SEC Seal Home | Jobs | Fast Answers | Site Map | Search
U.S. Securities and Exchange Commission


  About the SEC

  Filings & Forms

  Regulatory Actions


  Staff Interps

  Investor Info

  News & Statements

  Litigation

  ALJ

  Information for...

  Divisions


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.

Chronological List
Fourth Quarter |  Third Quarter |  Second Quarter |  First Quarter

BatsBZX File Number List for 2016

Additional Archives


Chronological List


Release No. Date Details
Fourth Quarter

SR-BatsBZX-2016-87
34-79636 Dec. 21, 2016 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 BZX Summary Depth and Amend Fees for BZX Depth
Comments due:  January 18, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-88
34-79618 Dec. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs
Comments due:  January 17, 2017

SR-BatsBZX-2016-91
34-79600 Dec. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Participant Fee Applicable to Options Members of its Equity Options Platform
Comments due:  January 13, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-68
34-79585 Dec. 16, 2016 Order Granting Approval of Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Additional File Nos.: SR-BatsBYX-2016-29, SR-BatsEDGA-2016-24, SR-BatsEDGX-2016-60
See also:Notice: Rel. No. 34-79266

SR-BatsBZX-2016-61
34-79552 Dec. 14, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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: Order: Rel. No. 34-79884, Notice: Rel. No. 34-79162

SR-BatsBZX-2016-82
34-79533 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-84
34-79523 Dec. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: January 5, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-83
34-79496 Dec. 7, 2016 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: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-81
34-79467 Dec. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.23, Auctions, to Amend How the Official Auction Prices are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security
Comments due: December 30, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-79
34-79457 Dec. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Equity Options Fee Schedule
Comments due: December 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-80
34-79450 Dec. 1, 2016 Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards
Comments due: December 28, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-80169, Notice: Rel. No. 34-79839
Comments received are available for this proposal.

SR-BatsBZX-2016-78
34-79437 Dec. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 28, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-77
34-79385 Nov. 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27
Comments due: December 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-48
34-79381 Nov. 22, 2016 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Pursuant to BZX Rule 14.11(c)(4)
Comments due: December 20, 2016
See also: Notice: Rel. No. 34-79092, Notice: Rel. No. 34-78666

SR-BatsBZX-2016-73
34-79342 Nov. 17, 2016 Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information
Comments due: December 14, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-75
34-79312 Nov. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program
Comments due:  December 12, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-76
34-79309 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-68
34-79266 Nov. 8, 2016 Notice of Filing of a Proposed Rule Change in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Comments due:  December 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H
See also: Order: Rel. No. 34-79585

SR-BatsBZX-2016-69
34-79255 Nov. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform
Comments due:  December 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-67
34-79229 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification
Comments due:  November 30, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-71
34-79222 Nov. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program
Comments due:  November 29, 2016
Additional Materials: 

SR-BatsBZX-2016-30
34-79183 Oct. 28, 2016 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due:  November 25, 2016
See also: Order: Rel. No. 34-80206, Notice: Rel. No. 34-79725, Order: Rel. No. 34-79084, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262
Comments received are available for this proposal.

SR-BatsBZX-2016-61
34-79162 Oct. 26, 2016 Notice of Filing of a Proposed Rule Change 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
Comments due:  November 22, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-79884, Notice: Rel. No. 34-79552
Comments received are available for this proposal.

SR-BatsBZX-2016-65
34-79149 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.13, Order Execution and Routing
Comments due:  November 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-60
34-79103 Oct. 14, 2016 Notice of Filing of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due:  November 10, 2016
Rebuttal comments due:  November 22, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-80461, Notice: Rel. No. 34-80714
Comments received are available for this proposal.

SR-BatsBZX-2016-48
34-79092 Oct. 13, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust
See also: Order: Rel. No. 34-79381, Notice: Rel. No. 34-78666

SR-BatsBZX-2016-30
34-79084 Oct. 12, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due:  November 8, 2016
Rebuttal comments due:  November 22, 2016
See also: Order: Rel. No. 34-80206, Notice: Rel. No. 34-79725, Notice: Rel. No. 34-79183, Notice: Rel. No. 34-78653, Notice: Rel. No. 34-78262
Comments received are available for this proposal.

SR-BatsBZX-2016-66
34-79070 Oct. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  November 4, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-26
34-79069 Oct. 7, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend BZX Rule 14.11(d) to Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset
See also: Notice: Rel. No. 34-78640, Notice: Rel. No. 34-78236

SR-BatsBZX-2016-64
34-79064 Oct. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees to Make a Clarifying Change Related to the Tape B Quoting Tier
Comments due:  November 3, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-35
34-79053 Oct. 5, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust under BZX Rule 14.11(i), Managed Fund Shares
See also: Notice: Rel. No. 34-78613, Notice: Rel. No. 34-78264

SR-BatsBZX-2016-62
34-79039 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration
Comments due:  November 1, 2016
Additional Materials: Exhibit 5
Third Quarter

SR-BatsBZX-2016-59
34-78964 Sep. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update BZX Rules 21.1, 21.7 and 21.9 to Align the Exchange’s Rules and Functionality Applicable to the Exchange’s Options Platform, BZX Options, with the Exchange’s Affiliated Options Platform, EDGX Options, which is Operated by Bats EDGX Exchange, Inc.
Comments due:  October 25, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-42
34-78849 Sep. 15, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due:  October 12, 2016
Rebuttal comments due:  October 26, 2016
See also: Notice: Rel. No. 34-78453
Comments received are available for this proposal.

SR-BatsBZX-2016-34
34-78847 Sep. 15, 2016 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1 (i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF
Comments due:  October 11, 2016
See also: Notice: Rel. No. 34-78643, Notice: Rel. No. 34-78346

SR-BatsBZX-2016-55
34-78796 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 6, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BatsBZX-2016-56
34-78792 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  October 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-57
34-78787 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  October 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-29
34-78765 Sep. 2, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-52
34-78746 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of Amendments to the Options Regulatory Fee
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-53
34-78697 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-48
34-78666 Aug. 24, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust
Comments due:  September 20, 2016
See also: Order: Rel. No. 34-79381, Notice: Rel. No. 34-79092
Comments received are available for this proposal.

SR-BatsBZX-2016-30
34-78653 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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. 34-79725, Notice: Rel. No. 34-79183, Order: Rel. No. 34-79084, Notice: Rel. No. 34-78262

SR-BatsBZX-2016-34
34-78643 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF
See also: Notice: Rel. No. 34-78847, Notice: Rel. No. 34-78346

SR-BatsBZX-2016-26
34-78640 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset
See also: Notice: Rel. No. 34-79069, Notice: Rel. No. 34-78236

SR-BatsBZX-2016-50
34-78632 Aug. 22, 2016 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 BZX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-35
34-78613 Aug. 18, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF
See also: Order: Rel. No. 34-79053, Notice: Rel. No. 34-78264

SR-BatsBZX-2016-45
34-78543 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: September 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-47
34-78527 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Closing Contingency Procedure
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-44
34-78517 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Options Platform
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-43
34-78455 Aug. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC
Comments due: August 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-46
34-78454 Aug. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: August 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-42
34-78453 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: August 26, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-78849

SR-BatsBZX-2016-09
34-78415 Jul. 26, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust under BZX Rule 14.11(i), Managed Fund Shares
See also: Notice: 34-78079, Notice: 34-77723

SR-BatsBZX-2016-34
34-78346 Jul. 15, 2016 Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares
Comments due: August 11, 2016
See also: Notice: Rel. No. 34-78847, Notice: Rel. No. 34-78643
Comments received are available for this proposal.

SR-BatsBZX-2016-41
34-78338 Jul. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due: August 11, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-29
34-78334 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-01
34-78329 Jul. 14, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 8 Thereto, to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of VanEck Vectors ETF Trust: VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF; VanEck Vectors AMT-Free 8-12 Year Municipal Index ETF; and VanEck Vectors AMT-Free 12-17 Year Municipal Index ETF
See also: Notice: Rel. No. 34-77958, Notice: Rel. No. 34-77594

SR-BatsBZX-2016-33
34-78306 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-36
34-78305 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-37
34-78303 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-35
34-78264 Jul. 8, 2016 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF
Comments due: August 4, 2016
See also: Order: Rel. No. 34-79053, Notice: Rel. No. 34-78613
Comments received are available for this proposal.

SR-BatsBZX-2016-30
34-78262 Jul. 8, 2016 Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due: August 4, 2016
See also: Order: Rel. No. 34-80206, Notice: Rel. No. 34-79725, Notice: Rel. No. 34-79183, Order: Rel. No. 34-79084, Notice: Rel. No. 34-78653
Comments received are available for this proposal.

SR-BatsBZX-2016-26
34-78236 Jul. 6, 2016 Notice of Filing of Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset
Comments due: August 2, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-79069, Notice: Rel. No. 34-78640
Comments received are available for this proposal.

SR-BatsBZX-2016-31
34-78226 Jul. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders
Comments due: August 1, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-BatsBZX-2016-28
34-78193 Jun. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing
Comments due: July 27, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-27
34-78164 Jun. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-24
34-78111 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-09
34-78079 Jun. 15, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust
See also: Order: Rel. No. 34-78415, Notice: Rel. No. 34-77723

SR-BatsBZX-2016-22
34-78061 Jun. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due: July 11, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-25
34-78034 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-23
34-78032 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-20
34-77960 Jun. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.13, Company Listing Fees
Comments due: June 28, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-01
34-77958 June 1, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF
See also: Order: Rel. No. 34-78329, Notice: Rel. No. 34-77594

SR-BatsBZX-2016-19
34-77915 May 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-17
34-77884 May 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due:  June 17, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-18
34-77846 May 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 15.1(a) and (c) in Order to Implement a Tape B Quoting Tier
Comments due:  June 13, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-16
34-77818 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Subparagraph (5) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process when a Contra-Side Post Only Order is Received by the Bats BZX Exchange Options Platform
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-13
34-77797 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13, Order Execution and Routing, to Delete References to the TRIM3 Routing Option
Comments due: June 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-BatsBZX-2016-12
34-77789 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-14
34-77784 May 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due:  June 3, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-11
34-77721 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: May 24, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-09
34-77723 Apr. 27, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust
Comments due: May 24, 2016
See also: Order: Rel. No. 34-78415, Notice: Rel. No. 34-78079
Comments received are available for this proposal.

SR-BatsBZX-2016-08
34-77639 Apr. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.3 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates
Comments due:  May 13, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-06
34-77632 Apr. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Fee Schedule Applicable to the Exchange’s Options Platform
Comments due:  May 12, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-07
34-77601 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc.
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-01
34-77594 Apr. 12, 2016 Notice of Filing of Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF
Comments due:  May 9, 2016
See also: Order: Rel. No. 34-78329, Notice: Rel. No. 34-77958
Comments received are available for this proposal.

SR-BatsBZX-2016-04
34-77524 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for its Equity Options Platform
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-02
34-77509 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection with the Operation of the Exchange’s Equity Options Platform
Comments due:  April 29, 2016
Additional Materials: Exhibit 5


BATS File Number List for 2016
Release No. Date Details

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-2016-91
34-79600 Dec. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Participant Fee Applicable to Options Members of its Equity Options Platform
Comments due:  January 13, 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-2016-88
34-79618 Dec. 20, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs
Comments due:  January 17, 2017

SR-BatsBZX-2016-87
34-79636 Dec. 21, 2016 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 BZX Summary Depth and Amend Fees for BZX Depth
Comments due:  January 18, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-84
34-79523 Dec. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: January 5, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-83
34-79496 Dec. 7, 2016 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: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-82
34-79533 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: January 9, 2017
Additional Materials: Exhibit 5

SR-BatsBZX-2016-81
34-79467 Dec. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.23, Auctions, to Amend How the Official Auction Prices are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security
Comments due: December 30, 2016
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
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
34-79450 Dec. 1, 2016 Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards
Comments due: December 28, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-79
34-79457 Dec. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Equity Options Fee Schedule
Comments due: December 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-78
34-79437 Dec. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 28, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-77
34-79385 Nov. 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27
Comments due: December 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-76
34-79309 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-75
34-79312 Nov. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program
Comments due:  December 12, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-73
34-79342 Nov. 17, 2016 Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information
Comments due: December 14, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-71
34-79222 Nov. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program
Comments due:  November 29, 2016
Additional Materials: 

SR-BatsBZX-2016-69
34-79255 Nov. 7, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform
Comments due:  December 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-68
34-79585 Dec. 16, 2016 Order Granting Approval of Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Additional File Nos.: SR-BatsBYX-2016-29, SR-BatsEDGA-2016-24, SR-BatsEDGX-2016-60
34-79266 Nov. 8, 2016 Notice of Filing of a Proposed Rule Change in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.
Comments due:  December 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B, Exhibit 5C, Exhibit 5D, Exhibit 5E, Exhibit 5F, Exhibit 5G, Exhibit 5H

SR-BatsBZX-2016-67
34-79229 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification
Comments due:  November 30, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-66
34-79070 Oct. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  November 4, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-65
34-79149 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.13, Order Execution and Routing
Comments due:  November 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-64
34-79064 Oct. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees to Make a Clarifying Change Related to the Tape B Quoting Tier
Comments due:  November 3, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-62
34-79039 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration
Comments due:  November 1, 2016
Additional Materials: Exhibit 5

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
34-79552 Dec. 14, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change 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
34-79162 Oct. 26, 2016 Notice of Filing of a Proposed Rule Change 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
Comments due:  November 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

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
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
34-79103 Oct. 14, 2016 Notice of Filing of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule; Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change
Comments due:  November 10, 2016
Rebuttal comments due:  November 22, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-59
34-78964 Sep. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update BZX Rules 21.1, 21.7 and 21.9 to Align the Exchange’s Rules and Functionality Applicable to the Exchange’s Options Platform, BZX Options, with the Exchange’s Affiliated Options Platform, EDGX Options, which is Operated by Bats EDGX Exchange, Inc.
Comments due:  October 25, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-57
34-78787 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  October 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-56
34-78792 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  October 5, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-55
34-78796 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  October 6, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

SR-BatsBZX-2016-53
34-78697 Aug. 26, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options
Comments due:  September 21, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-52
34-78746 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of Amendments to the Options Regulatory Fee
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-50
34-78632 Aug. 22, 2016 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 BZX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-48
34-79381 Nov. 22, 2016 Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Pursuant to BZX Rule 14.11(c)(4)
Comments due: December 20, 2016
34-79092 Oct. 13, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust
34-78666 Aug. 24, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust
Comments due:  September 20, 2016
Comments received are available for this proposal.

SR-BatsBZX-2016-47
34-78527 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Closing Contingency Procedure
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-46
34-78454 Aug. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: August 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-45
34-78543 Aug. 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: September 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-44
34-78517 Aug. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Options Platform
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-43
34-78455 Aug. 2, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC
Comments due: August 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-42
34-79859 Jan. 23, 2017 Notice of Withdrawal of a Proposed Rule Change to Amend the Options Regulatory Fee
34-78849 Sep. 15, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee
Comments due:  October 12, 2016
Rebuttal comments due:  October 26, 2016
Comments received are available for this proposal.
34-78453 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee
Comments due: August 26, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-41
34-78338 Jul. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due: August 11, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-37
34-78303 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-36
34-78305 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-35
34-79053 Oct. 5, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust under BZX Rule 14.11(i), Managed Fund Shares
34-78613 Aug. 18, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF
34-78264 Jul. 8, 2016 Notice of Filing of a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF
Comments due: August 4, 2016
Comments received are available for this proposal.

SR-BatsBZX-2016-34
34-78847 Sep. 15, 2016 Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1 (i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF
Comments due:  October 11, 2016
34-78643 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF
34-78346 Jul. 15, 2016 Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares
Comments due: August 11, 2016
Comments received are available for this proposal.

SR-BatsBZX-2016-33
34-78306 Jul. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Comments due:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-31
34-78226 Jul. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders
Comments due: August 1, 2016
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
Additional Materials:
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
34-79183 Oct. 28, 2016 Notice of Filing of Amendment No. 1 to a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due:  November 25, 2016
Comments received are available for this proposal.
34-79084 Oct. 12, 2016 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due:  November 8, 2016
Rebuttal comments due:  November 22, 2016
Comments received are available for this proposal.
34-78653 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
34-78262 Jul. 8, 2016 Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Comments due: August 4, 2016
Comments received are available for this proposal.

SR-BatsBZX-2016-29
34-78765 Sep. 2, 2016 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  September 29, 2016
Additional Materials: Exhibit 5
34-78334 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: August 10, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-28
34-78193 Jun. 29, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing
Comments due: July 27, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-27
34-78164 Jun. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price
Comments due: July 22, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-26
34-79069 Oct. 7, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend BZX Rule 14.11(d) to Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset
34-78640 Aug. 23, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset
34-78236 Jul. 6, 2016 Notice of Filing of Proposed Rule Change to BZX Rule 14.11(d) to Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset
Comments due: August 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-25
34-78034 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-24
34-78111 Jun. 21, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  July 18, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-23
34-78032 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-22
34-78061 Jun. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due: July 11, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-20
34-77960 Jun. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.13, Company Listing Fees
Comments due: June 28, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-19
34-77915 May 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-18
34-77846 May 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 15.1(a) and (c) in Order to Implement a Tape B Quoting Tier
Comments due:  June 13, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-17
34-77884 May 23, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due:  June 17, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-16
34-77818 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Subparagraph (5) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process when a Contra-Side Post Only Order is Received by the Bats BZX Exchange Options Platform
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-14
34-77784 May 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform
Comments due:  June 3, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-13
34-77797 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13, Order Execution and Routing, to Delete References to the TRIM3 Routing Option
Comments due: June 6, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-BatsBZX-2016-12
34-77789 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-11
34-77721 Apr. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program
Comments due: May 24, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-09
34-78415 Jul. 26, 2016 Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust under BZX Rule 14.11(i), Managed Fund Shares
34-78079 Jun. 15, 2016 Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust
34-77723 Apr. 27, 2016 Notice of Filing of a Proposed Rule Change to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust
Comments due: May 24, 2016
Comments received are available for this proposal.

SR-BatsBZX-2016-08
34-77639 Apr. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.3 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates
Comments due:  May 13, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-07
34-77601 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc.
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-06
34-77632 Apr. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the Fee Schedule Applicable to the Exchange’s Options Platform
Comments due:  May 12, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-04
34-77524 Apr. 5, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for its Equity Options Platform
Comments due:  May 2, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsBZX-2016-02
34-77509 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of Proposed Rule Changes in Connection with the Operation of the Exchange’s Equity Options Platform
Comments due:  April 29, 2016
Additional Materials: Exhibit 5

SR-BatsBZX-2016-01
34-78329 Jul. 14, 2016 Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 8 Thereto, to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of VanEck Vectors ETF Trust: VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF; VanEck Vectors AMT-Free 8-12 Year Municipal Index ETF; and VanEck Vectors AMT-Free 12-17 Year Municipal Index ETF
34-77958 June 1, 2016 Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF
34-77594 Apr. 12, 2016 Notice of Filing of Proposed Rule Change to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF
Comments due:  May 9, 2016
Comments received are available for this proposal.

 

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


Modified: 10/17/2016