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 EDGX Exchange Rulemaking

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

We encourage the public to submit comments on the following EDGX Exchange (EDGX) 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 EDGX File Number List for 2016

Additional Archives


Chronological List
Release No. Date Details
Fourth Quarter

SR-BatsEDGX-2016-73
34-79595 Dec. 19, 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 EDGX Summary Depth and Amend Fees for EDGX Depth
Comments due:  January 13, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-60
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-BatsEDGA-2016-24
See also: Notice: Rel. No. 34-79264

SR-BatsEDGX-2016-70
34-79537 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.22(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-BatsEDGX-2016-71
34-79526 Dec. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: January 6, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-68
34-79501 Dec. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange's Equities Platform
Comments due: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-69
34-79497 Dec. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equities Options Platform
Comments due: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-67
34-79438 Dec. 1, 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 28, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-66
34-79411 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-65
34-79403 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 11.8, 1.14, and 11.22.
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-64
34-79344 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-BatsEDGX-2016-41
34-79339 Nov. 17, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism
See also: Notice: Rel. No. 34-79718, Notice: Rel. No. 34-78988

SR-BatsEDGX-2016-63
34-79306 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-62
34-79273 Nov. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange’s Equity Options Platform
Comments due:  December 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-60
34-79264 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-BatsEDGX-2016-59
34-79236 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX 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-BatsEDGX-2016-58
34-79184 Oct. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 21.12, Clearing Member Give Up
Comments due: November 25, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BatsEDGX-2016-54
34-79151 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 11.11, Routing to Away Trade Centers
Comments due: November 21, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-57
34-79091 Oct. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform
Comments due:  November 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-55
34-79090 Oct. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  November 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-53
34-79041 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration, of Bats EDGX Exchange, Inc.
Comments due: November 1, 2016
Additional Materials: Exhibit 5
Third Quarter

SR-BatsEDGX-2016-41
34-78988 Sep. 29, 2016 Notice of Filing of a Proposed Rule Change Related to the Exchange’s Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism
Comments due:  October 26, 2016
Additional Materials: Exhibit 5
See also: Notice: Rel. No. 34-79718, Notice: Rel. No. 34-79339
Comments received are available for this proposal.

SR-BatsEDGX-2016-33
34-78850 Sep. 15, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due:  October 12, 2016
Rebuttal comments due:  October 26, 2016
See also: Notice: Rel. No. 34-78452

SR-BatsEDGX-2016-51
34-78798 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22(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-BatsEDGX-2016-52
34-78789 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due: October 5, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-49
34-78771 Sep. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  October 3, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-26
34-78767 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 11.22 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. 34-78331
Comments received are available for this proposal.

SR-BatsEDGX-2016-48
34-78745 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of the Options Regulatory Fee
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-50
34-78696 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-BatsEDGX-2016-45
34-78635 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, Edgx Book Feeds, to Adopt a New Market Data Product Known as EDGX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-46
34-78630 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-42
34-78535 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-40
34-78522 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-BatsEDGX-2016-35
34-78472 Aug. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, to Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc.
Comments due: August 30, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-36
34-78460 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-BatsEDGX-2016-33
34-78452 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: August 26, 2016
Additional Materials: Exhibit 5
See also: Order: Rel. No. 34-78850

SR-BatsEDGX-2016-32
34-78369 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Recently Adopted Step Up Mechanism on its Equity Options Platform
Comments due: August 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-29
34-78339 Jul. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform to: (i) Modify Various Rules to Eliminate the Display-Price Sliding Option; (ii) Modify Various Rules to Eliminate Price Improving Orders; and (iii) Adopt the Step Up Mechanism
Comments due: August 11, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-26
34-78331 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.22 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-BatsEDGX-2016-30
34-78313 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGX 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-BatsEDGX-2016-27
34-78304 Jul. 12, 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:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-28
34-78221 Jul. 1, 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: July 28, 2016
Additional Materials: Exhibit 5
Second Quarter

SR-BatsEDGX-2016-25
34-78163 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-BatsEDGX-2016-23
34-78112 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-BatsEDGX-2016-21
34-78062 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-BatsEDGX-2016-22
34-78052 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-24
34-78039 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-BatsEDGX-2016-19
34-77905 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-BatsEDGX-2016-18
34-77888 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-BatsEDGX-2016-17
34-77819 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Description of Price Improving Orders Under Subparagraph (6) to Rule 21.1(d) and Add Subparagraph (4) 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 EDGX Exchange Options Platform
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-15
34-77813 May 11, 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 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-14
34-77791 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.22(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-BatsEDGX-2016-13
34-77780 May 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  June 2, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-11
34-77691 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-12
34-77636 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-BatsEDGX-2016-09
34-77631 Apr. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equities Options Platform
Comments due:  May 12, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-10
34-77612 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-BatsEDGX-2016-04
34-77589 Apr. 12, 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 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-07
34-77582 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
Comments received are available for this proposal.

SR-BatsEDGX-2016-05
34-77526 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

SR-BatsEDGX-2016-03
34-77508 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes in Connection with the Operation of the Exchange's Equity Options Platform
Comments due:  April 29, 2016
Additional Materials: Exhibit 5
First Quarter

SR-BatsEDGX-2016-01
34-77416 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

SR-BatsEDGX-2016-02
34-77394 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange
Comments due:  April 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.


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

SR-BatsEDGX-2016-75
34-79761 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-BatsEDGX-2016-73
34-79595 Dec. 19, 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 EDGX Summary Depth and Amend Fees for EDGX Depth
Comments due:  January 13, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-71
34-79526 Dec. 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues
Comments due: January 6, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-70
34-79537 Dec. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.22(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-BatsEDGX-2016-69
34-79497 Dec. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equities Options Platform
Comments due: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-68
34-79501 Dec. 7, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange's Equities Platform
Comments due: January 3, 2017
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-67
34-79438 Dec. 1, 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 28, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-66
34-79411 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Changes to the Fee Schedule
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-65
34-79403 Nov. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Ministerial Change to Exchange Rules 11.8, 1.14, and 11.22.
Comments due: December 23, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-64
34-79344 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-BatsEDGX-2016-63
34-79306 Nov. 14, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  December 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-62
34-79273 Nov. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange’s Equity Options Platform
Comments due:  December 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-60
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-BatsEDGA-2016-24
34-79264 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-BatsEDGX-2016-59
34-79236 Nov. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX 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-BatsEDGX-2016-58
34-79184 Oct. 28, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 21.12, Clearing Member Give Up
Comments due: November 25, 2016
Additional Materials: Exhibit 3, Exhibit 5

SR-BatsEDGX-2016-57
34-79091 Oct. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform
Comments due:  November 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-55
34-79090 Oct. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  November 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-54
34-79151 Oct. 25, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 11.11, Routing to Away Trade Centers
Comments due: November 21, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-53
34-79041 Oct. 4, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 22.3, Continuing Options Market Maker Registration, of Bats EDGX Exchange, Inc.
Comments due: November 1, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-52
34-78789 Sep. 8, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  October 5, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-51
34-78798 Sep. 9, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22(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-BatsEDGX-2016-50
34-78696 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-BatsEDGX-2016-49
34-78771 Sep. 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Comments due:  October 3, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-48
34-78745 Sep. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation of the Options Regulatory Fee
Comments due:  September 29, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-46
34-78630 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-45
34-78635 Aug. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 13.8, Edgx Book Feeds, to Adopt a New Market Data Product Known as EDGX Summary Depth
Comments due: September 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-42
34-78535 Aug. 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due: September 6, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-41
34-79718 Jan. 3, 2017 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism
Comments due: January 30, 2017
34-79339 Nov. 17, 2016 Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism
34-78988 Sep. 29, 2016 Notice of Filing of a Proposed Rule Change Related to the Exchange’s Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism
Comments due:  October 26, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsEDGX-2016-40
34-78522 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-BatsEDGX-2016-36
34-78460 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-BatsEDGX-2016-35
34-78472 Aug. 3, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, to Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc.
Comments due: August 30, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-33
34-78850 Sep. 15, 2016 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due:  October 12, 2016
Rebuttal comments due:  October 26, 2016
34-78452 Aug. 1, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt an Options Regulatory Fee
Comments due: August 26, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-32
34-78369 Jul. 20, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Recently Adopted Step Up Mechanism on its Equity Options Platform
Comments due: August 16, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-30
34-78313 Jul. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGX 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-BatsEDGX-2016-29
34-78339 Jul. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform to: (i) Modify Various Rules to Eliminate the Display-Price Sliding Option; (ii) Modify Various Rules to Eliminate Price Improving Orders; and (iii) Adopt the Step Up Mechanism
Comments due: August 11, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-28
34-78221 Jul. 1, 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: July 28, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-27
34-78304 Jul. 12, 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:  August 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-26
34-78767 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 11.22 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
Comments received are available for this proposal.
34-78331 Jul. 14, 2016 Notice of Filing of a Proposed Rule Change to Adopt Paragraph (c) to Exchange Rule 11.22 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-BatsEDGX-2016-25
34-78163 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-BatsEDGX-2016-24
34-78039 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-BatsEDGX-2016-23
34-78112 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-BatsEDGX-2016-22
34-78052 Jun. 13, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Penny Pilot Program
Comments due: July 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-21
34-78062 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-BatsEDGX-2016-19
34-77905 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-BatsEDGX-2016-18
34-77888 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-BatsEDGX-2016-17
34-77819 May 12, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Description of Price Improving Orders Under Subparagraph (6) to Rule 21.1(d) and Add Subparagraph (4) 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 EDGX Exchange Options Platform
Comments due: June 8, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-15
34-77813 May 11, 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 7, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-14
34-77791 May 10, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.22(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-BatsEDGX-2016-13
34-77780 May 6, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  June 2, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-12
34-77636 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-BatsEDGX-2016-11
34-77691 Apr. 22, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees
Comments due:  May 19, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-10
34-77612 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-BatsEDGX-2016-09
34-77631 Apr. 15, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equities Options Platform
Comments due:  May 12, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-07
34-77582 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
Comments received are available for this proposal.

SR-BatsEDGX-2016-05
34-77526 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

SR-BatsEDGX-2016-04
34-77589 Apr. 12, 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 9, 2016
Additional Materials: Exhibit 5

SR-BatsEDGX-2016-03
34-77508 Apr. 4, 2016 Notice of Filing and Immediate Effectiveness of a 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-BatsEDGX-2016-02
34-77394 Mar. 17, 2016 Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange
Comments due:  April 13, 2016
Additional Materials: Exhibit 5
Comments received are available for this proposal.

SR-BatsEDGX-2016-01
34-77416 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/batsedgx.shtml


Modified: 02/09/2017