
2009 |
2008
| 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
|
|
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
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SR-BATS-2012-17 |
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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
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SR-BATS-2012-016 |
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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
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SR-BATS-2012-015 |
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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 |
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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 |
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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
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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
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http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2012.shtml
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