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BATS Exchange, Inc. (BATS) Rulemaking Archive: 2013

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 2013

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BATS-2013-066
34-71162 Dec. 20, 2013 Notice of Filing of a Proposed Rule Change to Adopt Rules to Hold a Volatility Closing Auction
Comments due: January 17, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-066
See also: Notice: Rel. No. 34-71498

SR-BATS-2013-063
34-71140 Dec. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: January 16, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-063

SR-BATS-2013-062
34-71129 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify BATS Options Market Maker Continuous Quoting Obligation Rules
Comments due:  January 14, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-062

SR-BATS-2013-064
34-71082 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 10, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-064

SR-BATS-2013-061
34-71041 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 7, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-061

SR-BATS-2013-059
34-71023 Dec. 6, 2013 Notice of Filing of a Proposed Rule Change in Connection with the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
Comments due: January 2, 2014
Additional Materials:  Exhibit 5aExhibit 5bExhibit 5cExhibit 5dExhibit 5eExhibit 5fExhibit 5gExhibit 5h
* Submit comments on SR-BATS-2013-059
See also: Order: Rel. No. 34-71375

SR-BATS-2013-051
34-70986 Dec. 4, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Liquidity Income Fund
See also: Notice: Rel. No. 34-70608

SR-BATS-2013-060
34-70964 Dec. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Risk Monitoring Functionality Offered by the Exchange
Comments due: December 27, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-060

SR-BATS-2013-056
34-70952 Nov. 27, 2013 Order Approving a Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders
See also: Notice: Rel. No. 34-70662

SR-BATS-2013-058
34-70853 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: December 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-058

SR-BATS-2013-057
34-70865 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BATS Competitive Liquidity Provider Program
Comments due: December 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-057

SR-BATS-2013-055
34-70687 Oct. 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-055

SR-BATS-2013-056
34-70662 Oct. 11, 2013 Notice of Filing of a Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders
Comments due: November 12, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-70952

SR-BATS-2013-054
34-70664 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-054

SR-BATS-2013-051
34-70608 Oct. 3, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Liquidity Income Fund
Comments due: November 12, 2013
See also: Order: Rel. No. 34-70986
Third Quarter

SR-BATS-2013-052
34-70548 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trading Halt Rule of BATS Options
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-052

SR-BATS-2013-053
34-70513 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule
Comments due: October 23, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-053
SR-BATS-2013-035
34-70465 Sep. 20, 2013 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
See also: Notice: Rel. No. 34-69889, Notice: Rel. No. 34-70166

SR-BATS-2013-050
34-70441 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate References to Obsolete Functionality
Comments due: October 15, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-050

SR-BATS-2013-049
34-70360 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 7, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-049

SR-BATS-2013-048
34-70348 Sep. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-048

SR-BATS-2013-045
34-70264 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Revenue Sharing Program
Comments due: September 24, 2013
* Submit comments on SR-BATS-2013-045

SR-BATS-2013-047
34-70257 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc.
Comments due: September 20, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-047

SR-BATS-2013-038
34-70250 Aug. 23, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Listing Standards for Certain Securities
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-69931

SR-BATS-2013-046
34-70237 Aug. 20, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify BATS Registration and Continuing Education Requirements
Comments due: September 16, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-046

SR-BATS-2013-036
34-70199 Aug. 14, 2013 Order Approving a Proposed Rule Change to Introduce a Connectivity Option Through Points of Presence
See also: Notice: Rel. No. 34-69877

SR-BATS-2013-044
34-70197 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-044

SR-BATS-2013-043
34-70196 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-043

SR-BATS-2013-042
34-70190 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-042

SR-BATS-2013-041
34-70189 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Rules Related to CYCLE Routing
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-041

SR-BATS-2013-035
34-70166 Aug. 13, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
See also: Notice: Rel. No. 34-70465, Notice: Rel. No. 34-69889

SR-BATS-2013-39
34-69936 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose Fees for Market Data
Comments due: July 31, 2013

SR-BATS-2013-040
34-69933 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 31, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-038
34-69931 Jul. 3, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Listing Standards for Certain Securities
Comments due: July 31, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-70250
Second Quarter

SR-BATS-2013-035
34-69889 Jun. 28, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
Comments due: July 26, 2013
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-70465Notice: Rel. No. 34-70166
* Submit comments on SR-BATS-2013-035

SR-BATS-2013-024
34-69883 Jun. 27, 2013 Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-69540

SR-BATS-2013-036
34-69877 Jun. 27, 2013 Notice of Filing of a Proposed Rule Change to Introduce a Connectivity Option Through Points of Presence
Comments due: July 24, 2013
See also: Order: Rel. No. 34-70199

SR-BATS-2013-037
34-69857 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements of the Competitive Liquidity Provider Program
Comments due: July 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-035
34-70465 Sep. 20, 2013 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
See also: Notice: Rel. No. 34-69889, Notice: Rel. No. 34-70166

SR-BATS-2013-034
34-69793 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 15, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-030
34-69788 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-033
34-69777 Jun. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 12, 2013

SR-BATS-2013-032
34-69748 Jun. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.11, Entitled "BATS Trading, Inc. as Outbound Router"
Comments due: July 9, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-026
34-69585 May 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 11, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-025
34-69546 May 9, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-024
34-69540 May 8, 2013 Notice of Filing of a Proposed Rule Change to Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69883

SR-BATS-2013-023
34-69387 Apr. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Market Order Collar for BATS Options
Comments due: May 14, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-016
34-69331 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
See also: Notice: Rel. No. 34-69038

SR-BATS-2013-022
34-69310 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify Market Maker Peg Order Functionality
Comments due: May 1, 2013
Additional Materials: Exhibit 5
First Quarter

SR-BATS-2013-020
34-69238 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-021
34-69237 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-018
34-69226 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 19, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-005
34-69190 Mar. 20, 2013 Order Approving Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
See also: Notice: Rel. No. 34-68789

SR-BATS-2013-019
34-69160 Mar. 18, 2013 Notice of Filing of Proposed Rule Change to Amend the Minimum Trading Increments for Mini Options
Comments due: April 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-019

SR-BATS-2013-014
34-69121 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operation of Market Orders for BATS Options
Comments due: April 8, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-015
34-69084 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan
Comments due: April 4, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-017
34-69079 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 4, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-016
34-69038 Mar. 5, 2013 Notice of Filing of a Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
Comments due: April 2, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69331

SR-BATS-2013-013
34-69018 Mar. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options
Comments due: March 29, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-012
34-68951 Feb. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 18, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-006
34-68865 Feb. 7, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Short Term Options Series Program
Comments due: March 6, 2013

SR-BATS-2013-009
34-68851 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-008
34-68797 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-007
34-68791 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to Price Sliding Functionality
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-010
34-68780 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-BATS-2013-005
34-68789 Jan. 31, 2013 Notice of Filing of Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
Comments due: February 27, 2013
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-69190

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
See also: Notice: Rel. No. 34-68442

SR-BATS-2013-003
34-68752 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of Discretionary Orders for BATS Options
Comments due: February 25, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-002
34-68659 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5

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
See also: Notice: Rel. No. 34-68313, Notice: Rel. No. 34-68022

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
See also: Notice: Rel. No. 34-68257


BATS File Number List for 2013
Release No. Date Details

SR-BATS-2013-066
34-71498 Feb. 6, 2014 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules to Hold a Volatility Closing Auction
Comments due: March 5, 2014
* Submit comments on SR-BATS-2013-066
34-71162 Dec. 20, 2013 Notice of Filing of a Proposed Rule Change to Adopt Rules to Hold a Volatility Closing Auction
Comments due: January 17, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-066

SR-BATS-2013-064
34-71082 Dec. 16, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: January 10, 2014
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-064

SR-BATS-2013-063
34-71140 Dec. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: January 16, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-063

SR-BATS-2013-062
34-71129 Dec. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify BATS Options Market Maker Continuous Quoting Obligation Rules
Comments due: January 14, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-062

SR-BATS-2013-061
34-71041 Dec. 11, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 7, 2014
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-061

SR-BATS-2013-060
34-70964 Dec. 2, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Risk Monitoring Functionality Offered by the Exchange
Comments due: December 27, 2013
Additional Materials: Exhibit 5
Comments received are available for this proposal.
* Submit comments on SR-BATS-2013-060

SR-BATS-2013-059
34-71375 Jan. 23, 2014 Order Granting Approval of Proposed Rule Change in Connection With the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
34-71023 Dec. 6, 2013 Notice of Filing of a Proposed Rule Change in Connection with the Proposed Business Combination Involving BATS Global Markets, Inc. and Direct Edge Holdings LLC
Comments due: January 2, 2014
Additional Materials:  Exhibit 5aExhibit 5bExhibit 5cExhibit 5dExhibit 5eExhibit 5fExhibit 5gExhibit 5h

SR-BATS-2013-058
34-70853 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: December 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-058

SR-BATS-2013-057
34-70865 Nov. 13, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the BATS Competitive Liquidity Provider Program
Comments due: December 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-057

SR-BATS-2013-056
34-70952 Nov. 27, 2013 Order Approving a Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders
34-70662 Oct. 11, 2013 Notice of Filing of a Proposed Rule Change to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders
Comments due: November 12, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-055
34-70687 Oct. 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-055

SR-BATS-2013-054
34-70664 Oct. 11, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: November 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-054

SR-BATS-2013-053
34-70513 Sep. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Clearly Erroneous Execution Rule
Comments due: October 23, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-053

SR-BATS-2013-052
34-70548 Sep. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Trading Halt Rule of BATS Options
Comments due: October 24, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-052

SR-BATS-2013-051
34-70986 Dec. 4, 2013 Order Granting Approval of Proposed Rule Change to List and Trade Shares of the iShares Liquidity Income Fund
See also: Notice: Rel. No. 34-70608
34-70608 Oct. 3, 2013 Notice of Filing of Proposed Rule Change to List and Trade Shares of the iShares Liquidity Income Fund
Comments due: November 12, 2013
See also: Order: Rel. No. 34-70986

SR-BATS-2013-050
34-70441 Sep. 18, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate References to Obsolete Functionality
Comments due: October 15, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-050

SR-BATS-2013-049
34-70360 Sep. 10, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 7, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-049

SR-BATS-2013-048
34-70348 Sep. 9, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 4, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-048

SR-BATS-2013-047
34-70257 Aug. 26, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Registration and Continuing Education Fees for BATS Exchange, Inc.
Comments due: September 20, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-047

SR-BATS-2013-046
34-70237 Aug. 20, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify BATS Registration and Continuing Education Requirements
Comments due: September 16, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-046

SR-BATS-2013-045
34-70264 Aug. 27, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Revenue Sharing Program
Comments due: September 24, 2013
* Submit comments on SR-BATS-2013-045

SR-BATS-2013-044
34-70197 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-044

SR-BATS-2013-043
34-70196 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-043

SR-BATS-2013-042
34-70190 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-042

SR-BATS-2013-041
34-70189 Aug. 14, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate Rules Related to CYCLE Routing
Comments due: September 10, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-041

SR-BATS-2013-040
34-69933 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 31, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-39
34-69936 Jul. 3, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Impose Fees for Market Data
Comments due: July 31, 2013

SR-BATS-2013-038
34-70250 Aug. 23, 2013 Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Listing Standards for Certain Securities
Additional Materials: Exhibit 5
34-69931 Jul. 3, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Listing Standards for Certain Securities
Comments due: July 31, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-037
34-69857 Jun. 25, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Requirements of the Competitive Liquidity Provider Program
Comments due: July 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-036
34-70199 Aug. 14, 2013 Order Approving a Proposed Rule Change to Introduce a Connectivity Option Through Points of Presence
34-69877 Jun. 27, 2013 Notice of Filing of a Proposed Rule Change to Introduce a Connectivity Option Through Points of Presence
Comments due: July 24, 2013

SR-BATS-2013-035
34-70465 Sep. 20, 2013 Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
34-70166 Aug. 13, 2013 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
34-69889 Jun. 28, 2013 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend the Competitive Liquidity Provider Program
Comments due: July 26, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-035

SR-BATS-2013-034
34-69793 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 15, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-033
34-69777 Jun. 17, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 12, 2013

SR-BATS-2013-032
34-69748 Jun. 12, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 2.11, Entitled "BATS Trading, Inc. as Outbound Router"
Comments due: July 9, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-030
34-69788 Jun. 18, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 15, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-026
34-69585 May 15, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 11, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-025
34-69546 May 9, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-024
34-69883 Jun. 27, 2013 Order Granting Approval to Proposed Rule Change Amending and Restating the Amended and Restated By-Laws of BATS Exchange, Inc.
34-69540 May 8, 2013 Notice of Filing of a Proposed Rule Change to Amend and Restate the Amended and Restated By-Laws of BATS Exchange, Inc.
Comments due: June 5, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-023
34-69387 Apr. 17, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Market Order Collar for BATS Options
Comments due: May 14, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-022
34-69310 Apr. 4, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change by BATS Exchange, Inc. to Modify Market Maker Peg Order Functionality
Comments due: May 1, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-021
34-69237 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-020
34-69238 Mar. 26, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-019
34-69160 Mar. 18, 2013 Notice of Filing of Proposed Rule Change to Amend the Minimum Trading Increments for Mini Options
Comments due: April 12, 2013
Additional Materials: Exhibit 5
* Submit comments on SR-BATS-2013-019

SR-BATS-2013-018
34-69226 Mar. 25, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 19, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-017
34-69079 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 4, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-016
34-69331 Apr. 5, 2013 Order Approving, on an Accelerated Basis, Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
34-69038 Mar. 5, 2013 Notice of Filing of a Proposed Rule Change to Modify the BATS Options Market Maker Obligation Rule
Comments due: April 2, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-015
34-69084 Mar. 8, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rules in Connection with the Limit Up-Limit Down Plan
Comments due: April 4, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-014
34-69121 Mar. 12, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Operation of Market Orders for BATS Options
Comments due: April 8, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-013
34-69018 Mar. 1, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Mini Options
Comments due: March 29, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-012
34-68951 Feb. 19, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 18, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-010
34-68780 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Operative Date of Changes to the Rule for Halting Trading in All Stocks Due to Extraordinary Market Volatility
Comments due: February 27, 2013

SR-BATS-2013-009
34-68851 Feb. 6, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Program Related to Trading Pauses Due to Extraordinary Market Volatility
Comments due: March 5, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-008
34-68797 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.17, entitled "Clearly Erroneous Executions"
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-007
34-68791 Jan. 31, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules Related to Price Sliding Functionality
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-006
34-68865 Feb. 7, 2013 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Short Term Options Series Program
Comments due: March 6, 2013

SR-BATS-2013-005
34-69190 Mar. 20, 2013 Order Approving Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
34-68789 Jan. 31, 2013 Notice of Filing of Proposed Rule Change to Modify the Competitive Liquidity Provider Program to, Among Other Things, Modify the Calculation of Size Event Tests
Comments due: February 27, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-003
34-68752 Jan. 29, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BATS Rules in Connection with the Elimination of Discretionary Orders for BATS Options
Comments due: February 25, 2013
Additional Materials: Exhibit 5

SR-BATS-2013-002
34-68659 Jan. 15, 2013 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 12, 2013
Additional Materials: Exhibit 5

 

 

http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2013.shtml


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