BATS Regulation

Regulation

Rule Filings

Rule filings are not effective until approved by the Securities and Exchange Commission ("SEC"), with the exception of certain types of rule filings that may take effect upon filing with the SEC if they meet the conditions specified under Section 19 of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder. Below are pending rule filings submitted by the Exchange, followed by rule changes that have been approved by the SEC or became immediately effective pursuant to the Exchange Act.

Pending Rule Changes:

No pending rule filings at this time

Approved and Immediately Effective Rule Changes:

File number:SR-BATS-2008-013
Date filed:December 11, 2008
Description:
Amendments to BATS Rules and Corporate Documents to Reflect Name Change of BATS Holdings, Inc. to BATS Global Markets, Inc.

File number:SR-BATS-2008-012
Date filed:December 9, 2008
Description:
Amendments to Fee Schedule for BATS Exchange (effective December 12, 2008).

File number:SR-BATS-2008-011
Date filed:November 25, 2008
Description:
BATS is proposing to amend Rule 8.15.01 (List of Exchange Rule Violations and Recommended Fine Schedule Pursuant to Rule 8.15) to expand the list of violations eligible for disposition under the Exchange's Minor Rule Violation Plan.

File number:SR-BATS-2008-010
Date filed:November 19, 2008
Description:
BATS is proposing to amend Rule 11.17 (Clearly Erroneous Executions) with respect to fees of other market centers related to clearly erroneous rulings.

File number:SR-BATS-2008-009
Date filed:October 21, 2008
Description:
Initial Fee Schedule for BATS Exchange.

File number:SR-BATS-2008-008
Date filed:October 20, 2008
Description:
BATS is proposing to amend its Rule 11.16 ("Limitation of Liability").

File number:SR-BATS-2008-007
Date filed:October 10, 2008
Description:
BATS is proposing to amend its Rule 11.13 ("Order Execution") to provide the Exchange's Outbound Router with additional flexibility when routing orders away from the Exchange.

File number:SR-BATS-2008-005
Date filed:September 19, 2008
Description:
BATS is proposing amendments to its rules to add definitions of Market Maker and Market Maker Authorized Trader and to add rules regarding the registration and obligations of Market Makers.

File number:SR-BATS-2008-004
Date filed:September 17, 2008
Description:
BATS is proposing to amend its Rule 14.1 ("Unlisted Trading Privileges") to consolidate into a single rule certain requirements for trading products on the Exchange pursuant to unlisted trading privileges.

File number:SR-BATS-2008-003
Date filed:September 12, 2008
Description:
BATS is proposing to amend its Rule 11.5 ("Orders and Modifiers") to add a new order type - Modified Destination Specific Order.