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BATS Exchange, Inc. (BATS) Rulemaking

The BATS Exchange has changed its name to Bats BZX Exchange, Inc.. All filings by Bats BZX Exchange will be posted to the Bats BZX page. Filings filed with "BATS" as part of the file number will be posted on the BATS Exchange page.

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
Second Quarter |  First Quarter

BATS File Number List for 2016

Additional Archives


Chronological List


Release No. Date Details
Second Quarter

SR-BATS-2015-100
34-77871 May 20, 2016 Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 thereto, to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
See also: Notice: Rel. No. 34-77202, Notice: Rel. No. 34-76820, Notice: Rel. No. 34-76478

SR-BATS-2016-16
34-77770 May 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares
See also: Notice: Rel. No. 34-77379

SR-BATS-2015-124
34-77620 Apr. 14, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 5, to List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust
See also: Notice: Rel. No. 34-77287, Notice: Rel. No. 34-76884

SR-BATS-2016-14
34-77611 Apr. 13, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions
See also: Notice: Rel. No. 34-77214

SR-BATS-2015-94
34-77567 Apr. 8, 2016 Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust
Comments due:  May 5, 2016
See also: Notice: Rel. No. 34-77209, Notice: Rel. No. 34-76862
Comments received are available for this proposal.

SR-BATS-2016-04
34-77499 Apr. 1, 2016 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust
Comments due:  April 28, 2016
See also: Notice: Rel. No. 34-77451, Notice: Rel. No. 34-77078
First Quarter

SR-BATS-2015-105
34-77487 Mar. 31, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to List and Trade Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust
See also: Notice: Rel. No. 34-77159, Notice: Rel. No. 34-76776

SR-BATS-2016-03
34-77480 Mar. 30, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to List and Trade Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust
See also: Notice: Rel. No. 34-77086

SR-BATS-2016-17
34-77476 Mar. 30, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS' Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering
See also: Notice: Rel. No. 34-77222

SR-BATS-2016-10
34-77464 Mar. 29, 2016 Order Approving Proposed Rule Changes to Amend and Restate the Certificate of Incorporation and Bylaws of the Exchanges' Ultimate Parent Company, BATS Global Markets, Inc.
Additional File Nos.: SR-BYX-2016-02, SR-EDGX-2016-04, SR-EDGA-2016-01
See also: Notice: Rel. No. 34-77155

SR-BATS-2016-04
34-77451 Mar. 25, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF
See also: Notice: Rel. No. 34-77078, Notice: Rel. No. 34-77499

SR-BATS-2016-16
34-77379 Mar. 16, 2016 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares
Comments due:  April 12, 2016
Comments received are available for this proposal.

SR-BATS-2016-02
34-77333 Mar. 9, 2016 Notice of Designation of a Longer Period for Commission Action on 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
See also: Notice: Rel. No. 34-76954

SR-BATS-2016-26
34-77330 Mar. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-25
34-77307 Mar. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries
Comments due: April 1, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

SR-BATS-2016-27
34-77310 Mar. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b), Compliance with Data Collection Requirements, Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 1, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-108
34-77291 Mar. 3, 2016 Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change to Adopt BATS Rule 11.27(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
Comments due: March 30, 2016
See also: Notice: Rel. No. 34-76552, Notice: Rel. No. 34-76945; Exemptive Letter

SR-BATS-2015-124
34-77287 Mar. 3, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to BATS Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust
See also: Notice: Rel. No. 34-76884, Order: Rel. No. 34-77620

SR-BATS-2016-24
34-77284 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, Auctions, to Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-23
34-77256 Mar. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due: March 28, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-17
34-77222 Feb. 24, 2016 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering
Comments due: March 21, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77480

SR-BATS-2016-14
34-77214 Feb. 23, 2016 Notice of Filing of a Proposed Rule Change to Adopt an Early Trading Session and Three New Time-in-Force Instructions
Comments due: March 21, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-77611

SR-BATS-2015-94
34-77209 Feb. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust
See also:  Notice/Order: Rel. No. 34-77567, Notice: Rel. No. 34-76862

SR-BATS-2015-100
34-77202 Feb. 22, 2016 Notice of Filing of Amendments No. 1 No. 3, and No. 4 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendments No. 1, No. 3, and No. 4, to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
Comments due:  March 18, 2016
Rebuttal comments due:  April 1, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-77871, Notice: Rel. No. 34-76820, Notice: Rel. No. 34-76478

SR-BATS-2016-18
34-77188 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, to Amend the Operation of Non-Displayed Orders and Reserve Orders
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2016-08
34-77182 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, to Amend the Minor Rule Violation Plan
Comments due:  March 17, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-101
34-77171 Feb. 18, 2016 Order Granting Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity
See also: Notice: Rel. No. 34-76841, Notice: Rel. No. 34-76470

SR-BATS-2016-10
34-77155 Feb. 17, 2016 Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchange’s Ultimate Parent Company, BATS Global Markets, Inc.
Comments due: March 15, 2016
Additional Materials: Exhibit 5A, Exhibit 5B
See also: Order: Rel. No. 34-77464

SR-BATS-2015-105
34-77159 Feb. 17, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade the Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust
See also:  Order: Rel. No. 34-77487, Notice: Rel. No. 34-76776
Comments received are available for this proposal.

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: March 9, 2016
See also: Notice: Rel. No. 34-76891, Notice: Rel. No. 34-76524, Exemptive Letter

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: March 8, 2016
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: March 8, 2016
Comments received are available for this proposal
See Also: Order: Rel. No.: 34-77476

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: March 4, 2016
Comments received are available for this proposal.
See also:  Notice: Rel. No. 34-77451, Notice: Rel. No. 34-77499

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: March 3, 2016
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: March 3, 2016
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: February 29, 2016
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
See also: Notice: Rel. No. 34-77333

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/Order: Rel. No. 34-77291, 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
See also: Notice: Rel. No. 34-77287, Order: Rel. No. 34-77620
Comments received are available for this proposal.

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
See also:  Notice/Order: Rel. No. 34-77567, Notice: Rel. No. 34-77209
Comments received are available for this proposal.

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. 34-77171, 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. 34-77871, Notice: Rel. No. 34-77202, Notice: Rel. No. 34-76478


BATS File Number List for 2016
Release No. Date Details

SR-BATS-2016-27
34-77310 Mar. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b), Compliance with Data Collection Requirements, Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 1, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-26
34-77330 Mar. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-25
34-77307 Mar. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries
Comments due: April 1, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E

SR-BATS-2016-24
34-77284 Mar. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, Auctions, to Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities
Comments due: March 29, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-23
34-77256 Mar. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due: March 28, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-18
34-77188 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, to Amend the Operation of Non-Displayed Orders and Reserve Orders
Comments due:  March 17, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2016-17
34-77476 Mar. 30, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend BATS' Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering
34-77222 Feb. 24, 2016 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering
Comments due: March 21, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-16
34-77770 May 5, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares
34-77379 Mar. 16, 2016 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares
Comments due:  April 12, 2016
Comments received are available for this proposal.

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: March 3, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-14
34-77611 Apr. 13, 2016 Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Adopt an Early Trading Session and Three New Time-in-Force Instructions
34-77214 Feb. 23, 2016 Notice of Filing of a Proposed Rule Change to Adopt an Early Trading Session and Three New Time-in-Force Instructions
Comments due: March 21, 2016
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: February 29, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-10
34-77464 Mar. 29, 2016 Order Approving Proposed Rule Changes to Amend and Restate the Certificate of Incorporation and Bylaws of the Exchanges' Ultimate Parent Company, BATS Global Markets, Inc.
Additional File Nos.: SR-BYX-2016-02, SR-EDGX-2016-04, SR-EDGA-2016-01
34-77155 Feb. 17, 2016 Notice of Filing of a Proposed Rule Change to Amend the Certificate of Incorporation and Bylaws of the Exchange’s Ultimate Parent Company, BATS Global Markets, Inc.
Comments due: March 15, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-BATS-2016-08
34-77182 Feb. 19, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, to Amend the Minor Rule Violation Plan
Comments due:  March 17, 2016
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: March 3, 2016
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: March 8, 2016
Additional Materials: Exhibit 5

SR-BATS-2016-04
34-77499 Apr. 1, 2016 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust
Comments due:  April 28, 2016
34-77451 Mar. 25, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF
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: March 4, 2016
Comments received are available for this proposal.

SR-BATS-2016-03
34-77480 Mar. 30, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, to List and Trade Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust
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: March 8, 2016
Comments received are available for this proposal.

SR-BATS-2016-02
34-77333 Mar. 9, 2016 Notice of Designation of a Longer Period for Commission Action on 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
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: 05/20/2016