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BATS Exchange, Inc. (BATS) Rulemaking

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
First Quarter

BATS File Number List for 2016

Additional Archives


Chronological List


Release No. Date Details
First Quarter

SR-BATS-2015-102
34-77105 Feb. 10, 2016 Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 2, to Adopt Rule 11.27 regarding the Data Collection Requirements of the Tick Size Pilot
Comments due: 21 days after publication in the Federal Register
See also: Notice: Rel. No. 34-76891, Notice: Rel. No. 34-76524, Exemptive Order

SR-BATS-2016-06
34-77090 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the BATS Equity Options Trading Platform
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-03
34-77086 Feb. 9, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust
Comments due: 21 days after publication in the Federal Register

SR-BATS-2016-04
34-77078 Feb. 8, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust
Comments due: 21 days after publication in the Federal Register

SR-BATS-2016-15
34-77065 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-07
34-77069 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter XXI of BZX Options to Further Align the Rules with those of EDGX Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-12
34-77033 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-02
34-76954 Jan. 21, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust
Comments due:  February 17, 2016

SR-BATS-2015-108
34-76945 Jan. 21, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 11.27 to Implement the Quoting and Trading Requirements of the Tick Size Pilot Program
See also: Notice: Rel. No. 34-76552

SR-BATS-2015-124
34-76884 Jan. 13, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the REX VolMAX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust
Comments due:  February 10, 2016

SR-BATS-2015-102
34-76891 Jan. 13, 2016 Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program
See also: Notice: Rel. No. 34-76524, Notice: Rel. No. 34-77105

SR-BATS-2015-122
34-76864 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders
Comments due: February 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-120
34-76863 Jan. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-94
34-76862 Jan. 11, 2016 Notice of Filing of Proposed Rule Change to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust
Comments due: February 5, 2016

SR-BATS-2015-121
34-76849 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers
Comments due: February 3, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-123
34-76844 Jan. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: February 3, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-101
34-76841 Jan. 6, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt Rule 8.17 to Provide a Process for an Expedited Client Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity
See also: Notice: Rel. No. 34-76470

SR-BATS-2015-119
34-76832 Jan. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Describe IPO Auction Viewer
Comments due: February 1, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-100
34-76820 Jan. 4, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
See also: Notice: Rel. No. 34-76478


BATS File Number List for 2016
Release No. Date Details

SR-BATS-2016-15
34-77065 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-12
34-77033 Feb. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-07
34-77069 Feb. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter XXI of BZX Options to Further Align the Rules with those of EDGX Options
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-06
34-77090 Feb. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the BATS Equity Options Trading Platform
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5

SR-BATS-2016-04
34-77078 Feb. 8, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust
Comments due: 21 days after publication in the Federal Register

SR-BATS-2016-03
34-77086 Feb. 9, 2016 Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust
Comments due: 21 days after publication in the Federal Register

SR-BATS-2016-02
34-76954 Jan. 21, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust
Comments due:  February 17, 2016

 

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


Modified: 02/12/2016