Bats BZX Exchange, Inc. (BatsBZX) 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 BZX Exchange, Inc. (BatsBZX) 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.
Third Quarter | Second Quarter | First Quarter
BatsBZX File Number List for 2017
Additional Archives
Chronological List
| Release No. | Date | Details |
|---|---|---|
| Third Quarter | ||
| SR-BatsBZX-2017-35 | ||
| 34-81084 | Jul. 6, 2017 | Order Granting Approval of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, and Rule 20.3, Trading Halts
See also: Notice: Rel. No. 34-80709 |
| SR-BatsBZX-2017-34 | ||
| 34-81072 | Jul. 3, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28
See also: Notice: Rel. No. 34-80683 |
| Second Quarter | ||
| SR-BatsBZX-2017-38 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register See also: Notice: Rel. No. 34-80822 Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 |
| SR-BatsBZX-2017-26 | ||
| 34-81070 | Jun. 30, 2017 | Order Approving a Proposed Rule Change, to Amend BZX Rule 14.11 to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares
Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-80728 |
| SR-BatsBZX-2017-43 | ||
| 34-81032 | Jun. 27, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Logical Ports on the Bats Equity Options Platform
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-41 | ||
| 34-80919 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-40 | ||
| 34-80927 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-42 | ||
| 34-80912 | Jun. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: July 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-30 | ||
| 34-80911 | Jun. 13, 2017 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of Managed Portfolio Shares; and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF
Comments due: July 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-39 | ||
| 34-80834 | Jun. 1, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
Comments due: June 28, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-38 | ||
| 34-80822 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: June 27, 2017 Additional Materials: Appendix, Exhibit 5A See also: Order: Rel. No. 34-81067 Comments received are available for this proposal. |
| SR-BatsBZX-2017-37 | ||
| 34-80796 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-36 | ||
| 34-80772 | May 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule to Adopt Fees for a New Market Data Product Called the ETF Implied Liquidity Feed
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-26 | ||
| 34-80728 | May 19, 2017 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11, Other Securities, to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares
Comments due: June 15, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-60 | ||
| 34-80714 | May 18, 2017 | Notice of Withdrawal of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule
See also: Notice: Rel. No. 34-80461, Notice: Rel. No. 34-79103 |
| SR-BatsBZX-2017-35 | ||
| 34-80709 | May 17, 2017 | Notice of Filing of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: June 13, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-81084 |
| SR-BatsBZX-2017-34 | ||
| 34-80683 | May 16, 2017 | Notice of Filing of a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28
Comments due: June 12, 2017 Additional Materials: Exhibit 5 See also: Notice: Rel. No. 34-81072 Comments received are available for this proposal. |
| SR-BatsBZX-2017-31 | ||
| 34-80687 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BZX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 12, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-07 | ||
| 34-80664 | May 11, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4)
Comments due: June 7, 2017 Rebuttal comments due: June 21, 2017 See also: Notice: Rel. No. 34-80350, Notice: Rel. No. 34-79989 |
| SR-BatsBZX-2017-28 | ||
| 34-80641 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BatsBZX-2017-29 | ||
| 34-80629 | May 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: June 5, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-24 | ||
| 34-80611 | May 5, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BZX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member That Clears Transactions on Behalf of the User
Comments due: June 1, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-25 | ||
| 34-80580 | May 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product Known as the ETF Implied Liquidity Feed
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-14 | ||
| 34-80529 | Apr. 26, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under BZX Rule 14.11(i), Managed Fund Shares
See also: Notice: Rel. No. 34-80505, Notice: Rel. No. 34-80136 |
| SR-BatsBZX-2017-14 | ||
| 34-80505 | Apr. 21, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under BZX Rule 14.11(i), Managed Fund Shares
See also: Notice: Rel. No. 34-80136, Order: Rel. No. 34-80529 |
| SR-BatsBZX-2017-23 | ||
| 34-80498 | Apr. 20, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: May 17, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-22 | ||
| 34-80478 | Apr. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: May 15, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-60 | ||
| 34-80461 | Apr. 14, 2017 | Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule
See also: Notice: Rel. No. 34-79103, Notice: Rel. No. 34-80714 |
| SR-BatsBZX-2017-10 | ||
| 34-80399 | Apr. 7, 2017 | Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to List and Trade Shares of the 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 Under Exchange Rule 14.11(i)
See also: Notice: Rel. No. 34-80036 |
| First Quarter | ||
| SR-BatsBZX-2017-07 | ||
| 34-80350 | Mar. 30, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust
See also: Notice: Rel. No. 34-79989, Order: Rel. No. 34-80664 |
| SR-BatsBZX-2017-08 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79927 Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| SR-BatsBZX-2017-19 | ||
| 34-80242 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-15 | ||
| 34-80207 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-30 | ||
| 34-80206 | Mar. 10, 2017 | Order Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Shares Issued by the Winklevoss Bitcoin Trust
See also: Notice: Rel. No. 34-79725, Notice: Rel. No. 34-79183, Notice: Rel. No. 34-79084, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262 Additional Materials:
|
| SR-BatsBZX-2017-17 | ||
| 34-80205 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-80 | ||
| 34-80169 | Mar. 7, 2017 | Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards
Comments due: April 3, 2017 See also: Notice: Rel. No. 34-79839, Notice: Rel. No. 34-79450 |
| SR-BatsBZX-2017-14 | ||
| 34-80136 | Mar. 1, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under Rule 14.11(i), Managed Fund Shares
Comments due: March 28, 2017 See also: Order: Rel. No. 34-80529, Notice: Rel. No. 34-80505 Comments received are available for this proposal. |
| SR-BatsBZX-2017-13 | ||
| 34-80050 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Option Regulatory Fees as they Relate to the Equity Options Platform
Comments due: March 16, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-10 | ||
| 34-80036 | Feb. 14, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the 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 Under Bats Rule 14.11(i), Managed Fund Shares
Comments due: March 14, 2017 See also: Order: Rel. No. 34-80399 Comments received are available for this proposal. |
| SR-BatsBZX-2017-11 | ||
| 34-80017 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc Adding NBBO Setter Tiers
Comments due: March 9, 2017 |
| SR-BatsBZX-2017-12 | ||
| 34-80012 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Relate to the Equities Options Platform
Comments due: March 9, 2017 |
| SR-BatsBZX-2017-07 | ||
| 34-79989 | Feb. 8, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust
Comments due: March 7, 2017 See also: Notice: Rel. No. 34-80350, Order: Rel. No. 34-80664 Comments received are available for this proposal. |
| SR-BatsBZX-2017-05 | ||
| 34-79956 | Feb. 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Type of Logical Port Known as A Purge Port
Comments due: March 2, 2017 Additional Materials: Exhibit 5A, Exhibit 5B |
| SR-BatsBZX-2017-08 | ||
| 34-79927 | Feb. 2, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017 Additional Materials: Exhibit 5 See also: Order: Rel. No. 34-80256 |
| SR-BatsBZX-2016-61 | ||
| 34-79884 | Jan. 26, 2017 | Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.23, Auctions, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS
See also: Notice: Rel. No. 34-79552, Notice: Rel. No. 34-79162 |
| SR-BatsBZX-2017-03 | ||
| 34-79865 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares
Comments due: February 17, 2017 |
| SR-BatsBZX-2016-42 | ||
| 34-79859 | Jan. 23, 2017 | Notice of Withdrawal of a Proposed Rule Change to Amend the Options Regulatory Fee
See also: Notice: Rel. No. 34-78849, Notice: Rel. No. 34-78453 |
| SR-BatsBZX-2016-80 | ||
| 34-79839 | Jan. 18, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards
See also: Notice: Rel. No. 34-80169, Notice: Rel. No. 34-79450 |
| SR-BatsBZX-2017-01 | ||
| 34-79775 | Jan. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform
Comments due: February 9, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-92 | ||
| 34-79766 | Jan. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Fees to Adopt a New Cross-Asset Step-Up Tier
Comments due: February 7, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-90 | ||
| 34-79762 | Jan. 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-89 | ||
| 34-79758 | Jan. 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Fees for Connectivity and its Communication and Routing Service Known as Bats Connect
Comments due: February 3, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2016-30 | ||
| 34-79725 | Jan. 4, 2017 | 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 Amendment No. 1, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
See also: Order: Rel. No. 34-80206, Notice: Rel. No. 34-79183, Order: Rel. No. 34-79084, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262 |
BATS BZX File Number List for 2017
| Release No. | Date | Details |
|---|---|---|
| SR-BatsBZX-2017-43 | ||
| 34-81032 | Jun. 27, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Logical Ports on the Bats Equity Options Platform
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-42 | ||
| 34-80912 | Jun. 13, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: July 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-41 | ||
| 34-80919 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Options Platform
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-40 | ||
| 34-80927 | Jun. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: July 11, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-39 | ||
| 34-80834 | Jun. 1, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
Comments due: June 28, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-38 | ||
| 34-81067 | Jun. 30, 2017 | Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Comments due: 21 days after publication in the Federal Register Rebuttal comments due: 35 days after publication in the Federal Register Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsEDGA-2017-13, SR-BatsEDGX-2017-22, SR-BOX-2017-16, SR-BX-2017-023, SR-C2-2017-017; SR-CBOE-2017-040; SR-CHX-2017-08; SR-FINRA-2017-011; SR-GEMX-2017-17; SR-IEX-2017-16; SR-ISE-2017-45; SR-MIAX-2017-18; SR-MRX-2017-04; SR-NASDAQ-2017-046; SR-NYSE-2017-22; SR-NYSEArca-2017-52; SR-NYSEMKT-2017-26; SR-PEARL-2017-20; SR-PHLX-2017-37 |
| 34-80822 | May 31, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: June 27, 2017 Additional Materials: Appendix, Exhibit 5A Comments received are available for this proposal. |
| SR-BatsBZX-2017-37 | ||
| 34-80796 | May 26, 2017 | Notice of Filing of Proposed Rule Change to Eliminate Requirements That Will Be Duplicative of CAT
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-36 | ||
| 34-80772 | May 25, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Market Data Section of its Fee Schedule to Adopt Fees for a New Market Data Product Called the ETF Implied Liquidity Feed
Comments due: June 22, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-35 | ||
| 34-81084 | Jul. 6, 2017 | Order Granting Approval of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors, and Rule 20.3, Trading Halts |
| 34-80709 | May 17, 2017 | Notice of Filing of a Proposed Rule Change to Amend Rule 20.6, Nullification and Adjustment of Options Transactions including Obvious Errors
Comments due: June 13, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-34 | ||
| 34-81072 | Jul. 3, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 |
| 34-80683 | May 16, 2017 | Notice of Filing of a Proposed Rule Change to Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28
Comments due: June 12, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BatsBZX-2017-31 | ||
| 34-80687 | May 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BZX Exchange, Inc. to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 12, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-30 | ||
| 34-80911 | Jun. 13, 2017 | Notice of Filing of a Proposed Rule Change to Permit the Listing and Trading of Managed Portfolio Shares; and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF
Comments due: July 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-29 | ||
| 34-80629 | May 9, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: June 5, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-28 | ||
| 34-80641 | May 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2017 Additional Materials: Exhibit 5 Comments received are available for this proposal. |
| SR-BatsBZX-2017-26 | ||
| 34-81070 | Jun. 30, 2017 | Order Approving a Proposed Rule Change, to Amend BZX Rule 14.11 to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares
Additional Materials: Exhibit 5 |
| 34-80728 | May 19, 2017 | Notice of Filing of a Proposed Rule Change to Amend BZX Rule 14.11, Other Securities, to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares
Comments due: June 15, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-25 | ||
| 34-80580 | May 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product Known as the ETF Implied Liquidity Feed
Comments due: May 30, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-24 | ||
| 34-80611 | May 5, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BZX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member That Clears Transactions on Behalf of the User
Comments due: 21 days after publication in the Federal Register Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-23 | ||
| 34-80498 | Apr. 20, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: May 17, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-22 | ||
| 34-80478 | Apr. 18, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: May 15, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-19 | ||
| 34-80242 | Mar. 14, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: April 10, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-17 | ||
| 34-80205 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-15 | ||
| 34-80207 | Mar. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: April 6, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-14 | ||
| 34-80529 | Apr. 26, 2017 | Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under BZX Rule 14.11(i), Managed Fund Shares |
| 34-80505 | Apr. 21, 2017 | Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under BZX Rule 14.11(i), Managed Fund Shares |
| 34-80136 | Mar. 1, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under Rule 14.11(i), Managed Fund Shares
Comments due: March 28, 2017 Comments received are available for this proposal. |
| SR-BatsBZX-2017-13 | ||
| 34-80050 | Feb. 16, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Option Regulatory Fees as they Relate to the Equity Options Platform
Comments due: March 16, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-12 | ||
| 34-80012 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Relate to the Equities Options Platform
Comments due: March 9, 2017 |
| SR-BatsBZX-2017-11 | ||
| 34-80017 | Feb. 10, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc Adding NBBO Setter Tiers
Comments due: March 9, 2017 |
| SR-BatsBZX-2017-10 | ||
| 34-80399 | Apr. 7, 2017 | Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to List and Trade Shares of the 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 Under Exchange Rule 14.11(i)
See also: Notice: Rel. No. 34-80036 |
| 34-80036 | Feb. 14, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Shares of the 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 Under Bats Rule 14.11(i), Managed Fund Shares
Comments due: March 14, 2017 Comments received are available for this proposal. |
| SR-BatsBZX-2017-08 | ||
| 34-80256 | Mar. 15, 2017 | Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsEDGA-2017-03, SR-BatsEDGX-2017-08, SR-BOX-2017-07, SR-C2-2017-007, SR-CBOE-2017-012, SR-CHX-2017-03, SR-ISE-2017-08, SR-IEX-2017-04, SR-ISEGemini-2017-04, SR-ISEMercury-2017-03, SR-MIAX-2017-03, SR-PEARL-2017-04, SR-NASDAQ-2017-008, SR-BX-2017-007, SR-PHLX-2017-07, SR-NYSE-2017-01, SR-NYSEArca-2017-03, SR-NYSEArca-2017-04, SR-NYSEMKT-2017-02, SR-NSX-2017-03 |
| 34-79927 | Feb. 2, 2017 | Notice of Filing of a Proposed Rule Change to Adopt Rules 4.5 Through 4.16 to Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Comments due: March 1, 2017 Additional Materials: Exhibit 5 |
| SR-BatsBZX-2017-07 | ||
| 34-80664 | May 11, 2017 | Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4)
Comments due: June 7, 2017 Rebuttal comments due: June 21, 2017 See also: Notice: Rel. No. 34-80350, Notice: Rel. No. 34-79989 |
| 34-80350 | Mar. 30, 2017 | Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust |
| 34-79989 | Feb. 8, 2017 | Notice of Filing of a Proposed Rule Change to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust
Comments due: March 7, 2017 Comments received are available for this proposal. |
| SR-BatsBZX-2017-05 | ||
| 34-79956 | Feb. 3, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Type of Logical Port Known as A Purge Port
Comments due: March 2, 2017 Additional Materials: Exhibit 5A, Exhibit 5B |
| SR-BatsBZX-2017-03 | ||
| 34-79865 | Jan. 23, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares
Comments due: February 17, 2017 |
| SR-BatsBZX-2017-01 | ||
| 34-79775 | Jan. 12, 2017 | Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform
Comments due: February 9, 2017 Additional Materials: Exhibit 5 |