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BATS Exchange, Inc. (BATS) Rulemaking: 2015

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 2015

Additional Archives


Chronological List


Release No. Date Details
Fourth Quarter

SR-BATS-2015-105
34-76776 Dec. 28, 2015 Notice of Filing of a 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
Comments due: January 25, 2016
See also:  Order: Rel. No. 34-77487, Notice: Rel. No. 34-77159
Comments received are available for this proposal.

SR-BATS-2015-118
34-76758 Dec. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination
Comments due: January 20, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-115
34-76709 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-117
34-76707 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-116
34-76706 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-114
34-76688 Dec. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Exchange, Inc.
Comments due:  January 14, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-110
34-76664 Dec. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting
Comments due: January 12, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-112
34-76623 Dec. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), Amending Aggressive Re-Route Instruction
Comments due: January 7, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-111
34-76596 Dec. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading
Comments due: January 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-108
34-76552 Dec. 3, 2015 Notice of Filing of a Proposed Rule Change to Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program
Comments due: December 30, 2015
Additional Materials: Exhibit 5
See also:  Notice/Order: Rel. No. 34-77291, Notice: Rel. No. 34-76945
Comments received are available for this proposal.

SR-BATS-2015-102
34-76524 Nov. 25, 2015 Notice of Filing of a Proposed Rule Change to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program
Comments due:  December 22, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76891, Notice: Rel. No. 34-77105
Comments received are available for this proposal.

SR-BATS-2015-100
34-76478 Nov. 19, 2015 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
Comments due:  December 16, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78005, Notice: Rel. No. 34-77871, Notice: Rel. No. 34-77202, Notice: Rel. No. 34-76820
Comments received are available for this proposal.

SR-BATS-2015-101
34-76470 Nov. 18, 2015 Notice of Filing 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
Comments due:  December 15, 2015
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-77171, Notice: Rel. No. 34-76841
Comments received are available for this proposal.

SR-BATS-2015-97
34-76459 Nov. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing
Comments due:  December 14, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-99
34-76419 Nov. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: December 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-98
34-76411 Nov. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due: December 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-56
34-76394 Nov. 9, 2015 Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc.
Comments due: December 7, 2015
See also: Notice: Rel. No. 34-76019, Notice: Rel. No. 34-75664

SR-BATS-2015-57
34-76393 Nov. 9, 2015 Notice of Withdrawal of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
See also: Notice: Rel. No. 34-75970, Notice: Rel. No. 34-75693

SR-BATS-2015-93
34-76327 Nov. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Rule 22.10, Limitations on Dealings
Comments due:  November 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-92
34-76320 Oct. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time
Comments due:  November 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-96
34-76293 Oct. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period of the BATS Exchange, Inc.’s Supplemental Competitive Liquidity Provider Program
Comments due: November 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-91
34-76231 Oct. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due:  November 18, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-90
34-76205 Oct. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.25, Retail Order Attribution Program
Comments due:  November 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-69
34-76204 Oct. 21, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1)
See also: Notice: Rel. No. 34-75832

SR-BATS-2015-87
34-76197 Oct. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing
Comments due:  November 16, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-86
34-76162 Oct. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems
Comments due:  November 12, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-79
34-76158 Oct. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3.22, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient, and Renaming the Rule “Influencing or Rewarding Employees of Others”
Comments due:  November 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-89
34-76147 Oct. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-85
34-76130 Oct. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-83
34-76120 Oct. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-80
34-76113 Oct. 8, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Issuer Incentive Program Applicable to Securities Listed on BATS Exchange, Inc.
Comments due:  November 5, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-77
34-76092 Oct. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3.13 (Payment Designed to Influence Market Prices, Other than Paid Advertising)
Comments due:  November 4, 2015

SR-BATS-2015-82
34-76070 Oct. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 30, 2015
Additional Materials: Exhibit 5
Third Quarter

SR-BATS-2015-78
34-76054 Sep. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 2.13, Fidelity Bonds
Comments due:  October 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-76
34-76015 Sep. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restructure and Amend Rule 11.17, Clearly Erroneous Executions
Comments due: October 26, 2015

SR-BATS-2015-56
34-76019 Sep. 29, 2015

Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as modified by Amendments Nos. 1 and 2, to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11 on BATS Exchange, Inc.
See also: Notice: Rel. No. 34-76394, Notice: Rel. No. 34-75664
Comments Due: December 7, 2015


SR-BATS-2015-57
34-75970 Sep. 23, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
See also: Notice: Rel. No. 34-76393, Notice: Rel. No. 34-75693

SR-BATS-2015-71
34-75915 Sep. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-74
34-75902 Sep. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees to Adopt a Tape B Volume Tier
Comments due: October 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-69
34-75832 Sep. 3, 2015 Notice of Filing of Proposed Rule Change to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1)
Comments due:  October 1, 2015
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-76204

SR-BATS-2015-64
34-75785 Aug. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for a Market Data Product Known as BZX Book Viewer
Comments due:  September 24, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-65
34-75769 Aug. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26 Relating to the Reactivation of NSX
Comments due: September 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-63
34-75754 Aug. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 21, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-60
34-75723 Aug. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 14, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-62
34-75711 Aug. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Describe the Market Data Product BZX Book Viewer
Comments due:  September 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-57
34-75693 Aug. 13, 2015 Notice of Filing of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
Comments due:  September 9, 2015
Additional Materials: Exhibit 4, Exhibit 5
See also: Notice: Rel. No. 34-76393, Notice: Rel. No. 34-75970
Comments received are available for this proposal.

SR-BATS-2015-58
34-75678 Aug. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-56
34-75664 Aug. 11, 2015 Notice of Filing of a Proposal to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 4.11 on BATS Exchange, Inc.
Comments due:  September 8, 2015
See also: Notice: Rel. No. 34-76394, Notice: Rel. No. 34-76019
Comments received are available for this proposal.

SR-BATS-2015-54
34-75567 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of SR-BATS-2015-51
Comments due: August 26, 2015
Comments received are available for this proposal.

SR-BATS-2015-55
34-75518 Jul. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period of the BATS Exchange, Inc. Supplemental Competitive Liquidity Provider Program
Comments due: August 20, 2015

SR-BATS-2015-53
34-75437 Jul. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-52
34-75422 Jul. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-48
34-75406 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule
Comments due:  August 5, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-51
34-75360 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1(d)(9), (h) and (i) to Modify the Operation of BATS Post Only Orders on the Exchange's Options Platform
Comments due:  July 31, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-37
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BYX-2015-25, SR-EDGA-2015-19, SR-EDGX-2015-21
See also: Notice: Rel. No. 34-74987
Second Quarter

SR-BATS-2015-50
34-75338 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 28, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-47
34-75324 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9 of BATS Exchange, Inc., to Modify its Price Adjust Functionality
Comments due:  July 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-46
34-75313 Jun. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-45
34-75243 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-43
34-75166 Jun. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.3(i)
Comments due: July 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-44
34-75158 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-40
34-75107 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-39
34-75085 Jun. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to BATS Rule 14.13
Comments due: June 26, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-37
34-74987 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-38
34-74968 May 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-35
34-74938 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-33
34-74767 Apr. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-30
34-74743 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BATS-2015-09
34-74738 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-74247A, Notice: Rel. No. 34-74247

SR-BATS-2015-29
34-74726 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(j) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-31
34-74702 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, "Auctions"
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-28
34-74692 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-26
34-74666 Apr. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6 to Adopt a New Provision to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: May 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-25
34-74656 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: May 1, 2015
Additional Materials: Exhibit 5
First Quarter

SR-BATS-2015-24
34-74598 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-23
34-74589 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-22
34-74565 Mar. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Rule 21.17, Exchange Sharing of User Designated Risk Settings
Comments due: April 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2014-067
34-74556 Mar. 20, 2015 Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to BATS Rules 20.3 and 20.6
Comments due: April 16, 2015

SR-BATS-2015-16
34-74513 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-20
34-74484 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-17
34-74450 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Order to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-15
34-74403 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-09
34-74247A Feb. 26, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction
See also: Order: Rel. No. 34-74738, Notice: Rel. No. 34-74247

SR-BATS-2015-14
34-74359 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: March 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-13
34-74352 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 20, 2015
Additional Materials: Exhibit 5

SR-BATS-2014-056
34-74297 Feb. 18, 2015 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares U.S. Fixed Income Balanced Risk ETF of the iShares U.S. ETF Trust under Rule 14.11(i)
See also: Notice: Rel. No. 34-73965

SR-BATS-2015-12
34-74293 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-11
34-74285 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BZX Top and BZX Last Sale
Comments due: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-09
34-74247 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-74738, Notice: Rel. No. 34-74247A (Correction)

SR-BATS-2015-08
34-74214 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: March 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2014-054
34-74193 Feb. 3, 2015 Order Approving a Proposed Rule Change to List and Trade Shares of the iShares Short Maturity Municipal Bond ETF of the iShares U.S. ETF Trust under Rule 14.11(i) of BATS Exchange, Inc.
See also: Notice: Rel. No. 34-73895

SR-BATS-2015-06
34-74173 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-05
34-74160 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BATS-2015-07
34-74152 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-04
34-74074 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due:  February 13, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-02
34-74052 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-01
34-74043 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 10, 2015
Additional Materials: Exhibit 5


BATS File Number List for 2015
Release No. Date Details

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
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
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
Comments received are available for this proposal.

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-2015-122
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-2015-121
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-2015-120
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-2015-119
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-2015-118
34-76758 Dec. 23, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination
Comments due: January 20, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-117
34-76707 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-116
34-76706 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-115
34-76709 Dec. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  January 19, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-114
34-76688 Dec. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Exchange, Inc.
Comments due:  January 14, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-112
34-76623 Dec. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), Amending Aggressive Re-Route Instruction
Comments due: January 7, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-111
34-76596 Dec. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading
Comments due: January 5, 2016
Additional Materials: Exhibit 5

SR-BATS-2015-110
34-76664 Dec. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting
Comments due: January 12, 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: Exemptive Letter
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
34-76552 Dec. 3, 2015 Notice of Filing of a Proposed Rule Change to Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program
Comments due: December 30, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

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
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
34-76776 Dec. 28, 2015 Notice of Filing of a 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
Comments due: January 25, 2016
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: Exemptive Letter
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
34-76524 Nov. 25, 2015 Notice of Filing of a Proposed Rule Change to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program
Comments due:  December 22, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

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
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
34-76470 Nov. 18, 2015 Notice of Filing 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
Comments due:  December 15, 2015
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-100
34-78396 Jul. 22, 2016 Order Approving a Proposed Rule Change, as Modified by Amendment No. 6, to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
34-78005 Jun. 7, 2016 Notice of Filing of Amendment No. 5 to Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 thereto, to Amend Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
Comments due: June 28, 2016
Additional Materials: Exhibit 4, Exhibit 5
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
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
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
34-76478 Nov. 19, 2015 Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares
Comments due:  December 16, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-99
34-76419 Nov. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: December 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-98
34-76411 Nov. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options
Comments due: December 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-97
34-76459 Nov. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing
Comments due:  December 14, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-96
34-76293 Oct. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period of the BATS Exchange, Inc.’s Supplemental Competitive Liquidity Provider Program
Comments due: November 23, 2015
Additional Materials: Exhibit 5

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
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
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
Comments received are available for this proposal.

SR-BATS-2015-93
34-76327 Nov. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete Rule 22.10, Limitations on Dealings
Comments due:  November 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-92
34-76320 Oct. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as they Relate to Order Acceptance Time
Comments due:  November 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-91
34-76231 Oct. 22, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due:  November 18, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-90
34-76205 Oct. 21, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.25, Retail Order Attribution Program
Comments due:  November 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-89
34-76147 Oct. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-87
34-76197 Oct. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing
Comments due:  November 16, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-86
34-76162 Oct. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems
Comments due:  November 12, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-85
34-76130 Oct. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-83
34-76120 Oct. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  November 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-82
34-76070 Oct. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  October 30, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-80
34-76113 Oct. 8, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Issuer Incentive Program Applicable to Securities Listed on BATS Exchange, Inc.
Comments due:  November 5, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-79
34-76158 Oct. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3.22, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient, and Renaming the Rule “Influencing or Rewarding Employees of Others”
Comments due:  November 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-78
34-76054 Sep. 30, 2015 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete Rule 2.13, Fidelity Bonds
Comments due:  October 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-77
34-76092 Oct. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 3.13 (Payment Designed to Influence Market Prices, Other than Paid Advertising)
Comments due:  November 4, 2015

SR-BATS-2015-76
34-76015 Sep. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Restructure and Amend Rule 11.17, Clearly Erroneous Executions
Comments due: October 26, 2015

SR-BATS-2015-74
34-75902 Sep. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees to Adopt a Tape B Volume Tier
Comments due: October 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-71
34-75915 Sep. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: October 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-69
34-76204 Oct. 21, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1)
34-75832 Sep. 3, 2015 Notice of Filing of Proposed Rule Change to Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1)
Comments due:  October 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-65
34-75769 Aug. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.26 Relating to the Reactivation of NSX
Comments due:  September 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-64
34-75785 Aug. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for a Market Data Product Known as BZX Book Viewer
Comments due:  September 24, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-63
34-75754 Aug. 25, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 21, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-62
34-75711 Aug. 17, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Describe the Market Data Product BZX Book Viewer
Comments due:  September 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-60
34-75723 Aug. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 14, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-58
34-75678 Aug. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  September 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-57
34-76393 Nov. 9, 2015 Notice of Withdrawal of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
34-75970 Sep. 23, 2015 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
34-75693 Aug. 13, 2015 Notice of Filing of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Adopt New Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing on BATS Exchange, Inc.
Comments due:  September 9, 2015
Additional Materials: Exhibit 4, Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-56
34-76394 Nov. 9, 2015 Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc.
Comments due: 21 days after publication in the Federal Register
34-76019 Sep. 29, 2015 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as modified by Amendments Nos. 1 and 2, to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 14.11 on BATS Exchange, Inc.
34-75664 Aug. 11, 2015 Notice of Filing of a Proposal to List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust under BATS Rule 4.11 on BATS Exchange, Inc.
Comments due:  September 8, 2015
Comments received are available for this proposal.

SR-BATS-2015-55
34-75518 Jul. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period of the BATS Exchange, Inc. Supplemental Competitive Liquidity Provider Program
Comments due: August 20, 2015

SR-BATS-2015-54
34-75567 Jul. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of SR-BATS-2015-51
Comments due: 21 days after publication in the Federal Register
Comments received are available for this proposal.

SR-BATS-2015-53
34-75437 Jul. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-52
34-75422 Jul. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  August 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-51
34-75360 Jul. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1(d)(9), (h) and (i) to Modify the Operation of BATS Post Only Orders on the Exchange's Options Platform
Comments due:  July 31, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-50
34-75338 Jun. 30, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due:  July 28, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-48
34-75406 Jul. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule
Comments due:  August 5, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-47
34-75324 Jun. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.9 of BATS Exchange, Inc., to Modify its Price Adjust Functionality
Comments due:  July 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-46
34-75313 Jun. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-45
34-75243 Jun. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  July 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-44
34-75158 Jun. 11, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: July 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-43
34-75166 Jun. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.3(i)
Comments due: July 9, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-40
34-75107 Jun. 4, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 13.8 Describing a Communication and Routing Service Known as BATS Connect
Comments due: July 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-39
34-75085 Jun. 1, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule to Amend Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to BATS Rule 14.13
Comments due: June 26, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-38
34-74968 May 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-37
34-75354 Jul. 2, 2015 Order Approving Proposed Rule Changes, as Modified by Amendment No. 1, Relating to Liquidity Requirements for Securities Admitted to Unlisted Trading Privileges
Additional File Nos.: SR-BYX-2015-25, SR-EDGA-2015-19, SR-EDGX-2015-21
34-74987 May 18, 2015 Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, to Amend Rule 11.2 to State that the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless that Security Satisfies Certain Liquidity Requirements
Comments due: June 12, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-35
34-74938 May 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: June 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-33
34-74767 Apr. 20, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: May 15, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-31
34-74702 Apr. 10, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.23, "Auctions"
Comments due:  May 7, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-30
34-74743 Apr. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)
Comments due:  May 13, 2015

SR-BATS-2015-29
34-74726 Apr. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Content of the BATS One Feed Under Rule 11.22(j) to Include Consolidated Volume for all Listed Equity Securities
Comments due:  May 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-28
34-74692 Apr. 9, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  May 6, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-26
34-74666 Apr. 7, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6 to Adopt a New Provision to Account for Erroneous Trades Occurring from Disruptions and/or Malfunctions of Exchange Systems
Comments due: May 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-25
34-74656 Apr. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.3, Record of Written Complaints
Comments due: May 1, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-24
34-74598 Mar. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees for the BATS One Market Data Product
Comments due: April 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-23
34-74589 Mar. 26, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 22, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-22
34-74565 Mar. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt New Rule 21.17, Exchange Sharing of User Designated Risk Settings
Comments due: April 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-20
34-74484 Mar. 12, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: April 8, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-17
34-74450 Mar. 6, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution, to Delete References to the ROLF Routing Option, Which Routed Order to LavaFlow ECN
Comments due: April 2, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-16
34-74513 Mar. 16, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 12.14, Front Running of Block Transactions
Comments due: April 10, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-15
34-74403 Mar. 2, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Update the Names of Certain Market Data Products
Comments due: March 27, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-14
34-74359 Feb. 24, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate Rule 13.4, "Assigning of Registered Securities in the Name of a Member or Member Organization."
Comments due: March 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-13
34-74352 Feb. 23, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due: March 20, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-12
34-74293 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 8.15 Entitled "Imposition of Fines for Minor Violation(s) of Rules"
Comments due: March 17, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-11
34-74285 Feb. 18, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the BATS One Feed, and Amend Fees for BZX Top and BZX Last Sale
Comments due: March 17, 2015
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BATS-2015-09
34-74738 Apr. 16, 2015 Order Granting Approval of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
34-74247A Feb. 26, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction
34-74247 Feb. 11, 2015 Notice of Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.
Comments due: March 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-08
34-74214 Feb. 5, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: March 4, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-07
34-74152 Jan. 27, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rules 2.5(c)(4) and 11.5 to Harmonize with EDGA and EDGX Rules, its Membership Requirements Applicable to Clearing Agencies that Clear Transactions for Members
Comments due:  February 23, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-06
34-74173 Jan. 29, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on BATS Exchange, Inc. pursuant to Rule 14.13
Comments due:  February 25, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-05
34-74160 Jan. 28, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter IX of its Rulebook to Incorporate Certain Rules of NASDAQ and FINRA Relating to Arbitration and Mediation
Comments due:  February 24, 2015

SR-BATS-2015-04
34-74074 Jan. 15, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Use of Certain Data Feeds
Comments due:  February 13, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-02
34-74052 Jan. 14, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 11, 2015
Additional Materials: Exhibit 5

SR-BATS-2015-01
34-74043 Jan. 13, 2015 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.
Comments due:  February 10, 2015
Additional Materials: Exhibit 5

 

http://www.sec.gov/rules/sro/bats/batsarchive/batsarchive2015.shtml


Modified: 07/22/2016