Bats EDGA Rulemaking

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

We encourage the public to submit comments on the following Bats EDGA Exchange (BatsEDGA) filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.

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

Bats EDGA File Number List for 2017

Additional Archives

2017 | 2016

Chronological List for 2017

Release No. Date Details
Fourth Quarter
SR-BatsEDGA-2017-29
34-82087 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-30
34-82061 Nov. 13, 2017 Notice of Filing and Immediate Effectiveness of a 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-BatsEDGA-2017-13
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: Order: Rel. No. 34-81067, Notice: Rel. No. 34-80784
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, 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-BatsEDGA-2017-28
34-81957 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, 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-BatsEDGA-2017-27
34-81936 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical Corrections to its Second Amended and Restated Certificate of Incorporation
Comments due: November 20, 2017
SR-BatsEDGA-2017-26
34-81859 Oct. 12, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules to Add New Optional Functionality to Orders with a Minimum Quantity Instruction
Comments due: November 8, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-22
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. 34-81496
Additional File Nos.: SR-BatsBYX-2017-19, SR-BatsBZX-2017-55, SR-BatsEDGX-2017-35
Third Quarter
SR-BatsEDGA-2017-25
34-81748 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-23
34-81600 Sep. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-14
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. 34-80835
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, 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-BatsEDGA-2017-22
34-81496 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-BatsEDGA-2017-21
34-81454 Aug. 22, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Permit MidPoint Discretionary Orders to be Non-Displayed
Comments due: September 18, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-20
34-81369 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-19
34-81291 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: August 29, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-14
34-81158 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. 34-80835
Second Quarter
SR-BatsEDGA-2017-13
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. 34-80784, Notice: Rel. No. 34-82049
Additional File Nos.: SR-BatsBYX-2017-11, SR-BatsBZX-2017-38, 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-BatsEDGA-2017-18
34-80976 Jun. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amend its Fee Schedule to Replace Current Inverted Pricing Model with Low Fee Model
Comments due: July 17, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-14
34-80835 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, Notice: Rel. No. 34-81158
Comments received are available for this proposal.
SR-BatsEDGA-2017-13
34-80784 May 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: June 22, 2017
Additional Materials: Exhibit 5, Appendix
See also: Order: Rel. No. 34-81067, Notice: Rel. No. 34-82049
Comments received are available for this proposal.
SR-BatsEDGA-2017-10
34-80686 May 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule11.21 of Bats EDGA 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-BatsEDGA-2017-12
34-80653 May 11, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-07
34-80608 May 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGA Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Firm that Clears Transactions on Behalf of the User
Comments due: June 1, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-06
34-80448 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: May 10, 2017
Additional Materials: Exhibit 5
First Quarter
SR-BatsEDGA-2017-03
34-80256 Mar. 15, 2017 Order Approving Proposed Rule Changes to Adopt Consolidated Audit Trail Compliance Rules
See also: Notice: Rel. No. 34-79962
Additional File Nos.: SR-BatsBYX-2017-02, SR-BatsBZX-2017-08, 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-BatsEDGA-2017-05
34-80215 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 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-BatsEDGA-2017-04
34-80187 Mar. 9, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: April 5, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-03
34-79962 Feb. 3, 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 2, 2017
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-80256
SR-BatsEDGA-2017-01
34-79773 Jan. 11, 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 8, 2017
Additional Materials: Exhibit 5


Bats EDGA File Number List for 2017

Release No. Date Details
SR-BatsEDGA-2017-30
34-82061 Nov. 13, 2017 Notice of Filing and Immediate Effectiveness of a 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-BatsEDGA-2017-29
34-82087 Nov. 15, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices
Comments due: 21 days after publication in the Federal Register
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-28
34-81957 Oct. 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, 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-BatsEDGA-2017-27
34-81936 Oct. 24, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Technical Corrections to its Second Amended and Restated Certificate of Incorporation
Comments due: November 20, 2017
SR-BatsEDGA-2017-26
34-81859 Oct. 12, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Certain Rules to Add New Optional Functionality to Orders with a Minimum Quantity Instruction
Comments due: November 8, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-25
34-81748 Sep. 28, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American
Comments due: October 25, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-23
34-81600 Sep. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees
Comments due: October 10, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-22
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-BatsBZX-2017-55, SR-BatsEDGX-2017-35
34-81496 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-BatsEDGA-2017-21
34-81454 Aug. 22, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, to Permit MidPoint Discretionary Orders to be Non-Displayed
Comments due: September 18, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-20
34-81369 Aug. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: September 6, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-19
34-81291 Aug. 2, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: August 29, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-18
34-80976 Jun. 20, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amend its Fee Schedule to Replace Current Inverted Pricing Model with Low Fee Model
Comments due: July 17, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-14
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. 34-80835
Additional File Nos.: SR-BatsBYX-2017-13, SR-BatsBZX-2017-39, 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
34-81158 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
34-80835 Jun. 1, 2017 Notice of Filing of a Proposed Rule Change to Adopt Rule 4.17, Consolidated Audit Trail - Fee Dispute Resolution
Comments due: June 28, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-13
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-BatsBZX-2017-38, 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-BatsBZX-2017-38, 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.
34-80784 May 26, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: June 22, 2017
Additional Materials: Exhibit 5, Appendix
Comments received are available for this proposal.
SR-BatsEDGA-2017-12
34-80653 May 11, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: June 7, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-10
34-80686 May 16, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule11.21 of Bats EDGA 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-BatsEDGA-2017-07
34-80608 May 5, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGA Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Firm that Clears Transactions on Behalf of the User
Comments due: June 1, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-06
34-80448 Apr. 13, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.
Comments due: May 10, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-05
34-80215 Mar. 10, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 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-BatsEDGA-2017-04
34-80187 Mar. 9, 2017 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: April 5, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-03
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-BatsBZX-2017-08, 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
34-79962 Feb. 3, 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 2, 2017
Additional Materials: Exhibit 5
SR-BatsEDGA-2017-01
34-79773 Jan. 11, 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 8, 2017
Additional Materials: Exhibit 5