Comments on Bats BZX Rulemaking

Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standard

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Date Received
Date Letter Type Commenter Name
Public Comment Dorothy Donohue, Acting General Counsel, Investment Company Institute
Public Comment Kyle Murray, Assistant General Counsel, Bats Global Markets
Public Comment Kyle Murray, Assistant General Counsel, Bats Global Markets
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 24, 2017, meeting with representatives of the Investment Company Institute, Invesco PowerShares Capital Management LLC, and State Street Global Advisors
Public Comment Matthew B. Farber, Assistant General Counsel, First Trust Advisors L.P.
Meeting with SEC Officials Memorandum from the Division of Trading and Markets regarding a February 13, 2017, telephonic meeting with representatives of the Investment Company Institute
Public Comment Kevin McCarthy, Senior Managing Director, Nuveen Fund Advisors, LLC
Public Comment Ryan Louvar, General Counsel, WisdomTree Asset Management, Inc.
Public Comment Peter K. Ewing, Senior Vice President, Northern Trust Investments, Inc.
Public Comment Samara Cohen, Joanne Medero, and Deepa Damre; BlackRock, Inc.
Public Comment James E. Ross, Executive Vice President and Chairman, Global SPDR Business, State Street Global Advisors
Public Comment Anna Paglia, Head of Legal, Invesco PowerShares Capital Management LLC
Public Comment Steven Price, SVP, Director of Distribution Services and Chief Compliance Officer, ALPS Distributors, Inc.
Public Comment David W. Blass, General Counsel, Investment Company Institute

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-BatsBZX-2016-80
Release Number
34-79450
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