Regulation - BZX

Rule Filings for 2010

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:

  • File number: SR-BATS-2010-018
  • Date filed:June 30, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatility) to add securities included in the Russell 1000 Index and specified Exchange Traded Products to the pilot rule.

  • File number: SR-BATS-2010-016
  • Date filed:June 17, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.17 (Clearly Erroneous Executions) to make various modifications to the Exchange's handling of clearly erroneous execution reviews, including in the context of securities subject to an individual stock trading pause and multi-stock events involving twenty or more securities.

Approved and Immediately Effective Rule Changes:

  • File number: SR-BATS-2010-023
  • Date filed:August 30, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2010-022
  • Date filed:August 30, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.13 to rename one of the Exchange's routing strategies.

  • File number: SR-BATS-2010-021
  • Date filed:August 3, 2010
  • Description:

    BATS is proposing to amend BATS Rule 23.1 (Exercise of Options Contracts) to extend the cut-off time to submit contrary exercise advices.

  • File number: SR-BATS-2010-020
  • Date filed:July 27, 2010
  • Description:

    BATS is proposing to amend Rule 19.6 (Series of Options Contracts Open for Trading) and Rule 29.11 (Terms of Index Options Contracts) in order to list option series that expire one week after being opened for trading.

  • File number: SR-BATS-2010-019
  • Date filed:July 26, 2010
  • Description:

    BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on August 2, 2010.

  • File number: SR-BATS-2010-017
  • Date filed:June 28, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.13 (Order Execution) to modify the existing general description of Exchange routing functionality, to describe available routing options in greater detail, and to add certain new routing options.

  • File number: SR-BATS-2010-015
  • Date filed:May 28, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2010-014
  • Date filed:May 18, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.18 (Trading Halts Due to Extraordinary Market Volatilty) to allow the Exchange to pause trading in an individual stock when the primary listing market for such stock issues a trading pause.

  • File number: SR-BATS-2010-013
  • Date filed:May 13, 2010
  • Description:

    BATS is proposing to eliminate BATS Rule 19.5, which requires that at least one Options Market Maker be registered for trading a particular series before it may be opened for trading on BATS Options.

  • File number: SR-BATS-2010-012
  • Date filed:May 4, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2010-011
  • Date filed:May 4, 2010
  • Description:

    BATS is proposing to modify its Match Trade Prevention functionality.

  • File number: SR-BATS-2010-009
  • Date filed:April 30, 2010
  • Description:

    BATS is proposing to designate 75 options classes to be added to the Penny Pilot Program for Options on May 3, 2010.

  • File number: SR-BATS-2010-008
  • Date filed:April 9, 2010
  • Description:

    BATS is proposing to amend BATS Rule 2.5 (Restrictions), to require each Exchange Member to register with the Exchange: (i) at least two principals to supervise Authorized Traders of the Member (subject to certain exceptions), and (ii) at least one financial and operations principal.

  • File number: SR-BATS-2010-007
  • Date filed:March 31, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2010-006
  • Date filed:March 30, 2010
  • Description:

    BATS is proposing to amend BATS Rule 11.9(c)(12) (Destination Specific Order) to permit Exchange Users to designate an order that will first check the BATS Book for liquidity and then be routed to one or to multiple Alternative Trading Systems with which the Exchange has connections.

  • File number: SR-BATS-2010-005
  • Date filed:February 25, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

  • File number: SR-BATS-2010-003
  • Date filed:February 11, 2010
  • Description:

    BATS is proposing to amend BATS Rule 5.5 ("Information Barrier Procedures") to modify the Exchange's rule regarding information barrier procedures required of certain Exchange Members and to add new Exchange Rule 12.13 ("Trading Ahead of Research Reports").

  • File number: SR-BATS-2010-002
  • Date filed:February 2, 2010
  • Description:

    BATS is proposing to offer certain new BATS Exchange data products to Members of the Exchange and other market data recipients.

  • File number: SR-BATS-2010-001
  • Date filed:January 29, 2010
  • Description:

    Amendments to Fee Schedule for BATS Exchange.

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