Bats BZX Exchange, Inc. (BatsBZX) Rulemaking

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Chronological List

Fourth Quarter | Third Quarter | Second Quarter | First Quarter

BatsBZX File Number List for 2017

Additional Archives

Chronological List

Release No. Date Details
Fourth Quarter
SR-BatsBZX-2017-58
34-82115 Nov. 17, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Exchange Rule 14.11(c)(3), Index Fund Shares
See also: Notice: Rel. No. 34-81815
SR-BatsBZX-2017-34
34-82108 Nov. 17, 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 Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28
See also: Notice: Rel. No. 34-81437, Notice: Rel. No. 34-81072, Notice: Rel. No. 34-80683
SR-BatsBZX-2017-72
34-82097 Nov. 16, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i)
Comments due: 21 days after publication in the Federal Register
SR-BatsBZX-2017-56
34-82078 Nov. 14, 2017 Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
See also: Notice: Rel. No. 34-81495, Notice: Rel. No. 34-81895
SR-BatsBZX-2017-76
34-82052 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports as they Apply to the Exchange's Equity Options Platform
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBZX-2017-38
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
See also: Notice: Rel. No. 34-80822, Order: Rel. No. 34-81067
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-2017-75
34-82050 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBZX-2017-54
34-82025 Nov. 7, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares
See also: Notice: Rel. No. 34-81671
SR-BatsBZX-2017-70
34-81962 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-71
34-81950 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 21.1 to Adopt a New Time in Force Applicable to the Exchange's Equity Options Platform
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-46
34-81947 Oct. 25, 2017 Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3, to List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, under Rule 14.11(c)
Comments due: November 21, 2017
See also: Notice: Rel. No. 34-81558, Notice: Rel. No. 34-81191
SR-BatsBZX-2017-69
34-81924 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Amended and Restated Certificate of Incorporation
Comments due: November 17, 2017
SR-BatsBZX-2017-68
34-81919 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, to Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration
Comments due: November 17, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-67
34-81906 Oct. 19, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform
Comments due: November 15, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-56
34-81895 Oct. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
See also: Notice: Rel. No. 34-81495, Notice: Rel. No. 34-82078
SR-BatsBZX-2017-53
34-81876 Oct. 16, 2017 Order Granting Approval of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3) (Index Fund Shares)
See also: Notice: Rel. No. 34-81510
SR-BatsBZX-2017-65
34-81866 Oct. 12, 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: November 8, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-61
34-81864 Oct. 12, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Interpretation with Respect to the Meaning, Administration, or Enforcement of Rule 14.11, Other Securities, and Rule 14.12, Failure to Meet Listing Standards
Comments due: November 8, 2017
SR-BatsBZX-2017-55
34-81849 Oct. 11, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Harmonize the Corporate Governance Framework of each Exchange with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
See also: Notice: Rel. No. 34-81497
Additional File Nos.: SR-BatsBYX-2017-19, SR-BatsEDGA-2017-22, SR-BatsEDGX-2017-35
SR-BatsBZX-2017-58
34-81815 Oct. 4, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares
Comments due: November 1, 2017
See also: Notice: Rel. No. 34-82115
SR-BatsBZX-2017-62
34-81807 Oct. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, to Add New Optional Functionality to Minimum Quantity Orders
Comments due: October 31, 2017
Additional Materials: Exhibit 5
Third Quarter
SR-BatsBZX-2017-63
34-81777 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
Comments due: October 26, 2017
SR-BatsBZX-2017-50
34-81734 Sep. 27, 2017 Notice of Withdrawal of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
See also: Notice: Rel. No. 34-81387
SR-BatsBZX-2017-07
34-81715 Sep. 25, 2017 Notice of Withdrawal of a 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. 34-81363, Notice: Rel. No. 34-80664, Notice: Rel. No. 34-80350, Notice: Rel. No. 34-79989
SR-BatsBZX-2017-54
34-81671 Sep. 21, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares
Comments due: October 18, 2017
See also: Notice: Rel. No. 34-82025
SR-BatsBZX-2017-30
34-81599 Sep. 13, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: October 10, 2017
Rebuttal comments due: October 23, 2017
See also: Notice: Rel. No. 34-81247, Notice: Rel. No. 34-80911
SR-BatsBZX-2017-57
34-81594 Sep. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing, to Account for IEX as a Primary Listing Market and to Amend Certain Rules to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-46
34-81558 Sep. 8, 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 Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c)
See also:  Notice/Order: Rel. No. 34-81947, Notice: Rel. No. 34-81191
SR-BatsBZX-2017-53
34-81510 Aug. 31, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3), Index Fund Shares
Comments due: September 28, 2017
See also: Order: Rel. No. 34-81876
SR-BatsBZX-2017-37
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
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. 34-80796, Notice: Rel. No. 34-81145
Additional File Nos.: SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-BatsBZX-2017-39
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80834
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
SR-BatsBZX-2017-55
34-81497 Aug. 30, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
Comments due: September 27, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
See also: Order: Rel. No. 34-81849
SR-BatsBZX-2017-56
34-81495 Aug. 29, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
Comments due: September 26, 2017
See also: Notice: Rel. No. 34-81895, Notice: Rel. No. 34-82078
SR-BatsBZX-2017-34
34-81437 Aug. 18, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: September 14, 2017
Rebuttal comments due: September 28, 2017
See also: Notice: Rel. No. 34-81072, Notice: Rel. No. 34-80683, Notice: Rel. No. 34-82108
SR-BatsBZX-2017-52
34-81404 Aug. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business
Comments due: September 11, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-50
34-81387 Aug. 14, 2017 Notice of Filing of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
Comments due: September 8, 2017
See also: Notice: Rel. No. 34-81734
Comments received are available for this proposal.
SR-BatsBZX-2017-07
34-81363 Aug. 9, 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 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)
See also: Notice: Rel. No. 34-80664, Notice: Rel. No. 34-80350, Notice: Rel. No. 34-79989, Notice: Rel. No. 34-81715
SR-BatsBZX-2017-51
34-81328 Aug. 7, 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: August 31, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-48
34-81304 Aug. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Equity Options Platform
Comments due: August 30, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-47
34-81289 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. and Bats BZX Exchange, Inc.'s Equity Options Platform
Comments due: August 29, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
SR-BatsBZX-2017-30
34-81247 Jul. 28, 2017 Notice of Designation of a Longer Period for Commission Action on 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
See also: Notice: Rel. No. 34-80911 and Notice: Rel. No. 34-81599
SR-BatsBZX-2017-44
34-81206 Jul. 25, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: August 21, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-46
34-81191 Jul. 24, 2017 Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, to List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions
Comments due: August 18, 2017
See also:  Notice/Order: Rel. No. 34-81947, Notice: Rel. No. 34-81558
Comments received are available for this proposal.
SR-BatsBZX-2017-39
34-81157 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
See also:  Order: Rel. No. 34-81500, Notice: Rel. No. 34-80834
SR-BatsBZX-2017-37
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
See also: Notice: Rel. No. 34-80796, Notice: Rel. No. 34-81499
Additional File Nos.: SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017 -20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE-2017-23, SR- NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
SR-BatsBZX-2017-45
34-81152 Jul. 14, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 14.13, Company Listing Fees, to Amend the Fees Applicable to Securities Listed on the Exchange
Comments due: August 10, 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
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, Notice: Rel. No. 34-81437, Notice: Rel. No. 34-82108
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: July 28, 2017
Rebuttal comments due: August 11, 2017
See also:  Notice: Rel. No. 34-80822, Notice: Rel. No. 34-82049
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
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
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: July 24, 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-2017-42
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
See also: Notice: Rel. No. 34-81247 and Notice: Rel. No. 34-81599
Comments received are available for this proposal.
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
See also: Order: Rel. No. 34-81500
Comments received are available for this proposal.
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, Notice: Rel. No. 34-82049
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
See also: Notice: Rel. No. 34-81145, Notice: Rel. No. 34-81499
Comments received are available for this proposal.
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, Notice: Rel. No. 34-81437, Notice: Rel. No. 34-82108
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. 34-81363, Notice: Rel. No. 34-80350, Notice: Rel. No. 34-79989, Notice: Rel. No. 34-81715
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. 34-81363, Notice: Rel. No. 34-79989, Order: Rel. No. 34-80664, Notice: Rel. No. 34-81715
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. 34-81363, Notice: Rel. No. 34-80350, Order: Rel. No. 34-80664, Notice: Rel. No. 34-81715
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: February 3, 2017
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-2017-76
34-82052 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports as they Apply to the Exchange's Equity Options Platform
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBZX-2017-75
34-82050 Nov. 9, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify its Fees for Physical Ports
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsBZX-2017-72
34-82097 Nov. 16, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i)
Comments due: 21 days after publication in the Federal Register
SR-BatsBZX-2017-71
34-81950 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 21.1 to Adopt a New Time in Force Applicable to the Exchange's Equity Options Platform
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-70
34-81962 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
Comments due: November 22, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-69
34-81924 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to its Amended and Restated Certificate of Incorporation
Comments due: November 17, 2017
SR-BatsBZX-2017-68
34-81919 Oct. 23, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, to Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration
Comments due: November 17, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-67
34-81906 Oct. 19, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform
Comments due: November 15, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-65
34-81866 Oct. 12, 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: November 8, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-63
34-81777 Sep. 29, 2017 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
Comments due: October 26, 2017
SR-BatsBZX-2017-62
34-81807 Oct. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, to Add New Optional Functionality to Minimum Quantity Orders
Comments due: October 31, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-61
34-81864 Oct. 12, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Interpretation with Respect to the Meaning, Administration, or Enforcement of Rule 14.11, Other Securities, and Rule 14.12, Failure to Meet Listing Standards
Comments due: November 8, 2017
SR-BatsBZX-2017-58
34-82115 Nov. 17, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Exchange Rule 14.11(c)(3), Index Fund Shares
34-81815 Oct. 4, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares
Comments due: November 1, 2017
SR-BatsBZX-2017-57
34-81594 Sep. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13, Order Execution and Routing, to Account for IEX as a Primary Listing Market and to Amend Certain Rules to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-56
34-82078 Nov. 14, 2017 Notice of Withdrawal of a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
34-81895 Oct. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
34-81495 Aug. 29, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)
Comments due: September 26, 2017
SR-BatsBZX-2017-55
34-81849 Oct. 11, 2017 Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Harmonize the Corporate Governance Framework of each Exchange with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated
Additional File Nos.: SR-BatsBYX-2017-19, SR-BatsEDGA-2017-22, SR-BatsEDGX-2017-35
34-81497 Aug. 30, 2017 Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Harmonize the Corporate Governance Framework with that of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated
Comments due: September 27, 2017
Additional Materials: Exhibit 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e
SR-BatsBZX-2017-54
34-82025 Nov. 7, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares
34-81671 Sep. 21, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares
Comments due: October 18, 2017
SR-BatsBZX-2017-53
34-81876 Oct. 16, 2017 Order Granting Approval of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3) (Index Fund Shares)
34-81510 Aug. 31, 2017 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3), Index Fund Shares
Comments due: September 28, 2017
SR-BatsBZX-2017-52
34-81404 Aug. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business
Comments due: September 11, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-51
34-81328 Aug. 7, 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: August 31, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-50
34-81734 Sep. 27, 2017 Notice of Withdrawal of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
34-81387 Aug. 14, 2017 Notice of Filing of a Proposed Rule Change to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12
Comments due: September 8, 2017
Comments received are available for this proposal.
SR-BatsBZX-2017-48
34-81304 Aug. 3, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.'s Equity Options Platform
Comments due: August 30, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-47
34-81289 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. and Bats BZX Exchange, Inc.'s Equity Options Platform
Comments due: August 29, 2017
Additional Materials: Exhibit 5a, Exhibit 5b
SR-BatsBZX-2017-46
34-81947 Oct. 25, 2017 Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3, to List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, under Rule 14.11(c)
Comments due: November 21, 2017
See also: Notice: Rel. No. 34-81558, Notice: Rel. No. 34-81191
34-81558 Sep. 8, 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 Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c)
34-81191 Jul. 24, 2017 Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, to List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions
Comments due: August 18, 2017
Comments received are available for this proposal.
SR-BatsBZX-2017-45
34-81152 Jul. 14, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 14.13, Company Listing Fees, to Amend the Fees Applicable to Securities Listed on the Exchange
Comments due: August 10, 2017
Additional Materials: Exhibit 5
SR-BatsBZX-2017-44
34-81206 Jul. 25, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc.
Comments due: August 21, 2017
Additional Materials: Exhibit 5
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: July 24, 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-2017-41
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
34-81500 Aug. 30, 2017 Order Approving Proposed Rule Changes, as Modified by Amendments, to Adopt a Consolidated Audit Trail Fee Dispute Resolution Process
See also: Notice: Rel. No. 34-80834
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsEDGA-2017-14, SR-BatsEDGX-2017-24, SR-BOX-2017-19, SR-CBOE-2017-043, SR-IEX-2017-21, SR-ISE-2017-52, SR-MRX-2017-08, SR-MIAX-2017-24, SR-NASDAQ-2017-059, SR-BX-2017-029, SR-GEMX-2017-24, SR-Phlx-2017-47, SR-NYSE-2017-24, SR-NYSEArca-2017-60, SR-NYSEMKT-2017-31
34-81157 Jul. 18, 2017 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
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
Comments received are available for this proposal.
SR-BatsBZX-2017-38
34-82049 Nov. 9, 2017 Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
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
34-81067 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: July 28, 2017
Rebuttal comments due: August 11, 2017
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
Comments received are available for this proposal.
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
34-81499 Aug. 30, 2017 Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami International Securities Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT
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-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017-20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-Phlx-2017-43, SR-NYSE-2017-23, SR-NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
34-81145 Jul. 14, 2017 Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes to Eliminate Requirements that Will Be Duplicative of CAT
Additional File Nos.: SR-BatsEDGX-2017-23, SR-BOX-2017-17, SR-C2-2017-018, SR-CBOE-2017-041, SR-FINRA-2017-013, SR-ISE-2017-46, SR-IEX-2017-18, SR-MIAX-2017 -20, SR-PEARL-2017-23, SR-NASDAQ-2017-055, SR-BX-2017-027, SR-PHLX-2017-43, SR-NYSE-2017-23, SR- NYSEArca-2017-57, SR-NYSEArca-2017-59, SR-NYSEMKT-2017-29, SR-NYSEMKT-2017-30
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
Comments received are available for this proposal.
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
34-82108 Nov. 17, 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 Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28
34-81437 Aug. 18, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: September 14, 2017
Rebuttal comments due: September 28, 2017
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
34-81599 Sep. 13, 2017 Order Instituting Proceedings to Determine Whether to Approve or Disapprove 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: October 10, 2017
Rebuttal comments due: October 23, 2017
34-81247 Jul. 28, 2017 Notice of Designation of a Longer Period for Commission Action on 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
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
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-2017-28
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: June 1, 2017
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
34-81715 Sep. 25, 2017 Notice of Withdrawal of a 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
34-81363 Aug. 9, 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 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)
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
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