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 EDGA Exchange Rulemaking Archive: 2016

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 2016

Additional Archives

2018 | 2017 | 2016


Chronological List
Release No. Date Details
Fourth Quarter

SR-BatsEDGA-2016-32
34-79699 Dec. 28, 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 EDGA Summary Depth and Amend Fees for EDGA Depth
Comments due: January 25, 2017
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-34
34-79596 Dec. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, to Enhance the Exchange's Midpoint Routing Functionality
Comments due:  January 13, 2017
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-24
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-BatsBZX-2016-68, SR-BatsBYX-2016-29, SR-BatsEDGX-2016-60
See also: Notice: Rel. No. 34-79265

SR-BatsEDGA-2016-30
34-79536 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.21(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-BatsEDGA-2016-29
34-79436 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-BatsEDGA-2016-28
34-79412 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 1.10, 11.14, and 11.21.
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-27
34-79343 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-BatsEDGA-2016-26
34-79305 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats EDGA Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-24
34-79265 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 5AExhibit 5BExhibit 5CExhibit 5DExhibit 5EExhibit 5FExhibit 5GExhibit 5H
See also: Order: Rel. No. 34-79585

SR-BatsEDGA-2016-23
34-79234 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGA 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-BatsEDGA-2016-22
34-79150 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 11.11, Routing to Away Trading Centers
Comments due: November 21, 2016
Additional Materials: Exhibit 5
Third Quarter

SR-BatsEDGA-2016-21
34-78799 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.21(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-BatsEDGA-2016-15
34-78763 Sep. 2, 2016 Notice of Filing of Amendment No. and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.21 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
See also: Notice: Rel. No. 34-78330

SR-BatsEDGA-2016-20
34-78748 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-19
34-78636 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, Edga Book Feeds, to Adopt a New Market Data Product Known as EDGA Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-18
34-78536 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-17
34-78459 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 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e

SR-BatsEDGA-2016-15
34-78330 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.21 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-BatsEDGA-2016-16
34-78314 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 13.4(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 9, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-BatsEDGA-2016-14
34-78162 Jun. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) 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-BatsEDGA-2016-12
34-78121 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  July 19, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-13
34-78038 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-10
34-77906 May 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-09
34-77889 May 24, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule
Comments due:  June 21, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-07
34-77810 May 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.11, Routing to Away Trading Centers, to Delete the IOCM and ICMT Routing Options
Comments due: June 7, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-BatsEDGA-2016-08
34-77792 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.21(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-06
34-77637 Apr. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional 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-BatsEDGA-2016-05
34-77608 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-BatsEDGA-2016-03
34-77606 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-04
34-77583 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27
Comments due:  May 6, 2016
Additional Materials: Exhibit 5
First Quarter

SR-BatsEDGA-2016-01
34-77417 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  April 18, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter


Bats EDGA File Number List for 2016
Release No. Date Details

SR-BatsEDGA-2016-34
34-79596 Dec. 19, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, to Enhance the Exchange's Midpoint Routing Functionality
Comments due:  January 13, 2017
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-32
34-79699 Dec. 28, 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 EDGA Summary Depth and Amend Fees for EDGA Depth
Comments due: January 25, 2017
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-30
34-79536 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.21(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-BatsEDGA-2016-29
34-79436 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-BatsEDGA-2016-28
34-79412 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 1.10, 11.14, and 11.21.
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-27
34-79343 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-BatsEDGA-2016-26
34-79305 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats EDGA Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-24
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-BatsBZX-2016-68, SR-BatsBYX-2016-29, SR-BatsEDGX-2016-60
34-79265 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 5AExhibit 5BExhibit 5CExhibit 5DExhibit 5EExhibit 5FExhibit 5GExhibit 5H

SR-BatsEDGA-2016-23
34-79234 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGA 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-BatsEDGA-2016-22
34-79150 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 11.11, Routing to Away Trading Centers
Comments due: November 21, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-21
34-78799 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.21(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-BatsEDGA-2016-20
34-78748 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-19
34-78636 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, Edga Book Feeds, to Adopt a New Market Data Product Known as EDGA Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-18
34-78536 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-17
34-78459 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 5a, Exhibit 5b, Exhibit 5c, Exhibit 5d, Exhibit 5e

SR-BatsEDGA-2016-16
34-78314 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 13.4(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 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-15
34-78763 Sep. 2, 2016 Notice of Filing of Amendment No. and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Exchange Rule 11.21 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
34-78330 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.21 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-BatsEDGA-2016-14
34-78162 Jun. 27, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.8(b) 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-BatsEDGA-2016-13
34-78038 Jun. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process
Comments due: July 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-12
34-78121 Jun. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  July 19, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-10
34-77906 May 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process
Comments due: June 22, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-09
34-77889 May 24, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule
Comments due:  June 21, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-08
34-77792 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.21(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due: June 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-07
34-77810 May 11, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.11, Routing to Away Trading Centers, to Delete the IOCM and ICMT Routing Options
Comments due: June 7, 2016
Additional Materials: Exhibit 5A, Exhibit 5B

SR-BatsEDGA-2016-06
34-77637 Apr. 18, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 14.10 Setting Forth Additional 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-BatsEDGA-2016-05
34-77608 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-BatsEDGA-2016-04
34-77583 Apr. 11, 2016 Notice of Filing and Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27
Comments due:  May 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-03
34-77606 Apr. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing
Comments due:  May 10, 2016
Additional Materials: Exhibit 5

SR-BatsEDGA-2016-01
34-77417 Mar. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program
Comments due:  April 18, 2016
Additional Materials: Exhibit 5
See Also: Exemptive Letter

 

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


Modified: 02/09/2017